Managing Your Environmental
Responsibilities:
A Planning Guide for Construction and Development
Use this document to fulfill your environmental obligations
in every step of your construction project:

4 Pre-Bid - Learn what is required of you and factor in
  the cost.

4 Pre-Construction - Assign environmental responsibility
  to all parties before breaking ground.
4 During Construction - Find answers to ongoing
  environmental questions and conduct comprehensive
  self audits.

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                                                                EPA/305-B-04-003
                          EPA Office of Compliance


A                        for
                                April
                            Office of Compliance
                Office of Enforcement and Compliance Assurance
                      U.S. Environmental Protection Agency
                  1200 Pennsylvania Avenue, NW (MC 2224-A)
                           Washington, D.C. 20460

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   This document has been developed to provide a general overview of the federal envi-
ronmental requirements for the construction industry. This document contains a general
discussion on the common requirements pertaining to the construction industry. Detailed
       of each requirement are not included. This document also contains a checklist to
facilitate discussion and assignment of environmental responsibilities among the parties
involved in a construction project. Additionally, self-audit checklists are provided in Part II
of the document. These checklists can be    once the construction project has com-
menced. This document is intended solely as guidance on the federal requirements, and
readers should consult with their       for state-specific requirements. Any variation
between applicable regulations and the information  provided in this document is uninten-
tional, and, in the     of such variations, the requirements of the regulations govern.

   This guidance does not constitute rulemaking by EPA and may not be relied on to create
a substantive or procedural right or benefit enforceable by any person. EPA may take action
at variance with this guidance and its internal procedures.

   This document also identifies governmental  and non-governmental resources that may
be helpful to the construction industry. EPA     not make any guarantee or assume any
liability with respect to either the use of any information or recommendation made by
     resources. The use of non-governmental resources provided in this document is not to
be viewed as an endorsement of these resources by EPA.

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Managing Your Environmental Responsibilities                                               Foreword
                                      Foreword
   A
s a participant in the construction and development process, your success may
depend on how well you identify, analyze, and manage your environmental
risks. Simply being unaware of your environmental obligations does not
relieve you of your liability.
   This planning guide was developed in a collaborative effort between U.S. EPA and its partners. Its pur-
pose is to help you to:

   •   Recognize the federal environmental requirements and factor in the associated expenses for the
       project;
   •   Designate the responsible party to fulfill these requirements;
   •   Complete the requirements by filing the necessary paperwork, performing the required activities,
       and obtaining the essential permits; and
   •   Identify additional sources of information to help implement these requirements throughout your
       project.

   The guide contains two parts. Part I presents background information on environmental requirements
for the construction and development industries. It also contains a checklist to  help assign environmental
responsibilities. Part II contains seven self-audit checklists that help construction companies evaluate their
compliance status in these seven areas once the project has commenced.
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Managing Your Environmental Responsibilities                                                   Foreword



    This guide can be used at the following stages of your project:

    Pre-Bid
    A clear understanding of the federal environmental requirements is necessary even at the pre-bid
phase. Not including the cost of complying with environmental requirements up front can lead to cost over-
runs or profit loss in the future.  By using this document, owners/developers will be able to determine the
level of effort needed to comply with the requirements, and the contractors/subcontractors can more accu-
rately include environmental compliance costs in their bids.

    Pre-Construction
    If you do not assign responsibility for environmental compliance before you start the  project, some
important steps may be omitted during construction.  Prior to breaking ground, you should sit down with the
other members of the construction team, and use this document to assign responsibility for meeting your
environmental obligations. Section II in Part I of this guide contains a checklist of required tasks for each
federal environmental regulation associated with the  construction process. By completing these checklists
prior to breaking  ground, you will help ensure that your environmental requirements are not overlooked
during construction.

    During Construction
    No matter how thoroughly you prepare for a construction project, you may still encounter unexpected
situations requiring environmental knowledge and understanding. You can use this guide as a reference
tool to find answers to questions that you encounter during the construction process. It identifies  many
resources you will find useful. Additionally, the seven  self-audit checklists contained in Part II of this guide
will help  you apply the knowledge gained  in Part I to  your actual construction site.

    With  the help  of this document,  you can properly manage your environmental responsibilities, and
therefore reduce the risk of future enforcement actions and penalties.
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Managing Your Environmental Responsibilities                                      Document Contents
                                      Document  Contents
Part  I - A Planning Guide for Construction and Development
I.    Introduction	1
II.    List of Questions for Owners and Contractors	5
III.   Stormwater Permit Requirements for Construction Projects	17
IV.   Dredge and  Fill/Wetlands (Section 404) Permit Requirements for Construction Projects	25
V.    Oil Spill Prevention Requirements for Construction Activities	33
VI.   Hazardous and Non-Hazardous Solid Waste Requirements for Construction Projects	39
VII.   Hazardous Substances (Superfund Liability) Requirements for Construction Activities	49
VIII.  Polychlorinated Biphenyl (PCB) Waste Requirements for Construction Activities	55
IX.   Air Quality Requirements for Construction Activities	63
X.    Asbestos  Requirements for Construction Activities	69
XI.   Endangered  Species Act (ESA) Requirements for Construction Activities	75
XII.   National  Environmental Policy Act (NEPA)	85
XIII.  National  Historic  Preservation Act (NHPA)	87
XIV   Additional Sources of Information	89

Part  II - Self-Audit Checklists
Section I.   Stormwater Checklist	1-1
Section II.  Dredge and Fill/Wetlands  (Section 404) Checklist	ll-l
Section III. Oil Spill Prevention Checklist	Ill-l
Section IV  Hazardous Waste Checklist	IV-1
Section V  Hazardous Substances (Superfund Liability) Checklist	V-l
Section VI. Polychlorinated Biphenyl (PCB) Checklist	Vl-l
Section VII. Asbestos Checklist	Vll-l
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Managing Your Environmental Responsibilities                                              Document Contents
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                                         Part  I

              A                    for Construction
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Managing Your Environmental Responsibilities                                        Section I - Introduction
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   Managing Your Environmental Responsibilities                                   Section I - Introduction
                                   OF               FOR        I
I. Introduction [[[ 1
  A.  How Can This Guide Help You?	2
  B.  Some Key Points To Keep In Mind	2
  C.  Key References to Supplement the Guide ........................................ 3
II. List of Questions for Owners and Contractors. ................................... 5
  A.  Stormwater Permits	5
  B.  Dredge and Fill Wetlands (Section 404) Permit Requirements	7
  C.  Oil Spill Prevention Requirements  .............................................. 8
  D.  Hazardous and Non-Hazardous Solid Waste Requirements ........................... 9
  E.  Hazardous Substances (Superfund Liability) Requirements	11
  F.   Polychlorinated Biphenyl (PCB) Waste Requirements	12
  G.  Air Quality Requirements	13
  H.  Asbestos Requirements[[[ 14
  I.   Endangered Species Act (ESA) Requirements 	15
III. Stormwater Permit Requirements for Construction Projects	 17
  A.  Is a Stormwater Permit Required for Your Construction Project?	18
  B.  Are You Responsible for the Permit?  ........................................... 1 8
  C.  What Are the Penalties? [[[ 1 9
  D.  In General, What Are the Permit Requirements?	20
  E.  Where Do You Get a Permit?	22
  F.   What Questions Do You Need to Answer Before Starting Your Construction Project?	23
  G.  Where Can You Get Additional Information?. .................................... 23
IV. Dredge and Fill/Wetlands (Section 404) Permit Requirements for Construction Projects. . . 25
  A.  Is a Section 404 Permit Required for Your Construction Project?	26
  B.  Are You Responsible for the Permit?	28
  C.  What Are the Penalties for Working Without the Proper Permit? ....................... 29
  D.  In General, What Are the Permit Requirements?  .................................. 30
  E.  Where Do You Get a Permit?	31
  F.   What Questions Do You Need to Answer Before Starting Your Construction Project?	31
  G.  Where Can You Get Additional Information?	32
V. Oil Spill Prevention Requirements for Construction Activities. ....................... 33
  A.  Do Oil Spill Requirements Apply to Your Construction Project? ........................ 34
  B.  Are You Responsible for Meeting Oil Spill Prevention Requirements?	35
  C.  What Are the Penalties?	35
  D.  In General, What Are the Oil Spill Requirements? ................................. 36
  E.  What Questions Do You Need to Answer Before Starting Your Construction Project? ........ 37

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Managing Your Environmental Responsibilities                                    Section I - Introduction
   VI. Hazardous and Non-Hazardous Solid Waste Requirements for Construction Projects .... 39
      A.  What are Your Non-Hazardous Waste Requirements?	40
      B.  What are Hazardous Wastes?. ............................................... 41
      C.  Are You Responsible for Meeting Hazardous Waste Requirements?. .................... 42
      D.  What Are the Penalties for Not Meeting the Hazardous Waste Requirements?	43
      E.  In General, What Are the Hazardous Waste Requirements?	44
      F.   What Questions Do You  Need to Answer Before Starting Your Construction Project? ........ 47
      G.  Where Can You Get Additional Information?. .................................... 47
   VII. Hazardous Substances (Superfund Liability) Requirements for Construction Activities  ... 49
      A.  Does Your Construction Project Site Contain Hazardous Substances?	51
      B.  Are You Responsible for Meeting CERCLA/EPCRA Requirements? ...................... 52
      C.  What Are the Penalties? [[[ 53
      D.  In General, What are the Steps for Cleanup?	53
      E.  What Questions Do You  Need to Answer Before Starting Your Construction Project?	54
      F.   Where Can You Get Additional Information?	54
   VIM. Polychlorinated Biphenyl (PCB) Waste Requirements for Construction Activities. ....... 55
      A.   Could Your Construction Project Site Contain PCBs? ............................... 55
      B.   Are You Responsible for Addressing PCB Wastes?	57
      C.   What Are the Penalties?	57
      D.   In General, What are the Storage and Disposal Requirements? ....................... 58
      E.   What Questions Do You  Need to Answer Before Starting Your Construction Project? ........ 62
      F.   Where Can You  Get Additional Information?	62
   IX. Air Quality Requirements for Construction Activities	 63
      A.   What Clean Air Act (CAA) Programs Apply to Your Construction Project?	64
      B.   Are You Responsible for the Permit?  ........................................... 67
      C.   What Are the Penalties for Working Without the Proper Permit? ....................... 67
      D.   Where Do You Get a Permit?	67
      E.   What Questions Do You  Need to Answer Before Starting Your Construction Project?	67
      F.   Where Can You  Get Additional Information?. .................................... 67
   X. Asbestos Requirements for Construction Activities. ............................... 69
      A.   Could Your Construction Project Site Have Asbestos-Containing Materials (ACM) or Regulated
          Asbestos-Containing Materials (RACM)?	70
      B.   Are You Responsible for Addressing ACM Wastes?	71
      C.   What Are the Penalties? [[[ 72
      D.   In General, What are the Removal and Disposal Requirements? ...................... 72
      E.   What Questions Do You  Need to Answer Before Starting Your Construction Project?	74
      F.   Where Can You  Get Additional Information?	74

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   Managing Your Environmental Responsibilities                                    Section I - Introduction
XI. Endangered        Act (ESA) Requirements for Construction Activities. .............. 75
  A.  Coverage Under the Construction General Permit	76
  B.  Federal Funding or Federal Permitting For a Construction Project...................... 80
  C.  Construction Activities That Impact a Listed Species and/or Critical Habitat. .............. 81
  D.  What Are the Penalties?	82
  E.  What Questions Do You Need to Answer Before Starting Your Construction Project?	83
  F.   Where Can You Get Additional Information?. .................................... 83
XII.  National Environmental Policy Act (NEPA). .................................... 85
XIII. National Historic Preservation Act (NHPA) .................................... 87
XIV. Additional Sources of Information .......................................... 89
  A. Map of EPA Regions	90
  B. Glossary of Terms and Acronyms	91
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Managing Your Environmental Responsibilities                                    Section I - Introduction
                                    I.  Introduction
          Are you involved in construction projects? Are you an owner, developer, contractor,
          subcontractor, architect, construction manager, or design engineer? If so, you may
          be responsible for meeting requirements of federal, state, and local environmen-
          tal regulations. This guide presents information on your federal environmental
responsibilities. While the guide can be used during all stages of construction projects, the
best time to begin using this guide is before a project is bid.

   Part I of this guide is intended to facilitate discussions among the various parties involved in construc-
tion projects to ensure that federal environmental requirements are addressed. If you are an owner, devel-
oper, general contractor, subcontractor, architect, or another party involved in a construction project, you
should review this guide before the project begins to know the federal environmental requirements.  During
your discussions, you also should determine who is responsible for each requirement, so you can better
assess project costs and reduce the potential risks and liability for all parties.

   Section XIV of Part I of this guide contains a map of the EPA Regions and a glossary  of the terms and
acronyms used throughout this guide. Part II of this guide provides self-audit checklists for you to determine
if your operations are in compliance with  EPA's requirements. This guide complements the Federal
Environmental Requirements for Construction guide located at
http://www.cicacenter.org/links.
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Managing Your Environmental Responsibilities                                        Section I - Introduction
A.        Can This                 You?
At the onset of a construction project, it is important to clearly identify who will address the environmental
requirements. Because many parties are involved in construction projects, different parties may be responsi-
ble for addressing different environmental requirements. For example, some requirements may be more
appropriately addressed by the owner or developer, while others may be more appropriately addressed by
contractors or subcontractors. This guide is intended to help you determine "who is doing what" and to
help you avoid potential liabilities and penalties associated with not addressing these requirements.

    Section II of Part I  of this guide contains  a list of questions that you should answer prior to starting a
construction project. Next to each question is a space to indicate who will address the requirement. You can
use this section to help determine and keep a record of who is responsible for each  item.

    Sections III through XIII of Part I of this guide contain additional details on the specific environmental
requirements. These sections will help you to:

    «  Learn about the environmental requirements for construction  projects including the types of environ-
       mental permits you may need;
    *  Learn about possible penalties associated with not following the environmental requirements; and
    •  Find additional resources and information.

    The seven self-audit checklists in Part II of this guide can help you monitor your operations and ensure
compliance in these areas to avoid violations and fines.

B.                         To         In
When reading this guide, keep In mind the following:

    1.  This guide presents information on federal environmental requirements. However, in many cases,
       state and local requirements may apply to your construction site  and may be more stringent
       than the federal requirements. You should always check with your state and local agencies before
       starting a construction project to make sure  that you are addressing all relevant requirements. You
       can find information  on state-specific requirements and  contact information for state environmental
       departments at the Construction Industry Compliance Assistance Center (http://www.cicacenter.org).
    2.  Many of the environmental regulations do not specifically define the responsible party (e.g., owner,
       developer, contractor). Therefore, it is possible that all involved parties may be liable (i.e., be sub-
       ject to penalties) if requirements are not met. Use this guide to start a dialogue with all parties involved
       to ensure that the requirements are met. Where available, the guide presents examples of entities that
       have been held liable in past cases.
    3.  This guide presents information on potential penalties if environmental  requirements are not met.
       However, citizen lawsuits and delayed projects    also potential consequences. These
       impacts can be far more  damaging than the monetary penalties presented in this guide.

    This guide presents specific information on a number of federal environmental requirements for general
construction projects.  In addition to these requirements, you should also be aware that when a federal
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Managing Your Environmental Responsibilities
                           Section I - Introduction
agency makes a decision to entirely or partly finance, assist, conduct, regulate or approve a construction
project, the project may also be subject to requirements in cross-cutting environmental laws. There are
three different federal requirements that are pertinent to the construction industry that were not developed
and promulgated by EPA. They are the Endangered Species Act (ESA), the National Environmental Policy
Act (NEPA), and the National Historic Preservation Act (NHPA), discussed in Sections XI through XIII of Part I
of this guide, respectively. Although EPA does not have  jurisdiction over these requirements, they are dis-
cussed briefly to raise awareness. EPA recommends that you reference the specific agencies and listed
resources for more information.

C. Key References to Supplement the Guide
The following table contains a list of web sites that you  can use to quickly access additional information on
each of the topics discussed in this guide. Other supplemental resources are provided at the end of each
section in Part I of this guide.
   Key  References
   Key References for Information on Environmental Responsibilities:
   The Construction Industry Compliance Assistance
   Center: http://www.cicacenter.org/index.cfm
   The National Environmental Compliance
   Assistance Clearinghouse:
   http://www.epa.gov/clearinghouse/
   ERA's "Where you live" page contains links to
   state environmental agencies:
   http://www.epa.gov/epahome/
   whereyoulive.htm
   ERA's Office of Wastewater Management, NPDES
   Stormwater  Program:
   http://www.epa.gov/npdes/stormwater
   EPA's Office of Wetlands, Oceans, and
   Watersheds  (OWOW):
   http://www.epa.gov/owow/
   EPA's Office of Solid Waste and Emergency
   Response:
   http://www.epa.gov/epaoswer/osw/
   laws-reg.htm
   EPA's Oil  Program Web Site:
   http://www.epa.gov/oilspill/
EPA's Superfund Web Site:
http://www.epa.gov/superfund/index.htm
EPA's Polychlorinated Biphenyl (PCB) Homepage:
http://www.epa.gov/pcb/
EPA's Air Program Mobile Sources Page:
http://www.epa.gov/ebtpages/
airmobilesources.html
EPA's Asbestos Management and Regulatory
Requirements Web Site:
http://www.epa.gov/fedsite/cd/asbestos.html
EPA's Cleanup Enforcement (CERCLA or
Superfund) Web Site:
http://www.epa.gov/compliance/cleanup/
The U.S. Fish and Wildlife Service Endangered
Species Program Web Site:
http://endangered.fws.gov/
National Oceanic and Atmospheric
Administration (NOAA) Fisheries, National
Marine Fisheries Service  Web Site:
http://www.nmfs.noaa.gov/endangered.htm
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Managing Your Environmental Responsibilities         Section II - List of Questions for Owners and Contractors
                                 II.  List  of Questions
                                 for  Owners  and
                                 Contractors
       This section contains a list of questions to help owners and contractors assign who is
       responsible for ensuring compliance with the applicable environmental regulations
       discussed in this guide. You should make these assignments prior to beginning any
       construction activity. If you are unfamiliar with these environmental regulations,
you should reference the corresponding detailed section (Sections III through XI of Part I) of
the guide for more information. These sections contain detailed information and helpful
resource links related to each  regulation. Please note that this section does not include
checklists for NEPA and NHPA. For more information on these regulations, go to
http://ceq.eh.doe.gov/nepa/nepanet.htm and http://www.achp.gov.

A.  Stormwater Permits (detailed discussion starting on page 17 of this guide)

                                                                 Assigned To

Getting a Permit

A.I.   Who will determine if you need a stormwater permit?
      (A permit is generally required when at least one acre of land is disturbed.)  	
A.2.   Who will find out what agency issues the stormwater permit
      for your location (i.e., U.S. EPA, state, or local government) and
      get the permit? To determine your permitting authority, go to the
      following web site: http://cfpub.epa.gov/npdes/stormwater/
      authorizationstatus.cfm. If your construction activity occurs in an area
      where the state issues permits, contact your state for further information
      about applicable requirements.
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Managing Your Environmental Responsibilities          Section II - List of Questions for Owners and Contractors



A.  Stormwater Permits (continued)

                                                                              Assigned To

Getting a Permit

       The following questions specifically apply to the Federal Construction General Permit.

A.3.   Who will submit the  Notice of Intent (NOI) before the start of the
       construction project and submit the Notice of Termination (NOT)
       to EPA when the construction project is complete?                         	
A.4.   Who will comply with the Endangered Species Act requirements?

A.5.   Who will determine if the receiving waters are covered under a
       Total Maximum  Daily Load (TMDL) requirement?

A.6.   Who will develop the stormwater pollution prevention plan (SWPPP)
        includes selection of appropriate BMPs?

Meeting Permit  Requirements

A.7.   Who will perform and document the inspections?

A.8.   How often will inspections be performed?

A.9.   Who will install and  maintain Best Management Practices (BMPs) and
       stormwater controls?

A. 10.  Who will notify site personnel of the permit requirements (e.g.,
       ensuring controls are In place and telling the recordkeeper of any
       site changes)?

A. 1 1.  Who will modify the  SWPPP during the construction project (including
       updating  records and documenting inspection results)?

A. 12.  Who will update the  site map?

A. 13.  Who will be the recordkeeper?
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Managing Your Environmental Responsibilities          Section II - List of Questions for Owners and Contractors



B.                   Fill Wetlands (Section 404) Permit
                             on         25 of

                                                                                Assigned To

Getting a Permit

B.I.    Who will determine if wetlands are present at the construction site?         	
B.2.    Who will determine whether the construction project will impact waters
       of the United States (i.e., will fill materials or pollutants be discharged into
       wetland areas)?

B.3.    Who will determine if the Section 404 permit requirements apply to your
       construction project (including a review of exempt activities)? Contact your
       state environmental department and the Army Corps of Engineers  (COE)
       District Office for requirements.

B.4.    Who will determine if Section 401 state certification is required, or if the
       state has already granted certification for any general permits in the area?

B.5.    Who will perform (or hire someone to perform) the wetland delineation,
       if required?

B.6.    Who will determine if a  Nationwide Permit (or regional or state general
       permit) is applicable  to your construction project?

B.7.    Nationwide Permits: Who will submit  a preconstruction notification,
       if required?

B.8.    Individual Permits:  Who will submit the application for an individual permit
       and check that the permit is received?

Meeting Permit Requirements

B.9.    Who will perform mitigation activities under your permit?

B.I 0.  Who will ensure  that  any general or special conditions in the permit are
       met (applies to general and individual permits)?

B.I 1.  Who will maintain  the necessary documentation?

B.I 2.  Who will submit  a  compliance  certification once the construction is
       complete, if required?
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Managing Your Environmental Responsibilities          Section II - List of Questions for Owners and Contractors
C.  Oil                                                                              on
     33 of

                                                                                 Assigned To

Spill Prevention Control and Counter-measures (SPCC) Requirements

C.I.   Who will determine if SPCC requirements apply (i.e., determining oil
       storage capacity at the site and whether the site location poses a hazard)?  	
C.2.   Who will develop the SPCC Plan?

C.3.   Who will keep the SPCC Plan?

C.4.   Who will update the SPCC Plan with changes to the construction site and
       maintain documentation/records?

C.5.   Who will be responsible for implementing the plan? See Section III.D
       in  Part I of this guide for more information.

C.6.   Who will maintain any secondary containment or diversionary structures?

C.7.   Who will perform the necessary inspections?

C.8.   Who will inspect the integrity of the storage tanks?

C.9.   Who will train site personnel?

C.10.  Who will ensure fuel transfer requirements are met?

C.I 1.  Who will report any oil spills to the National Response Center
       and state and local  authorities?

C.I 2.  Who will perform any necessary response actions following an oil spill?
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Managing Your Environmental Responsibilities          Section II - List of Questions for Owners and Contractors
D.                      Non-Hazardous                                              dis-
     cussion            on        39 of

                                                                               Assigned To

Determining Applicability

D.I.    Who will determine if hazardous wastes are present at the construction site
       (e.g., fluorescent bulbs containing mercury removed during demolition,
       contaminated soil)?                                                     	
D.2.   Who will identify whether additional hazardous wastes will be generated
       during construction activities (e.g., ignitable paint wastes, degreasing
       solvents, remediation waste that is also considered a hazardous waste)?

D.3.   Who will submit the preliminary notification to EPA or the state once
       hazardous waste is generated?

D.4.   Who will get the EPA ID number?

D.5.   Who will determine whether the site is a large, small, or conditionally
       exempt small quantity generator?

Following are Hazardous Waste Requirements for Generators

D.6.   Who will be  responsible for proper management and disposal of any
       hazardous wastes present at the construction site?

D.7.   Who will establish and maintain hazardous waste storage requirements?

D.8.   Who will develop the contingency plan and emergency procedures,
       as required?

D.9.   Who will maintain the necessary documentation?

D.10.  Who will ensure that site personnel are trained to handle hazardous waste?

D.I 1.  Who will determine whether a RCRA permit or Remedial Action Plan (RAP)
       is required (i.e., who will keep track of how long  hazardous waste is stored
       at the site)?

D.I 2.  Who will get the hazardous waste permit, if required?

D.I 3.  Who will hire a licensed hazardous waste hauler?

D.I 4.  Who will properly package the hazardous waste for transport?

D.I 5.  Who will mark and label the  package?
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Managing Your Environmental Responsibilities          Section II - List of Questions for Owners and Contractors



D.                      Non-Hazardous                                   (continued)

                                                                              Assigned To

Determining Applicability

D.I 6.  Who will complete and sign the Uniform Hazardous Waste Manifest?       	

Solid Waste/Construction and Demolition Debris Requirements

D.I 7.  Who will contact the state environmental department for any applicable
       solid waste or construction and demolition debris requirements?            	
D.I 8.  Who will review the state requirements and designate responsibility?

D.I 9.  Who will meet state recycling standards, if applicable?
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Managing Your Environmental Responsibilities           Section II - List of Questions for Owners and Contractors
E.                                                Liability)                                dis-
     cussion            on        49  of

                                                                                 Assigned To

Pre-PIanning Issues

E.I.    Who will conduct the historical review (to determine the possible presence
       of hazardous substances) of the construction site?                          	
E.2.    If this is a Superfund or brownfield property, who will identify and analyze
       if there are specific issues associated with the site (e.g., are there ongoing
       or remaining cleanup or long-term maintenance obligations associated
       with the site)?

E.3.    Who will ensure that soil, air, and water samples are collected and analyzed,
       if necessary?

E.4.    If a hazardous substance is found, who will contact the
       National Response Center?

E.5.    Who will coordinate with EPA regarding any necessary site cleanup
       activities?

E.6.    Who will follow the steps of the Brownfields Program if the construction
       site is a brownfield site?

E.7.    Who will maintain documents/records containing hazardous
       substance information?

Project-Related Wastes

E.8.    Who accepts responsibility for generated wastes? The waste "generator"
       is the person whose activity first "produces" the waste.

E.9.    Who will ensure proper handling, storage, transport, and disposal
       of wastes?

E.10.  Who will ensure that reporting obligations are met?

E.I 1.  Who will work with EPA to conduct site cleanup, if necessary?
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Managing Your Environmental Responsibilities          Section II - List of Questions for Owners and Contractors



F.   Polychlorinated Blphenyl  (PCB)
               on        55 of

                                                                               Assigned To

Identifying PCB Materials

F.I.    Who will determine if PCB materials or equipment are at your site?         	

F.2.    Who will label all  PCB-containing materials?                              	

F.3.    Who will determine the actual PCB concentrations?
F.4.    Who will determine what items will be stored for reuse or
       removed for disposal?

F.5.    Who will look for old spills or leaks?

Handling PCB Materials

F.6.    Who will be responsible for handling any PCB remediation issues?

F.7.    Who will be responsible for cleaning up new spills?

F.8.    Who will contact the National Response Center in case of a spill emergency?

F.9.    Who will complete and file the PCB Activity Form?

RIO.   Who will prepare the materials for storage or disposal?

F. 11.   Who will determine if the site has an allowable permanent PCB
       waste storage area?

F. 12.   Who will inspect PCB waste storage areas?

F. 13.   Who will complete and sign the waste manifest?

F. 14.   Who will keep all of the records including the activity form, the manifest,
       the certification  of disposal, and any on-site inspection reports?

F. 15.   Who will identify and hire the companies that will be used to transport
       and dispose of PCBs?
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Managing Your Environmental Responsibilities          Section II - List of Questions for Owners and Contractors
G. Air Quality                                                        on        63 of
    guide)

                                                                               Assigned To

Getting a State Implementation Plan (SIP) Permit

G.I.   Who will determine if you need an air permit? A permit may be
       required for the uncontrolled open burning of debris, dust generation,
       vehicle emissions, and combustion gases from oil-fired equipment.         	
G.2.   Who will be responsible for getting the air permit?                         _

G.3.   Who will be responsible for implementing the requirements of the SIP permit?

Getting a New Source Performance Standard (NSPS) Permit

G.4.   Who will determine if an NSPS permit is required (i.e., if a rock crusher,
       cement plant, or hot mix asphalt plant is operated on site)?                ___
G.5.   Who will notify site personnel of the permit requirements if a large source
       of emissions such as a rock crusher, cement plant, or a hot mix asphalt plant
       is located at the construction site (e.g., ensuring that proper recordkeeping
       and monitoring are completed)?

Ozone Depleting Substances (CFCs)

G.6.   Who will determine if equipment containing ozone depleting substances is
       located at the site?

G.7.   Who will be responsible for disposing of any equipment containing ozone
       depleting substances located at the site?

G.8.   Who will determine if the equipment containing ozone depleting substances
       will  be removed for treatment off site or treated on site before demolition
       activities are begun?

G.9.   Who will maintain copies of records from the disposal contractor verifying
       that the  ozone depleting substances have been removed from the
       appliances?

G.I 0.  Who will determine if the Transportation Conformity Rule applies?

G.I 1.  Who will determine if the project meets the requirements of the
       Transportation Conformity  Rule?
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Managing Your Environmental Responsibilities           Section II - List of Questions for Owners and Contractors



H.                                                                      on         69 of
     guide)

                                                                                 Assigned To

Asbestos

H.I.   Who will schedule the site inspection with a certified asbestos inspector?     	
H.2.   If asbestos is present, who will determine if it will be disturbed in amounts
       greater than the "threshold" quantities?

H.3.   Who will ensure that an approved laboratory is used for testing
       the asbestos?

H.4.   Who will complete and submit the notification form?

H.5.   Who will hire the asbestos removal/remediation company and ensure that
       they have the proper  licenses and certifications?

H.6.   Who will notify the state Health Department (if required)?

H.7.   Who will receive the notification form?

H.8.   Who will be responsible for proper handling of asbestos materials
       (e.g., wetting the material)?

H.9.   Who will maintain the records of asbestos inspections and notifications?
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Managing Your Environmental Responsibilities           Section II - List of Questions for Owners and Contractors
I.                             Act (ESA)
     on        75 of

                                                                                Assigned To


1.1.    Who will determine whether your construction activity involves a
       federal action?
Responsible Party

1.2.    Who will check during the planning process whether the federal agency
       or another party will be fulfilling the ESA requirements?

Environmental Assessment

1.3.    Who will contact state or federal fish and/or wildlife agencies to determine
       whether state or  ESA-listed species or habitat may be affected?

1.4.    Who will maintain the necessary documentation (e.g., communication for
       federal fish and/or wildlife agencies, biological assessments)?
       If listed threatened or endangered         or critical habitat for                  found in
       your construction area:

1.5.    Who will evaluate whether your construction project will adversely impact
       the listed species/habitat (i.e., perform/coordinate  biological evaluation
       or assessment)?                                                         	
1.6.    Federal Action Projects: Who will submit the biological evaluation/assessment
       to the National Oceanic and Atmospheric Administration (NOAA)-Fisheries
       for marine species or the U.S. Fish & Wildlife Service (USFWS)
       for all other species?
       If assessment determines that your activities will impact listed threatened or endangered
       species or critical habitat:

1.7.    Who will ask the USFWS/National Marine Fisheries Service (NMFS) or
       appropriate state environmental protection agency for advice on how to
       reduce potential impacts?                                                	
1.8.    Who will develop alternate project scopes to avoid adverse impacts?
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Managing Your Environmental Responsibilities          Section II - List of Questions for Owners and Contractors



I.                             Act (continued)

                                                                               Assigned To

       If assessment determines that impacts cannot be avoided:

1.9.    Federal Action Projects: Who will request a formal consultation
       (Section 7 consultation) in writing with the USFWS/NMFS or appropriate
       state environmental  protection agency? The request must include:
       1) description of the activity, affected area, listed species/habitat potentially
       impacted, how the activity will impact the species/habitat, and analysis of
       cumulative effects; 2) relevant reports; and 3) other relevant documentation
       including all previous communication with NOAA-Fisheries/USFWS.         	
 .10.   Non-Federal Action Projects: Who will apply for an ESA permit and coordinate
       with USFWS/NMFS (process is referred to as a Section 10 consultation)?
       Your application needs to include a habitat conservation plan and
       additional measures.
1.11.   Who will  be responsible for ensuring a permit is received from
       USFWS/NMFS?

Meeting ESA Requirements

1.12.   Who will  ensure that habitat enhancement requirements are met,
       if required?

1.13.   Who will  ensure that any restrictions on construction activities are met?
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Managing Your Environmental Responsibilities
        Section III - Stormwater Permit Requirements
                                 III.  Stormwater  Permit
                                 Requirements for
                                 Construction  Projects
       Before beginning any construction project, you must consider the Stormwater dis-
       charges from your site. These discharges are generated by runoff from or across dis-
       turbed land, vegetative areas, and impervious areas (e.g., paved streets, parking
       lots, and building rooftops) during rainfall and snow events. Stormwater discharges
often contain pollutants in quantities that could adversely affect water quality. If your proj-
ect disturbs one or more acres, or disturbs less than one acre but is part of a larger common
plan of development or sale that will disturb one or more acres, you may need a Stormwa-
ter permit. To get a permit, you must meet either the requirements of the EPA Construction
General Permit (CGP), state-specific general Stormwater permits, or site-specific Stormwater
permits.
  Definitions
   Construction Activities—Can include but is not
   limited to: grading; excavation; road building;
   construction of residential houses, office buildings,
   and industrial sites; demolition and  other construc-
   tion-related activities.

   Land Disturbance—Exposed soil due to clearing,
   grading, or excavation activities.

   Operator—The party (ies) that has: (1) opera-
   tional control of construction project plans and
   specifications, including the ability to make modifi-
   cations to those plans, or (2) day-to-day opera-
   tional control of stormwater compliance activities.
Stormwater—Stormwater runoff, snow melt
runoff, and surface runoff and drainage.

Waters of the United States—All waters current-
ly used, or used in the past, or may be susceptible
to use in interstate or foreign commerce, including
all waters that are subject to ebb and flow of the
tide. Waters of the United States include, but are
not limited to, all  interstate waters and intrastate
lakes, rivers, streams (including intermittent
streams),  mudflats, sandflats, wetlands, sloughs,
prairie potholes, wet meadows, play lakes, or nat-
ural ponds. See 40 Code of Federal Regulations
(CFR) Part 122.2 for the complete definition.
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Managing Your Environmental Responsibilities
                                                           Section III - Stormwater Permit Requirements
                                                        Acronyms
                                                        BMP—Best Management Practice
                                                        CFR—Code of Federal Regulations
                                                        CGP—Construction General Permit
                                                        CWA—Clean Water Act
                                                        NOI—Notice  of Intent
                                                        NOT—Notice of Termination
                                                        NPDES—National Pollutant Discharge
                                                                 Elimination System
                                                        SWPPP—Stormwater Pollution Prevention Plan
   The EPA CGP is developed under the National
Pollutant Discharge Elimination System (NPDES) pro-
gram, which stems from the Clean Water Act (CWA).
The regulatory text discussing this program (40 CFR Part
122) can be found at http://ecfr.gpoaccess.gov under
"Title 40 - Protection of the Environment." Your state
may have  authority to issue permits for the NPDES pro-
gram, rather than EPA. Section III-E of Part I of this guide
identifies states that do not issue their own permits (i.e.,
where EPA is the permitting authority). Note that states'
requirements may differ. If you are located in a state that
Stormwater permits, contact your state environmental
department for further information. You can also search
for your state requirements at the Construction Industry
Compliance Assistance Center
(http://www.cicacenter.org/).
A.  Is a Stormwater Permit Required for Your Construction Project?
To determine if your project requires a Stormwater permit for construction activities, consider the following questions:

    •   Will your construction project disturb one or more acres of land?
    •   Will your construction project disturb less than one acre of land but is part of a larger common plan of
       development or sale that will  disturb a total of one or more acres of land?
    •   Will your construction project disturb less than
       one acre of land but is designated by the NPDES
       permitting authority (state agency or EPA) as a
       regulated construction activity?
    •   Will Stormwater from the construction site flow to
       a municipal separate storm sewer system (MS4)
       or a water of the United States?

    If you have answered "Yes" to any of the first three questions AND "Yes" to the fourth question, then you
need a Stormwater  permit for your construction activities.  Please note that some municipalities also are
required to implement Stormwater control programs; therefore, check with your municipality for their
own requirements.

B.   Are You Responsible for the Permit?
For ERA's CGP, you  are responsible for getting a Stormwater permit if you are considered to be an "operator"
of the construction site. (If your site is in a location where the Stormwater program is run by the state rather
than EPA, keep  in mind that the state authority may have different requirements regarding who is required to
obtain  permit coverage).  Depending  on your site and the relationship between all of the parties (e.g., owner,
developer, general  contractor, subcontractors), there  can either be a single site operator or multiple operators.
                                                         For more information on the NPDES
                                                              Stormwater Program go to:
                                                       http://www.epa.gov/npdes/stormwater
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Managing Your Environmental Responsibilities
                Section III - Stormwater Permit Requirements
For most construction projects, multiple parties are involved; several parties may meet the defini-
tion of operator and therefore be required to obtain coverage under EPA's CGP.

   Are You Responsible for Getting a Permit?
    EPA requires each party who is considered an "operator" to get permit coverage by submitting your
application to EPA or the state authority. The owner, developer, general contractor, and architect could all
be considered "operators" and may be required to obtain permit coverage. (Again, some states may have
requirements different from EPA regarding permit coverage. To determine those requirements, you will need
to consult the specific permit in the state you are operating. EPA's "Where you live" page contains links to
state environmental agencies: http://www.epa.gov/epahome/whereyoulive.htm.) Prior to  obtaining permit
coverage, you will need to develop a stormwater pollution prevention plan (SWPPP).

   Are You Responsible for Meeting Permit Requirements?
    For EPA's CGP, you must obtain permit coverage if you meet either of the following criteria:

    •   Do you have control of construction project plans and specifications, 'including the ability to make
       modifications to those plans and specifications?
    •   Do you have day-to-day control of those  act'iv'it'ies that are necessary to ensure compliance w'lth a
       SWPPP for the site or other permit    	
       conditions (e.g., are you authorized
       to direct workers at a s'lte to carry
       out act'iv'it'ies required by the SWPPP
       or other permit conditions)?

    If you answer "Yes" to one or both of
these questions, you are likely responsible
for meeting the permit requirements.

    After you obtain permit coverage, you
must follow the requirements of the permit
(e.g., maintaining soil and erosion con-
trols, updating your SWPPP, conducting
inspections, keeping records) as discussed
in Section III-D of this guide.  Typically, the
contractor or subcontractor carries out
activities to meet the permit requirements
and notes any changes to the SWPPR

C.  What Are  the  Penalties?
The goal of the CWA is to "restore and
maintain the chemical, physical, and  bio-
logical integrity of the Nation's waters."
The CWA prohibits the discharge of pollu-
Case Studies
In May 1 2, 2004, the Department of Justice and EPA,
along with the U.S. Attorney's office for the District of
Delaware and the States of Tennessee, and Utah reached
a CWA settlement for stormwater violations at Wal-Mart
store construction sites across the country. Under this set-
tlement, Wal-Mart agreed to pay a $3.1  million civil
penalty and conduct an environmental project costing
$250,000 that will protect sensitive wetlands or water-
ways in  one of the affected states. This settlement also
requires Wal-Mart to comply with stormwater permitting
requirements and ensures  rigorous oversight of its 150
contractors. Wal-Mart will be required to use qualified
personnel to oversee construction, conduct training and
frequent inspections, report to EPA and take quick correc-
tive action.
If all parties involved (Wal-Mart store personnel and con-
tractors) had discussed the stormwater requirements and
followed through with meeting  those requirements before
starting  construction at these sites, penalties for all parties
could have been avoided.
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Managing Your Environmental Responsibilities                     Section III - Stormwater Permit Requirements
fonts by any person from a point source into waters of the United States, except in compliance with various
sections of the Act. As defined by the CWA, "person" means any individual, corporation, partnership, asso-
ciation, state, municipality, commission, subdivision of a state, or interstate body.

    EPA may impose administrative, civil, and criminal sanctions on a property owner and/or a contractor
for failure to comply with the CWA. Administrative penalties can reach $157,500 and civil penalties -
imposed in a judicial proceeding - can reach $32,500 per violation per day.  Under certain circumstances,
the CWA also authorizes criminal penalties. The CWA allows private citizens to bring civil actions against
any person for any alleged violation of "an effluent standard or limitation." In a citizen suit, a court may
issue an injunction and/or impose  civil penalties, litigation costs, and attorney's fees. In addition to fines,
you may need to pay legal fees and face project delays. If legal action is taken against your construction
site, you also may be subject to increased scrutiny at all of your other construction sites by regulatory agen-
cies and the public.

    EPA has pursued enforcement actions against different parties involved in  construction  projects: owners,
developers, general  contractors, subcontractors, etc. For this reason, it is critical to define,  before the start
of the project, who will be responsible for complying with the stormwater requirements; assuming another
party is "taking care of it" does not absolve you from any liability, and more than one party  may be
responsible.

    While owners, contractors, and consulting engineers all may be found  liable  for discharging pollutants
without a  permit, the remedy imposed on  each  may vary, depending on their respective degrees  of control,
responsibility, or involvement In the illegal activity.

D. In General, What       the
If you are located in an area requiring a federal permit, you must meet the EPA CGP requirements.  If your
location requires a state permit, you must meet the state's general  permit requirements. In either case, you
can apply for an individual permit  in lieu of general  permit coverage; however, the individual permit
process can take significantly longer than the general permit process. One of the requirements of the EPA
CGP is to assess the potential effects of your activities on federally  listed endangered and threatened
species and any designated critical habitat that  exists on or near your site.  More  information on the
Endangered Species Act (ESA) and its  requirements is included in Section XI of Part I of this guide.

    Requirements
    The federal CGP, as well as most state general permits, has three major requirements.  Because your site
may have multiple responsible parties, before construction activities begin, the parties should decide, in
writing, who will be held responsible for meeting each requirement. The requirements are:

    1.  Develop  and implement a Stormwater Pollution Prevention Plan (5WPPP) — You must prepare this
       plan prior to submitting a Notice of Intent to EPA; it should  include:
       *  A  site description identifying sources of pollution, including a site map;
       •  A  description of how you will prevent erosion, sediment, and other pollutants from contaminat-
          ing stormwater;
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Managing Your Environmental Responsibilities                     Section III - Stormwater Permit Requirements
          A description of how you will control stormwater flow from your site;
          Documentation supporting permit eligibility with regard to the Endangered Species Act;
          Documentation supporting permit eligibility with regard to local Total Maximum Daily Load
          (TMDL) requirements;
          Clearly outlined roles and
          responsibilities of different oper-
          ators; and
                                            To complete an NOI online or to check the status of your
          T,      ,    |      .,,               NOI in the electronic database go to:
          The protocol you will use to                           ,   ,   ,           /    -  r    ,r
                                            http://ctpub.epa.qov/npdes/stormwater/enoi.ctm.ltyou
          inspect your site.                   ,,                     » >   >. ^         •
                                            do not have Internet access call the NOI Processing
    You also must maintain records of the      Cenfer toN free Qt. 1 _866_352-7755
                                            For a fact sheet on the CGP including detailed informa-
                                            tion on SWPPP requirements go to:
                                            http://www.epa.gov/npdes/pubs/cg p2003_fs.pdf
self-inspections performed and the times
and locations of major land disturbance
and stabilization activities. Make sure these
records are legible and be prepared to
show the SWPPP and records to govern-
ment inspectors who may visit your site. Do  not submit the SWPPP to EPA, but if you are in a state that
administers this program, you may be required to submit the SWPPP to the state. Keep the SWPPP on site
and revise it as needed. For more detail on  SWPPP contents, read the CGR

   2.  Submit a Notice of Intent (NOI) — This notice triggers coverage under the general permit and
       includes general information and a certification that the activity will not impact endangered or threat-
       ened species or any historic places. You may begin work once your NOI is shown in "Active" status
       on the  EPA eNOI web site.  Note that your NOI will appear on the eNOI web site even if you submit
       the NOI in paper form. EPA holds your NOI for seven days before moving it to "Active" status; there-
       fore, you must submit your NOI at least seven days (or longer if submitting  it by postal mail) prior to
       beginning land disturbance (e.g., clearing, grading). Note that states may have different notice
       requirements (e.g., submission  of a NOI 30 days prior to construction, approval prior to construc-
       tion).
   3.  Submit a Notice of Termination (NOT) — You need to submit this to EPA within 30 days after  one or
       more of the  following:
       •  Final stabilization has been achieved on all portions of the site for which the permittee is
          responsible,
       •  Another  operator/permittee assumes control over all areas of the site that have not achieved
          final stabilization,
       •  Coverage has been obtained under an individual or alternative NPDES permit, or
       •  For residential construction only,  temporary stabilization has been achieved and the residence
          has been transferred to the homeowner.
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Managing Your Environmental Responsibilities                     Section III - Stormwater Permit Requirements
    Waivers
    EPA may grant permit waivers for certain construction projects where it is highly unlikely that the activity
will have negative impacts on water quality. These waivers can apply when operators certify to either one of
two conditions:

    1.  Low predicted rainfall potential  (i.e., project occurs during a  negligible rainfall period); or
    2.  Controls are  not necessary based on an EPA-established or -approved Total Maximum Daily Load
       (TMDL) that indicates stormwater will not impact water quality.

    You can get  more details on the waivers at EPA's NPDES web site (http://cfpub.epa.gov/npdes/
stormwater/waiver.cfm).

    Other Permits
    Note that many states have a  variety of construction permits that may apply to your project. Some of
them, like erosion or sediment control permits, have components that are similar to those in the EPA-based
stormwater permit. Keep in mind that complying with these other parallel or unrelated state programs does
not release you from the need to get a  stormwater permit from EPA  or your state. Go to http://www.dca-
center.org/swp2.html for a link to state permit programs.

E.            Do You Get a
If your construction project is located in one of the following states or territories, you must get a federal
stormwater permit from EPA:

       *  Alaska                                 *   New Mexico
       •  American Samoa                       •   Northern Mariana Islands
       •   Guam                                 *   Puerto Rico
       •   Idaho                                 •   Trust Territories
       •  Massachusetts                         •   Tribal Lands (most but not all)
       *   New Hampshire                        *   Washington, D.C.

    Additionally, there are several other instances where the CGP applies, including construction related to
oil and gas activities  in Texas; oil and gas and certain  agricultural and silvicultural activities in Oklahoma;
and construction of federal facilities in Colorado, Delaware, Vermont, and Washington. Refer to Attachment
A of the stormwater checklist in Part II of this guide for more details.
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Managing Your Environmental Responsibilities                    Section III - Stormwater Permit Requirements
    For coverage under the federal CGP, you can submit your NOI and NOT to
http://cfpub.epa.gov/npdes/stormwater/enoi.cfm or to the following addresses:

       Regular U.S. Mail Delivery                  Overnight/Express Mail Delivery
       Stormwater Notice of Intent                 Stormwater Notice of Intent
       U.S. EPA - Ariel Rios Building                U.S. EPA - East Building, Room 7420
       Mail Code 4203M                         U.S. EPA
       U.S. EPA                                 1201  Constitution Ave.,  NW
       1200 Pennsylvania Ave., NW               Washington, DC 20004
       Washington, DC 20460

    If your construction project is in one of the other 45 states or the U.S. Virgin  Islands, you generally must
get a Stormwater permit from the state or territory (note that for certain activities in specific states, such as
oil and gas construction activities in Texas, your project  may require a federal permit). Construction projects
in states authorized to administer the Stormwater program may be subject to requirements that are different
from the CGP  requirements.  In all cases, check with your EPA region or      to determine the
Stormwater requirements that apply. You can find information on state-specific Stormwater permit
requirements and contact information for state environmental departments at the  Construction
Industry Compliance Assistance Center (http://www.cicacenter.org).

F.   What               Do You         to                               Your
     Construction
You can use the questions in Section II of Part I of this guide to start a discussion among all parties involved
in the construction project and to assign tasks to ensure all environmental requirements are met. Each
question has a space next to it to designate who will take  the lead  on each task. Note that designating a
responsible party does not absolve you of your own obligation to meet environmental requirements or lia-
bility for failing to meet these requirements.

G.           Can You                    Information?
Many tools are available to assist you with the Stormwater permit requirements,  including the following:

    •   The Stormwater Self-Audit Checklist in Part II of this guide;
    *   The Construction Industry Compliance Assistance Center provides plain language explanations of
       environmental rules for the construction  industry, including tools to identify state-specific require-
       ments,  permits, and  contacts: http://www.cicacenter.org/stormwater.htrnl;
    •   The National  Environmental Compliance Assistance Clearinghouse contains a search  engine to help
       you find compliance assistance tools, contacts, and EPA-sponsored  programs:
       http://www.epa.gov/clearinghouse/;
    •   The Office of Wastewater Management, NPDES Stormwater Program provides information about
       the NPDES Stormwater program: http://www.epa.gov/npdes/stormwater;
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Managing Your Environmental Responsibilities                     Section III - Stormwater Permit Requirements
       The NPDES Construction Site Stormwater Runoff Control web page provides factsheets on a variety
       of stormwater best management practices (BMPs): http://cfpub.epa.gov/npdes/stormwater/menuof-
       bmps/con_site.cfm;
       Does Your Construction Site Need a Stormwater Permit? A Construction Site Operator's Guide to
       EPA's Stormwater Permit Program is a brochure that provides construction companies with a brief
       overview of EPA's CGP and its requirements: http://www.epa.gov/npdes/pubs/sw__cgp__brochure.pdf;
       Resource List  for Stormwater Management Programs lists resources to help stormwater program
       managers start  developing or improve their stormwater programs:
       http://www.epa.gov/npdes/pubs/sw__resourcejist.pdf;
       The Stormwater Manager's Resource Center contains a series of factsheets for stormwater BMPs that
       include information on soil type, slope, and cost: http://www.stormwatercenter.net/; and
       EPA's "Where you live" page contains links to state environmental agencies:
       http://www.epa.gov/epahome/whereyoulive.htm.
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Managing Your Environmental Responsibilities
        Section IV - Dredge and Fill/Wetlands Permit Requirements
   •  .... ,--»«•«»*,*«
IV.  Dredge  and  Fill/
Wetlands (Section  404)
Permit  Requirements
for Construction
Projects
  If your construction project requires you to perform work in waters of the United States
  or wetlands, most likely you will need to obtain a Clean Water Act (CWA) Section 404
  permit. The regulatory text discussing this program (40 CFR Parts 230-233) can be found
  at http://ecfr.gpoaccess.gov under "Title 40 - Protection of the Environment." The U.S.
Army Corps of Engineers (COE) and EPA regulate the discharge of dredged or fill material
into waters of the United States under Section 404 of the CWA. You need a Section 404 per-
mit if your construction project will result in the discharge of  dredged material (i.e., materi-
al excavated from waters) or fill material (i.e., material placed in waters such that dry land
replaces water—or a portion thereof—or the water's bottom  elevation changes) into a
water of the United States. You must obtain a permit (or permit coverage) prior to starting
construction. Approval of individual permits might take approximately three months,
although general permit authorizations typically take far less  time.
  Definitions and  Acronyms
  Dredged Material—Material that is excavated or dredged from waters in the United States.

  Fill Material—Material placed in waters of the United States where the material has the effect of either
  replacing any portion of water of the United States with dry land or changing the bottom elevation of
  any portion of a water of the United States. Examples include rock, sand, soil, clay, plastics, construction
  debris, wood chips, overburden from mining or other excavation activities, and materials used to create
  any structure or infrastructure in waters of the United States.
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Managing Your Environmental Responsibilities
                                              Section IV - Dredge and Fill/Wetlands Permit Requirements
  Definitions  and  Acronyms
   Waters of the United States—All waters that are currently used, or were used in the past, or may
   be susceptible to use in interstate or foreign commerce, including all waters which are subject to ebb
   and flow of the tide. Waters of the United States generally include all interstate waters as well as
   lakes, rivers, streams (including intermittent streams), mudflats, sandflats, wetlands, sloughs, prairie
   potholes, wet meadows, playa lakes, or natural  ponds. See 40 CFR Part 232.3 for the complete defi-
   nition.

   Wetlands—Areas inundated or saturated by surface or ground water at a frequency and duration
   sufficient to support, and that under normal circumstances do support, a  prevalence of vegetation
   typically adapted for life in saturated soil conditions. Wetlands generally include  swamps, marshes,
   bogs, and  similar areas.


   CFR—Code of Federal Regulations
   COE—Army Corps of Engineers
   CWA—Clean Water Act
                                                    Use the following web site to locate
                                                           your COE district office:
                                                   http://www.usace.army.mil/where.html
   Waters of the United States include wetlands. You must determine whether any wetlands or other waters
are present in your construction area. COE and EPA define wetlands as "areas inundated or saturated by
surface or ground water at a frequency and duration sufficient to support, and that under normal circum-
stances do support, a prevalence of vegetation typically adapted for life in saturated soil conditions.
Wetlands generally include swamps, marshes, bogs, and similar areas." Wetlands are covered by water or
have waterlogged soils for parts of the growing  season. Some wetlands are easy to recognize (e.g.,
swamps and marshes); however, others may be dry
during part of the year and difficult to recognize
(e.g.,  bottomland forests, pocosins, pine savannahs,
wet meadows, and wet tundra). Contact your COE
district office or state environmental department for
further information.

A. Is a Section 404 Permit Required for Your Construction Project?
Answering the following questions will help you  determine whether a Section 404 permit is required for
your construction project.

   Does your construction project (or any part thereof) occur in or impact a water of the United
   States?
   The COE Wetlands Delineation Manual contains information that you can use to help identify a wet-
land.  However, you should consult trained personnel to help you identify jurisdictional waters of the United
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Managing Your Environmental Responsibilities         Section IV - Dredge and Fill/Wetlands Permit Requirements
States, and to identify and delineate (i.e., identify and mark its boundaries) wetlands. Some basic questions
you can ask when determining if your site contains a wetland include the following:

    •   Is your area in a flood plain or otherwise has low spots in which water stands at or above the soil
       surface during the growing season?
    •   Does your area have plant communities that commonly occur in areas having standing water for
       part of the growing season (e.g., cypress-gum swamps, cordgrass marshes, cattail marshes, bulrush
       and tule marshes, and sphagnum bogs)?
                                                 Find the COE Wetlands Delineation Manual
                                                   online at http://www.saj.usace.army.mil/
                                                       permit/documents/87manual.pdf
    •   Does your area have peat or muck soils?
    •   Is your area periodically flooded by tides,
       even if only by strong, wind-driven, or
       spring tides?
    •   Are one or more of the wetland indicators (vegetation, soil, and hydrology) present in your area?
       See the Wetlands Delineation Manual for specific details.

   Will your project involve the discharge of dredged or fill material?
   COE defines discharges of dredged material at 33 CFR Part 323. These discharges, which require per-
mits under Section 404 of the CWA, include:

    •   The addition of dredged material to a specified discharge site located  in waters of the United States;
    •   The runoff or overflow from a contained land or water disposal area; and
    •   Any addition, including redeposit other than incidental fallback, of dredged material, including
       excavated material, into waters of the United States that is incidental to any activity, including mech-
       anized  land clearing, ditching, channelization, or other excavation.

   COE also defines discharges of fill material at 33 CFR Part 323. These discharges, which require per-
mits under Section 404 of the CWA, include:

    •   Placement of fill necessary for the construction of any structure or infrastructure in a water of the
       United  States;
    •   Building of any structure, infrastructure, or impoundment in waters of the United States requiring
       rock, sand, dirt, or other material for its construction;
    •   Site-development fills in waters of the United States for recreational, industrial, commercial, residen-
       tial, or other uses;
    •   Causeways or road fills, dams and  dikes, artificial  islands, beach  nourishment, levees, and artificial
       reefs;
    •   Property protection and/or reclamation devices such as rip rap, groins, seawalls, breakwaters, and
       revetments;
    •   Fill for structures such as sewage treatment facilities;
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Managing Your Environmental Responsibilities         Section IV - Dredge and Fill/Wetlands Permit Requirements
       Intake and outfall pipes associated with power plants and subaqueous utility lines;
       Placement of fill material  in waters of the  United States for construction or maintenance of any liner,
       berm, or other infrastructure associated with solid waste landfills; and
       Placement of overburden, slurry, or tailings or similar mining-related materials in waters of the
       United States.
   Are your activities exempt from a Section 404 permit?
                                                         Contact your state's environmental
                                                       department and the COE District Office
                                                       to determine whether your construction
                                                            project requires a 404 permit.
    Certain activities are exempt from the requirement to get a Section 404 permit. These include discharg-
ing dredged or fill material from normal and ongoing farming, forestry (silviculture), and ranching activi-
ties; maintaining currently serviceable structures such as dikes and dams, including emergency
reconstruction of recently damaged parts; constructing/maintaining farm  or stock ponds or irrigation ditch-
es; maintaining drainage ditches; constructing temporary sedimentation basins on a construction site (does
not include placing fill material into navigable waters); certain construction/maintenance activities for farm
roads, forest  roads, and temporary roads for moving
mining equipment; and other activities meeting cer-
tain Section 404 requirements. The exemption applies
as long as the activity purpose is NOT to bring an
area of the navigable waters into a use to which it
was not previously subject (i.e., the flow or circulation
of navigable waters may  not be impaired or the reach
of such waters may not be reduced). If the activity performed results in bringing an area of the navigable
waters into a  new use, then a Section 404  permit is required for your  construction project. See Section  404
at http://www.epa.gov/OWOW/wetlands/regs/sec404.html  for further details on the exemptions.

    If you  answered "yes" to the first two questions and "no" to the third,  then you will need a Section 404
permit.

B.  Are You  Responsible  for the Permit?
All parties associated with construction projects that impact waters of the  United States could be held liable.
Therefore, the owner,  developer, contractor, and other parties involved should ensure that any necessary
permits are obtained prior to starting construction.

    Are You Responsible for Getting a Permit?
    Typically, either the owner, developer, contractor,  or architect will get the necessary permit. Owners  or
developers usually determine whether any wetlands are at the site and if they will be impacted. Before
receiving a permit, you also must get approval for your project from your state (Section 401 certification).

    There  are two types of Section 404 permits: general permits and individual permits.

    General  Permits. COE issues general permits on a nationwide, regional, or state basis for particular
categories of activities resulting in minimal individual and cumulative impacts to aquatic resources. To
determine if your construction project is covered by a Nationwide Permit,  or by a regional or state general
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Managing Your Environmental Responsibilities
    Section IV - Dredge and Fill/Wetlands Permit Requirements
permit, contact the COE District Office or the state environmental department. You can review the existing
Nationwide Permits on the Corps web site.

    Individual Permits. For projects with greater anticipated impacts, individual permits may be issued for
a specific construction project. You must submit an application to the COE District Office and receive permit
approval prior to beginning any construction.
   Are You Responsible for Meeting Permit
   Requirements?
                  For detailed information on
                   Nationwide Permits go to
               http://www.usace.army.mil/inet/
            functions/cw/cecwo/reg/nwpfinal.pdf
    If your project is covered by a general permit, you
must follow the conditions listed in that permit. The
COE District Engineer also may add specific conditions
to your general permit. If your project is covered by an individual permit, you must meet the requirements
listed in that permit. Typically, contractors and subcontractors who perform the work on site need to follow
these requirements.

    While owners, contractors, and  consulting engineers all may be found liable for discharging dredge or
fill material without a permit, the remedy imposed on each may vary, depending on their respective
degrees of control, responsibility, or
involvement. For this reason, it is critical to
define, before  beginning  a project,  who
will be responsible for complying with the
Section 404  requirements; assuming
another party is "taking care of it" does
not absolve you from any liability, and
more than one party may be responsible.
Case Studies
    Landowners, contractors, and consultants have been
found liable for discharging into U.S. waters without a
permit.1 In one case, the court found both the owner and
the contractor to be liable, ruling that the contractor was
responsible for the discharge activity, despite his reliance
on the owner to get the necessary permits.  Even where
the contractor or consultant did not directly cause the vio-
lation, he or she still may be held  responsible.
                                               1 U.S. v. Florida Keys Comm. Coll., 531 F. Supp. 267 (S.D. Fla
                                               1981); U.S. v. Weisman, 489 F. Supp. 1331  (M.S. Fla 1980)
C. What Are the  Penalties for
    Working Without the
    Proper Permit?
The goal of the CWA is to "restore and
maintain the chemical, physical, and bio-
logical integrity of the  nation's waters."
The CWA prohibits the discharge of pollutants by any person from a point source into waters of the United
States, except in compliance with various sections of the CWA. As defined by the CWA, "person" means
any individual, corporation, partnership, association, state, municipality, commission, subdivision of a state,
or interstate body.
   EPA may impose administrative, civil, and criminal sanctions on a property owner and/or a contractor
for failure to comply with the CWA. Administrative penalties can reach $157,500 and civil penalties -
imposed in a  judicial proceeding - can  reach $32,500 per violation per day. Under certain circumstances,
the CWA also authorizes criminal penalties. In addition, the CWA allows private citizens to bring civil
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Managing Your Environmental Responsibilities        Section IV - Dredge and Fill/Wetlands Permit Requirements
actions against any person for any alleged violation of "an effluent standard or limitation." In a citizen suit,
a court may issue an injunction and/or impose civil  penalties, litigation costs, and attorney's fees.

    In addition to fines, you may need to pay legal fees and face project delays. If legal action is taken
against your construction site, you may also  be subject to increased scrutiny at  all of your other construction
sites by regulatory agencies and the public.

D.  In General, What            Permit Requirements?
Section 404 specifies that you may not discharge dredged or fill material  if a practicable alternative exists
that is less damaging to the aquatic environment or if the nation's waters would be significantly degraded.
As mentioned in Section IV-B of Part I of this  guide, there are two types of Section 404 permits: general  per-
mits and individual permits. For discharges that have only minimal adverse effects, COE issues general
permits. General permits may be issued on a nationwide, regional, or state basis for particular categories
of activities. Individual permits are usually required for activities with potentially significant impacts.

    When applying for an individual permit (and certain general permits), you  must demonstrate compli-
ance with mitigation provisions  by showing that you will:

    •   Avoid wetland and water impacts where practicable;
    *   Minimize potential impacts to wetlands and waters; and
    *   Compensate for any remaining, unavoidable impacts to wetlands or waters through activities to
       enhance or create wetlands and/or waters.

    Demonstration of the above is referred as wetland/water mitigation.

    Prior to COE issuing a Section 404 permit, your state  also must approve  the project by granting certifi-
cation under Section 401 of the CWA. Your state may have already granted  certification for any general
permits in your area, which will reduce your  burden.

    If your construction project requires an individual permit, you must submit an Application for
Department of Army Permit to COE  and/or the state where the construction project is being done. After
public notice and comments, COE, EPA, the  state, and any other interested federal agencies will evaluate
your application. You will be either granted or denied a permit.

    A Nationwide Permit (or regional or state permit) may require you to notify  the COE District Engineer of
the construction  project in a preconstruction  notification. If a  preconstruction  notification is required, you
may not begin construction until one of the following occurs:

    1.  The District Engineer notifies you that the activity may proceed. This notification may include special
       conditions for your construction project.
    2.  The District Engineer notifies you that an individual permit is required (and you must apply for and
       be issued an individual permit).
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Managing Your Environmental Responsibilities        Section IV - Dredge and Fill/Wetlands Permit Requirements
    The COE District Engineer should contact you within 45 days regarding your preconstruction notifica-
tion. If you have not heard from the District Engineer within 45 days, you should follow up with the District
Engineer regarding the status of the notification. Prior to issuing the Section 404 permit, the COE or EPA
may require an Endangered Species Act Section 7 consultation if threatened or endangered species may be
adversely impacted by your construction activity. However, the permit-issuing agency (e.g., COE) is respon-
sible for completing the  consultation. See Section XI of Part I of this guide for more information on require-
ments for endangered species.

E.            Do You Get a
In most states, you must obtain a Section 404 permit or verify coverage under a general  permit from your
COE District Office. A list of COE district offices is available at:
http://www.usace.army.mil/inet/functions/cw/cecwo/reg/district.htm.

    Currently, two states (Michigan  and New Jersey) have assumed the role of the COE to issue Section 404
permits; however, several other states have enacted laws and  regulations to  protect wetlands. In many
cases, these rules define the state's role in the Section 404/Section 401  permitting process. Some state  laws
may also  have other impacts. For example, a state may define wetlands or regulated activities differently
from federal regulations. This could qualify an  area as a wetland on the state level even if it does not meet
the  federal definition. Therefore,  always check with your state  to determine if there are any additional
requirements that you must follow.

F.                        Do You         to                                Your
     Construction Project?
You can use the questions in Section II of Part I of this guide to start a discussion among all parties involved
in the construction project and to assign tasks to ensure all environmental requirements are met. Each
question has a space next to it to designate who will take the  lead on each task. Note that designating  a
responsible party does not absolve you of meeting environmental  requirements or liability for failing to
meet these requirements.
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Managing Your Environmental Responsibilities        Section IV - Dredge and Fill/Wetlands Permit Requirements



G.  Where Can You       Additional  Information?
For further information on Section 404 permits, you can check the following resources:

    *  The Dredge and  Fill/Wetlands (Section  404) Self-Audit Checklist in Part II of this guide;
    *  The Construction Industry Compliance Assistance Center (http://www.cicacenter.org/wetlands.html)
       provides resources specific to Section 404 permits and wetlands including state requirements and
       contacts;
    «  The National  Environmental Compliance Assistance Clearinghouse contains a  search engine to help
       you find compliance assistance tools, contacts, and EPA-sponsored programs:
       http://www.epa.gov/clearinghouse/;
    *  U.S. Army Corps of Engineers (COE) web site (http://www.usace.army.mil/)  provides a list of District
       Offices, including phone numbers that  you can call concerning permits for construction activities
       impacting waters of the United States, information on Nationwide Permits, and the application for
       individual  permits;
    *  U.S. EPA Office of Wetlands, Oceans, and Watersheds (OWOW):  http://www.epa.gov/owow/;
    *  Wetlands Helpline:  1-800-832-7828; and
    *  EPA's "Where you live" page contains links to state environmental agencies:
       http://www.epa.gov/epahome/whereyoulive.htm.
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Managing Your Environmental Responsibilities
               Section V - Oil Spill Requirements
                               V.  Oil  Spill  Prevention
                               Requirements for
                               Construction  Activities
   If you are using, consuming, storing, transferring, or otherwise handling oils at your con-
   struction site, you will need to take the appropriate actions to prevent spills, and be pre-
   pared to take action in case of a spill. You will need to follow EPA's Spill Prevention
   Control and Countermeasures Plan (SPCC Plan) requirements, which were developed
under authority of Section 311 of the Clean Water Act (CWA). The regulatory text dis-
cussing this program (40 CFR Part 112) can be found at http://ecfr.gpoaccess.gov under
"Title 40 - Protection of the Environment." On July 16, 2002, EPA promulgated a revised
final SPCC Regulation that became effective August 17, 2002. EPA subsequently extended
the regulatory compliance schedule included in the new SPCC rule.
  Definitions and Acronyms
   Bulk Storage Container—Any container used to
   store oil. These containers are used for purposes
   including, but not limited to, the storage of oil
   prior to use, while being used, or prior to further
   distribution in commerce. Oil-filled electrical,
   operating, or manufacturing equipment is not a
   bulk storage container. Bulk storage containers
   include items such as tanks, containers, drums,
   and mobile or portable totes.
   Oil—Oil of any kind or in any form, including,
   but not limited to: petroleum; fuel oil; sludge; oil
   refuse; oil mixed with wastes other than dredged
   spoil; fats, oils or greases of animal, fish, or
   marine mammal origin; vegetable oils, including
oil from seeds, nuts, fruits, or kernels; and other
oils and greases, including synthetic oils and
mineral oils.
Storage Capacity - The shell capacity of the con-
tainer (i.e., the maximum volume of the storage
container used to store oil, not the actual amount
of product stored in the container).

CFR—Code of Federal Regulations
CWA—Clean Water Act
SPCC—Spill Prevention Control and
Countermeasures
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Managing Your Environmental Responsibilities                             Section V - Oil Spill Requirements
   The current compliance dates for the new rule are as follows:

   •   February 17, 2006: Facilities must prepare and certify (using a Professional Engineer, or RE.) an
       SPCC Plan in accordance with the new SPCC rule.
   •   August 18, 2006: The revised SPCC Plan must be implemented.

   Affected facilities that start operations between August 16, 2002 and August 18,  2006 must prepare
and implement an SPCC Plan by August 1 8, 2006. Affected facilities that become operational after August
18, 2006 must prepare and implement an SPCC Plan before starting operations.

   The SPCC rule includes spill  prevention and  countermeasure plans for spills from aboveground and
certain underground storage tanks. Completely  buried storage tanks that are subject to all the technical
requirements of the underground storage tank regulation (40 CFR Part 280/281) and any permanently
closed underground storage tanks are not required to comply with SPCC provisions.  For more information
on underground storage tanks, go to http://www.epa.gov/swerustl/.

A.  Do Oil Spill  Requirements Apply to Your Construction Project?
Your construction project must meet SPCC regulatory requirements if it meets the  following three criteria:

   •   It stores, uses, transfers, or otherwise handles oil;
   •   It has a maximum aboveground storage capacity greater than 1,320 gallons of oil (which  includes
       both  bulk and operational storage volumes) OR total underground storage capacity greater than
       42,000 gallons of oil; AND
   •   There is a reasonable expectation (based on
       the location of your site) that an oil spill
       would reach navigable waters or adjoining
       shorelines of the United States.

   The following items at your construction site are
exempt from SPCC requirements and are not includ-
ed in the storage capacity calculations:
Calculate your total aboveground storage
capacity by adding together the storage capaci-
ty of all of your storage tanks as well as the fuel
and fluid (e.g., hydraulic fluid) tanks on your
mobile and operational equipment. In this cal-
culation, include only those tanks that have
more than 55 gallons of storage capacity.
    •   Completely buried tanks that are subject to
       all the technical requirements of the underground storage regulations;
    •   Storage containers with less than 55-gallon  storage capacity (both aboveground and belowground
       tanks);  and
    •   Permanently closed tanks.

    When calculating your storage capacity, you must include the capacity of the fuel and fluid tanks on
your mobile and operational equipment (e.g., fuel tanks on bulldozers, cranes, backhoes of greater than
55  gallons). Also, note that individual  aboveground storage tanks with storage capacities of greater than
660 gallons, which had been  regulated under the 1 974 rule, are no longer regulated unless the total site
capacity is greater than 1,320 gallons.
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Managing Your Environmental Responsibilities                              Section V - Oil Spill Requirements
    In addition to SPCC requirements, the CWA also includes requirements for Facility Response Plans for
"substantial harm" sites (see 40 CFR 112.20 and 112.21.) Construction sites are not expected to meet the
definition of "substantial harm;" therefore, these requirements are not discussed in this guide.  If you trans-
fer oil over water and use vessels that have a total oil storage capacity of 42,000 gallons or more OR your
site has a total oil storage capacity greater than one million gallons, you should review the Facility
Response Plan requirements (see http://www.epa.gov/oilspill/frps/index.htm).

B.        You                  for             OH
All parties associated with construction projects that store (or spill) oil  can be held liable if the SPCC
requirements are not met. Therefore, the owner, developer, contractor, and other parties as applicable
should determine up front who  will:

    *   Decide if SPCC requirements apply by calculating the total oil storage capacity on the site and then
       determining whether an oil spill could reach navigable waters or  adjoining shorelines of the United
       States (It  is recommended that you  use a Professional Engineer to decide if the requirements apply.);
    *   Develop the SPCC plan, which should include the following: procedures the site will use to prevent
       oil spills; control measures the site will install to prevent oil from entering navigable waters or
       adjoining shorelines; and countermeasures the site will use to contain, clean up, and mitigate the
       effects of an oil spill; and
    •   Meet the SPCC plan requirements.

    If no party complies with the SPCC regulations, all parties can be found liable for violating federal law.
If oil is brought on site for construction, the contractor or subcontractor is also responsible for  meeting any
SPCC requirements. If a spill occurs (regardless of the source), all parties need to make sure that the spill is
properly reported and handled.

C.          Are the
If you are the responsible party to an oil spill, you may be required to pay for any damages and cleanup
costs resulting from that oil spill. Third parties also  may be held  responsible for damages and  removal
costs if the  responsible party shows that the spill resulted from an incident caused solely by an act or omis-
sion by a third party. Administrative penalties can reach  $157,500 and civil penalties imposed in a judicial
proceeding can reach $32,500 per violation per day, or $1,1 00 per barrel of oil spilled if the  oil reaches
waters of the United States  or adjoining shorelines.

    The fine for failing to notify  the appropriate federal agency of an  oil spill can reach a maximum of
$250,000 for an individual or $500,000 for an organization. The maximum prison term is five years. The
criminal penalties for violations have a maximum fine of $250,000 and  15 years in prison.

    The SPCC regulation is implemented at the federal level; however, states and localities may also have
oil programs through which they may impose additional penalties (including unlimited liability), funding
mechanisms, requirements  for removal actions, and fines and penalties for responsible parties.
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Managing Your Environmental Responsibilities                              Section V - Oil Spill Requirements
D.  In General, What Are the Oil Spill  Requirements?
The SPCC regulations require the owners and
operators of facilities to prepare and implement
spill  prevention plans to avoid oil spills into navi-
gable waters or adjoining shorelines of the United
States. Your plan must identify operating proce-
dures in place and control measures installed to
prevent oil  spills, and countermeasures to contain,
clean up, or mitigate the effects of any oil spills
that occur. The plan must be updated as conditions change at your construction site. Specific items in the
SPCC Plan  include,  but are not limited to, the following:
For more specific details on SPCC require-
ments, you can  refer to the regulations or
   to EPA's "Required Elements of SPCC
  Plans" web page, http://www.epa.gov/
           oilspill/spccmust.htm.
    •   Professional  Engineer certification;
    •   For plans not following the format listed in the rule (e.g., plans developed for a combined SWPPP
       and SPCC Plan), a cross-reference to the requirements in 40 CFR Part 112.7;
    •   Site diagram, identifying the location and contents of each container (including completely buried
       tanks that are otherwise exempted from the SPCC requirements);
    •   For each container, the type of oil stored and the storage capacity;
    •   Discharge prevention measures, including procedures for oil handling;
    •   Predictions of direction, rate of flow, and total quantity of oil that could be discharged from the site
       as a result of a major  equipment failure;
    •   Site drainage;
    •   Site inspections;
    •   Site security;
    •   Five-year plan review (if construction lasts five years);
    •   Management approval;
    •   Requirements for mobile portable containers (e.g., totes, drums, or fueling vehicles that remain on
       facility grounds);
    •   Appropriate  secondary containment or diversionary structures;
    •   Secondary containment for fuel transfer;
    •   Personnel training and oil spill prevention briefings;
    •   Tank integrity testing;
    •   Bulk storage container compliance; and
    •   Transfer procedures and equipment (including piping).
    For information  on the SPCC requirements, go to EPA's Oil Spill Program web site,
http://www.epa.gov/oilspill/. Regional SPCC contacts are listed at http://www.epa.gov/oilspill/spcccont.htm.
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Managing Your Environmental Responsibilities
                          Section V - Oil Spill Requirements
    Spill Response Requirements
    If a spill occurs, you must follow the spill response procedures outlined in your SPCC plan. These proce-
dures should  include identifying the spilled material, restricting the flow of any remaining material within
the original container, confining the spill area with absorbent materials or dikes, beginning remediation
and decontamination of the affected areas, and notifying all of the appropriate parties.
   The following groups should be noti-
fied in the event of a spill:

    •   The site Emergency Coordinator
       and any client representatives;
    •   The National Response Center at
       1 -800-424-8802 for spills that trig-
       ger the "sheen rule";
    •   The State Emergency Response
       Commission for spills with the
       potential to harm people off site;
       and
EPA does not define an oil spill based on the volume of
the spill. Rather, an oil spill is defined as a discharge in
quantities that:
•  Violate  applicable water quality standards;
•  Cause a film or "sheen" upon, or discoloration of, the
   surface of the water or adjoining shorelines; or
•  Cause a sludge or emulsion to be deposited beneath
   the surface of the water or upon adjoining shorelines.
This definition is  known as the "sheen rule" (see 40 CFR
Part 1 10 for more information).
    •   Local Emergency Planning
       Committees or the local fire
       department for spills with  the potential to harm people off site.

    If an oil spill adversely impacts an Endangered Species Act listed species, an emergency Section 7 con-
sultation may be needed  (see Section XI-A of Part I of this document for more information).

    EPA must be notified of any spills over 1,000 gallons or of any two spills over 42 gallons within a 1 2-
month  period.  Additionally, the site should add  a  copy of the report with oil spill details to the SPCC Plan
documentation for any reportable oil spills. The oil spill details should include correction actions taken,
cause of discharge, and additional preventive measures taken.

E.  What Questions  Do You  Need  to Answer Before Starting Your
    Construction Project?
You can use the questions in Section II of Part I  of this  guide to start a discussion among all parties involved
in the construction project and to assign tasks to ensure all environmental requirements are met. Each
question has a space next to it to designate who will take the lead on each task. Note that designating a
responsible party  does not absolve you of meeting environmental requirements or liability for failing to
meet these requirements.
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Managing Your Environmental Responsibilities                              Section V - Oil Spill Requirements



F.   Where Can You       Additional  Information?
For more information on oil spill  requirements, review the following:

    *  The Oil Spill Prevention Self-Audit Checklist in Part II of this guide;
    *  EPA Oil Program web site: http://www.epa.gov/oilspill/;
    •  Spill Prevention  Plan and  Countermeasure Control Fact Sheet Guidance from EPA:
       http://www.epa.gov/oilspill/pdfs/spccbluebroch2002.pdf;
    •  EPA's "Where you live" page contains links to state environmental agencies:
       http://www.epa.gov/epahome/whereyoulive.htm;
    *  The Construction Industry Compliance Assistance Center provides information  on requirements that
       apply to the construction industry: http://www.cicacenter.org/index.cfm; and
    *  The National Environmental Compliance Assistance  Clearinghouse  contains a  search engine to help
       you find compliance assistance tools, contacts, and EPA- sponsored programs:
       http://www.epa.gov/clearinghouse/.
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Managing Your Environmental Responsibilities
Section VI - Hazardous and Non-Hazardous Solid Waste
                             VI.  Hazardous  and
                             Non-Hazardous  Solid
                             Waste Requirements
                             for  Construction
                             Projects
        During your construction project, you will likely generate solid wastes. EPA classifies
        solid wastes as being either non-hazardous or hazardous, as discussed later in this
        section. These wastes are regulated under the Resource Conservation and
        Recovery Act (RCRA). The regulatory text discussing this program (40 CFR Parts
260-299) can be found at http://ecfr.gpoaccess.gov under "Title 40 - Protection of the
Environment." Construction projects typically generate much more non-hazardous waste
than hazardous waste; however, you should understand the requirements for both types of
wastes to assure proper  handling and disposal of these wastes.
  Definitions and  Acronyms
  Disposal—The discharge, deposit, injection,
  dumping, spilling, leaking, or placing of any
  solid or hazardous waste into or on any land or
  water so that the solid or hazardous waste or any
  constituent may enter the environment.
  Generator—Any person, by site, whose act or
  process produces hazardous waste identified or
  listed in RCRA Subtitle C or whose act first causes
  a hazardous waste to become subject to regula-
  tion. For example, an action such as unearthing
  soil contaminated with a hazardous substance
  causes the contaminated soil to be subject to
  RCRA regulations.
  Hazardous Waste—A solid waste, or combina-
  tion of solid wastes, which because of its quanti-
 ty, concentration, or physical, chemical, or infec-
 tious characteristics may either cause, or signifi-
 cantly contribute to, an increase in mortality or
 an increase in serious irreversible or incapacitat-
 ing reversible illness; or pose a substantial pres-
 ent or potential hazard to human health or the
 environment when improperly treated, stored,
 transported, or disposed of, or otherwise man-
 aged.
 Storage—When used in connection with haz-
 ardous waste, means the containment of haz-
 ardous waste, either on a temporary basis or for
 a period of years, in such a manner as not to
 constitute disposal of such hazardous waste.
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Managing Your Environmental Responsibilities
Section VI - Hazardous and Non-Hazardous Solid Waste
  Definitions  and  Acronyms
   Universal Waste—Federal Universal Wastes are
   batteries such as nickel-cadmium (Ni-Cd) and
   small sealed lead-acid batteries, agricultural pes-
   ticides that are recalled under certain conditions
   and unused pesticides that are collected and
   managed as part of a waste pesticide collection
   program, thermostats that can contain as much
   as 3 grams of liquid  mercury, and lamps that are
   the bulb or tube portion  of electric lighting
   devices that have a hazardous component.
 CESQG—Conditionally Exempt Small Quantity
 Generators
 CFR—Code of Federal Regulations
 DOT—Department of Transportation
 LQG—Large Quantity Generators
 RCRA—Resource Conservation and Recovery Act
 SQG—Small Quantity Generators
 TSDF—Treatment, Storage, and Disposal Facility
   EPA regulates hazardous wastes at the federal level; however, always check with your state agencies for
additional hazardous waste requirements. EPA does not regulate non-hazardous wastes at the federal level;
these are regulated at the state and local level. Since this guide focuses on EPA regulations, most of this
section discusses EPA's hazardous waste requirements as they apply to construction projects. However, since
most of the solid wastes generated at construction sites are non-hazardous, Section VI-A of Part I  of this
guide briefly discusses non-hazardous wastes.

A.  What are  Your Non-Hazardous Waste  Requirements?
Non-hazardous solid waste requirements vary from state to state. Common non-hazardous solid  wastes
generated at construction sites include:

       •   Scrap wood (used or unused);          •   Plumbing fixtures and piping;
       •   Dry wall;                            •   Insulation (non-asbestos);
       •   Bricks;                               •   Roof coverings (e.g., shingles);
       •   Concrete;                            •   Metal scraps; and
       •   Plaster;                              •   Electrical wiring and components.
       •   Asphalt;
   States have differing requirements for handling and
disposing of these wastes. For example, some states
allow you to grind drywall for use as on-site fill material
while others do not. In addition, some states may classi-
fy certain wastes as hazardous while others do not. In
many cases, if you dispose of non-hazardous construc-
tion waste, you are  required to do so in a construction
waste-specific landfill. Before construction begins, you
       Always check with your state environ-
       mental agency for the applicable non-
       hazardous waste requirements. For a
         list of state  agency contacts, go to
          http://www.epa.gov/epaoswer/
                 hotline/rcntcts.htm.
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Managing Your Environmental Responsibilities
      Section VI - Hazardous and Non-Hazardous Solid Waste
should discuss who will be responsible for identifying any state requirements (e.g., recycling standards and
proper disposal of solid wastes) and who will be responsible for complying with these requirements. For
more information on state non-hazardous waste regulations that apply to the construction industry, go to
the Construction Industry Compliance Assistance Center: http://www.cicacenter.org/hazwaste.html.

    You may also choose to recycle or  reuse your non-hazardous construction and demolition waste.  For
more information on local construction and demolition waste recyclers, go to the  Construction Waste
Management Database located at http://www.wdbg.org/ccbref/cwm.php. This database enables you to
find waste recyclers based on your waste type and location.

B.   What are Hazardous Wastes?
Your solid wastes may also meet the federal definition of hazardous waste. If that is the case, you are
responsible for proper handling, storing, transporting, and/or disposing of them according to the federal
requirements of RCRA and/or state requirements, from the point of generation to ultimate disposal. While
states have the sole responsibility for regu-
lating non-hazardous construction and
demolition debris, they may also have
authorization to implement EPA's RCRA
Subtitle C - Hazardous Waste Program.
State hazardous waste programs are at
least as stringent as the federal hazardous
waste program. Always contact your state
authority to determine which state  require-
ments apply to your site.
   To determine if you must follow haz-
ardous waste management requirements,
you must first determine if your construc-
tion project will generate (i.e, produce or
have present on site) hazardous wastes.
RCRA Subtitle C defines solid waste as
hazardous in one of two ways. Either the
waste is one of the over 500 RCRA-listed
wastes or it has one of the four following
characteristics:

    •   Ignitable (flashpoint of less than
       140 degrees), such as paint thin-
       ners, paints, paint and varnish
       strippers, epoxy resins, adhesives,
       degreasers, and spent cleaning sol-
       vents.
Examples of hazardous wastes:
   •   Used oil, hydraulic fluid, diesel fuel, or jet fuel;
   •   Soil contaminated with toxic or hazardous pollu-
       tants (e.g., soil contaminated with used oil,
       hydraulic fluid, diesel fuel, or jet fuel);
   •   Waste paints, varnish, solvents, sealers, thinners,
       resins, roofing cement, adhesives, machinery
       lubricants, and caulk;
   •   Cleanup materials (such as rags) contaminated
       with the  items listed above;
   •   Drums and containers that once contained the
       items listed above;
   •   Waste carpeting (due to formaldehyde contents);
   •   Lead-based paint, lead  flashing, or lead solder;
   •   Computer  monitors and televisions with cathode
       ray tubes;
   •   Gypsum drywall (due to sulfate);
   •   Mercury-containing demolition wastes (e.g., fluo-
       rescent bulbs, broken mercury switches, batteries,
       or thermostats); and
   •   Other items that may have inseparable hazardous
       constituents.
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Managing Your Environmental Responsibilities          Section VI - Hazardous and Non-Hazardous Solid Waste
    •   Corrosive (acids with a pH less than 2 or bases with a pH greater than 1 2.5), such as rust
       removers, cleaning fluids, and battery acids.
    •   Reactive (explosive or violently reactive), such as cyanide, plating waste, bleaches, and waste oxidizers.
    •   Toxic (meeting certain concentrations), such as materials containing metals (e.g., mercury, cadmium,
       or lead) or solvents (e.g., carbon tetrachloride or methyl ethyl ketone). Materials may include adhe-
       sives, paints, coatings, polishes, varnishes, thinners, or treated woods.

    Listed wastes are divided  into the four following waste codes:

    •   The "F" List contains nonspecific source wastes from specific industrial or manufacturing processes
       (e.g., spent solvents used to strip paint).
    •   The "K" List contains specific source waste (this list does not typically include waste from construction
       and demolition sites).
    •   The "P" and "U" Lists contain pure or commercial grade unused chemicals (e.g., left-over chemicals
       or container residues such as toluene or acetone). Note that unused pesticides and their containers
       are covered by the Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA).

    Additionally, some commonly recycled materials are  considered to be "universal wastes." These are
hazardous wastes that are subject to less stringent requirements. Universal wastes include  the following
hazardous wastes:

    •   Batteries;
    •   Pesticides (as defined  by the Universal Waste definition);
    •   Thermostats; and
    •   Lamps.

    In 2002, EPA proposed to add mercury-containing materials to the list of universal wastes. A final ruling
on this proposal is expected in 2005.

    For more information on  hazardous wastes, refer to the resources listed in Section VI-G of Part I of this
guide. You can also reference the Notification of Regulated Waste Activity, Instructions and Forms booklet. A
list of commonly found hazardous wastes can be found at
http://www.epa.gov/epaoswer/hazwaste/data/form8700/8700-12.pdf. The complete list of RCRA-listed
chemicals is included in the text of the 40 CFR Part 261, Subpart D and can be found at http://ecfr.gpoac-
cess.gov under "Title 40 - Protection of the Environment."

C.  Are You Responsible for Meeting
Hazardous Waste Requirements?
If you generate (or discover) hazardous waste during
construction activities, you may be responsible for the
proper handling, storing, transporting, and disposal of
the  waste. In a typical construction activity, hazardous
wastes are generated in one of two ways:
   If you discover hazardous waste on
your construction site, you should notify
 your state and local  authorities or the
  National Response Center Hotline at
             1-800-424-8802.
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Managing Your Environmental Responsibilities
                                                 Section VI - Hazardous and Non-Hazardous Solid Waste
                                           Case Studies
                                           In one court case, two construction companies pleaded
                                           guilty to criminal  charges for failing to handle discovered
                                           hazardous waste  properly. The construction contractors
                                           discovered canisters containing  hazardous waste left by a
                                           previous owner; however, they failed to notify the owner
                                           and did not remove the canisters. The canisters were
                                           improperly removed from the site, ultimately  resulting in
                                           the death of one  person. If the contractors had notified
                                           the owner and had the canisters removed and disposed
                                           of properly, criminal charges may not  have been filed
                                           against them.
    •   Hazardous wastes are discovered
       during construction activities (e.g.,
       grading  or digging) or removed
       during demolition (e.g., mercury-
       containing fluorescent bulbs); or
    •   Hazardous wastes are produced by
       construction activities  (e.g., spent
       materials such as paints and
       degreasers, used oil).

    When hazardous wastes are
already present at the site, the contrac-
tor or subcontractor who first discovers
the material is responsible for notifying
the general contractor, developer,
and/or owner. You should  also  notify local, state, and federal authorities. Because the hazardous
waste was present at the site  prior to construction activities, the developer or owner typically is responsible
for ensuring that the hazardous wastes are handled and disposed of properly.

    When hazardous wastes are produced at the site, the contractor or subcontractor who produces the
hazardous waste typically is responsible for ensuring its proper handling and disposal. NOTE: Hazardous
materials stored at your site that are being used for their intended purpose are not considered "wastes"
and may be stored on site indefinitely. However, once the material  is  no  longer usable, the material is con-
sidered a waste and RCRA storage requirements (e.g., time limit before a permit is needed) apply.

D. What Are the Penalties for  Not Meeting the Hazardous  Waste
    Requirements?
Federal environmental laws give a range of enforcement options to EPA, state agencies, and  individual  citi-
zens. Most laws authorize EPA to: (1) issue an administrative order or impose an administrative  penalty, (2)
file a civil action in a federal  court for injunctive relief or a civil penalty, or (3) file a criminal action in a fed-
eral court to impose criminal sanctions.

    In addition to fines, you may need to pay  legal fees and face project delays. If legal action is taken
against your construction site, you  may also be subject to increased scrutiny at all of your other  construction
sites by regulatory agencies and the public.

    If you do not follow the hazardous waste management and  permitting standards listed in RCRA Subtitle
C, you may be fined  in civil penalties up to $32,500 per day per violation. You can lose any existing  per-
mits for your site and/or need to stop work until you meet EPA requirements. You also may face criminal
penalties under RCRA if you knowingly endanger another person while managing  hazardous waste.

    In addition,  you could face penalties or actions for past or present handling, storage, treatment, trans-
portation, or disposal of any  waste that  may be a hazard to human health or the environment.  Not only
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Managing Your Environmental Responsibilities
                                               Section VI - Hazardous and Non-Hazardous Solid Waste
                                                     Conditionally Exempt Small Quantity
                                                     Generators generate ^.220 Ibs/month
                                                     Small Quantity Generators generate
                                                     >220 Ibs/month and  <2,200 Ibs/month
                                                     Large Quantity Generators generate
                                                     >2,200 Ibs/month
are there civil and criminal penalties for violating hazardous waste laws, but a construction company can
be required to pay the cost of cleaning up any contamination resulting from a violation. These ""cleanup""
costs can be significant.

E.  In  General, What Are the Hazardous
    Waste Requirements?
If you  generate hazardous waste, you  must identify the
waste  and determine your generator status based on
monthly data because waste storage and management
requirements vary based on how much hazardous waste
you generate. If you generate 220 pounds or less of
hazardous waste  per month,  or 2.2  pounds or less of
acute  hazardous waste per month, you are a condition-
ally exempt small quantity generator (CESQG). Most
construction sites  are classified as conditionally exempt small quantity generators. If you generate between
220 and 2,200 pounds of hazardous waste per month, you are a small quantity generator (SQG). Some
construction sites  may be classified as  small quantity generators. If you generate 2,200 pounds of haz-
ardous waste per month or greater,  or greater than  2.2 pounds of acute hazardous waste per month, you
are a  large quantity generator (LQG).  Conditionally exempt small quantity generators have significantly
fewer  requirements than other generators, as discussed below. Acute hazardous wastes are denoted  with
                                               the hazardous waste code "H" or are P-listed  RCRA
                                               wastes.  Keep in mind that requirements vary
                                                between states; therefore, contact your state environ-
                                                mental department for hazardous waste require-
                                                ments regardless of the amount of waste you
                                               generate.
   Hazardous waste must be treated and
    disposed of at a facility permitted or
  licensed for that purpose by the state or
            Federal  Government.
   You are not allowed to transport hazardous wastes off your construction site unless you follow EPA's
standards for transporting  hazardous waste to a designated treatment, storage, and disposal facility (TSDF).
This guide does not address transportation requirements; contact your local Department of Transportation
for information on these requirements.

   Conditionally Exempt Small Quantity Generators

   Most construction sites  are conditionally exempt small quantity generators (generate less  than 220
pounds of hazardous waste per month). Under RCRA, these generators must meet RCRA storage limit
requirements (2,200 pounds of hazardous waste/month) and ensure proper transportation, waste treat-
ment, and disposal (i.e., meet all DOT requirements and use permitted or licensed facilities for hazardous
waste treatment and/or disposal). Although you are not required to  meet the further stipulations listed
below for small and large  quantity generators, some states may have additional requirements (e.g., obtain-
ing an EPA ID number) that do apply. If your site exceeds the storage limit (2,200 pounds  of hazardous
waste/month), you become a small quantity generator and must meet additional requirements.
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Managing Your Environmental Responsibilities          Section VI - Hazardous and Non-Hazardous Solid Waste
    Small and Large Quantity Generators
    If you generate hazardous waste as a small or large quantity generator, you must get an EPA ID num-
ber and notify EPA (or your state) within 90 days after initial waste generation. In addition, you need to pro-
vide subsequent notifications If one of the following occurs:

    *  Your business moves to another location;
    *  Your site contact changes;
    •  The ownership of your site changes;
    •  An additional owner is added or replaced; or
    •  The type of regulated waste activity changes.

    To get an EPA ID  number and  notify EPA of hazardous waste generation, you need to file a Form 8700-
12, Notification of Regulated Waste Activities. The form and instructions are available on line at
http://www.epa.gov/epaoswer/hazwaste/data/form8700/8700-12.pdf. The instructions include a list of
state contacts for submitting forms and asking for assistance.

    If you store hazardous  waste for longer than 1 80 days (for small quantity generators) or 90 days (for
large quantity generators), you must get a RCRA permit. You should plan ahead to avoid storing hazardous
wastes longer than allowed without a permit. If you exceed the storage limits and  need a RCRA permit,
additional regulations apply.  If you need a RCRA permit, you may be eligible  to meet only those require-
ments for Remedial Action  Plans (RAPs). As with permits, you must submit an application for a RAP to the
permitting authority (e.g., EPA or designated states). For more  information on RAP requirements go to
http://www.epa.gov/epaoswer/hazwaste/id/hwirmdia/hwrmedfr.pdf.

    In addition, small and  large  quantity generators must meet the following requirements for handling
hazardous waste:

    •  Document the amount of hazardous waste stored on site.
    •  Keep waste in proper containers.
    •  Properly mark containers.
    *  Put emergency procedures in place.
    *  Train on-site personnel to handle hazardous waste.
    •  Get a licensed hazardous waste hauler to transport the waste.
    •  Properly package and label hazardous waste for transport.
    •  Complete  a Uniform  Hazardous Waste Manifest for transporting hazardous waste. The manifest
       allows all parties involved in  hazardous waste management (e.g., generators, transporters, TSDFs,
       EPA, state  agencies) to track the movement of hazardous waste from the point of generation to the
       point of ultimate treatment, storage, or disposal.

    If your construction project is located in Iowa or Alaska,  contact your EPA  Region for hazardous waste
information. If your construction  project is located in one of the other 48 states, contact your state environ-
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Managing Your Environmental Responsibilities          Section VI - Hazardous and Non-Hazardous Solid Waste
mental agency for hazardous waste information. Note that states may control some RCRA provisions, but
not others.

    For more detailed information on the hazardous waste requirements, use the resources listed in Section
VI-G of Part I of this guide.

    Universal Wastes
    You can store universal wastes at your site for up to one year. Small quantity handlers of universal waste
store less than 11,000 pounds and  large quantity handlers of universal waste store  1 1,000 pounds or
more.

    Universal waste handlers must meet the following requirements:

    •   Prevent environmental releases of the wastes;
    •   Respond immediately to any releases; and
    •   Educate employees on basic waste handling and emergency procedures (including information distribu-
       tion).

    Large quantity handlers of universal waste must  meet additional requirements, including maintaining
shipment documentation, getting  an EPA ID number, and
meeting stricter employee training requirements.
                                                           A good guide for safe lead work
                                                               practices can be found at
                                                              http://www.epa.gov/lead/
                                                                   leadsafetybk.pdf
   When transporting universal wastes, you do not need to
meet the RCRA hazardous waste manifest requirements;
however, DOT or state requirements may apply.

   Lead-Based Paint Debris
   During construction projects, you may discover lead-based paint debris. In most cases, lead-based
paint debris  is considered to be a hazardous waste under RCRA; however, certain activities involving this
type of debris are exempt. If you generate lead-based paint debris from construction in homes and other
residences (e.g., during abatement, renovation, and remodeling), you can treat the debris as "household
waste." You can dispose of the  debris as household garbage in municipal waste landfills, construction and
demolition debris landfills, or in municipal solid waste combustion units, unless other state requirements
apply. You cannot dump (dispose on or off site) or open-burn lead-based  paint debris.

   While not a regulatory requirement, using safe work practices when disturbing lead paint can greatly
reduce the risk of household occupants, workers, and even workers' families from being exposed to haz-
ardous quantities of lead. Also, check with your state  for any additional requirements.

   If your project involves construction in homes or other residences, several  rules and policies may apply,
all developed under the  Residential Lead-Based Paint Hazard Reduction Act of 1992 (Title X). The authority
for these regulations falls under the Toxic Substances  Control Act (TSCA), Title IV (Lead Exposure Reduction).
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Managing Your Environmental Responsibilities           Section VI - Hazardous and Non-Hazardous Solid Waste
    National Lead Laboratory Accreditation Program (TSCA Section 405(b)): Establishes protocols, criteria,
and minimum performance standards for laboratory analysis of lead in paint, dust, and soil;

    *   Hazard Standards for Lead in  Paint, Dust, and Soil (TSCA Section 403): Establishes standards for
       lead-based paint hazards and lead dust cleanup levels in most pre-1978 housing and child-occupied
       facilities;
    •   Training & Certification  Program for Lead-Based Paint Activities (TSCA Section 402/404):  Ensures
       that individuals conducting lead-based paint abatement, risk assessment, or inspection are properly
       trained and certified, that training  programs are accredited, and that these activities are conducted
       according to reliable, effective and safe work practice standards;
    •   Pre-Renovation Education Rule (TSCA Section 406(b)): Ensures that owners  and occupants of most
       pre-1978 housing are provided information concerning potential hazards of lead-based  paint expo-
       sure before beginning certain  renovations on that housing;
    •   Disclosure Rule (Section 1018 of Title X): Requires disclosure of known lead-based  paint and/or
       lead-based paint hazards by persons selling or leasing housing constructed before the  phase-out of
       residential lead-based paint use in 1978; and
    •   Lead-Based Paint Debris Disposal: Regulatory status of waste generated by contractors  and residents
       from lead-based paint activities conducted in households.

    For more  information on these programs, go to http://www.epa.gov/lead/regulation.htm.

F.                        Do You         to                               Your
    Construction Project?
You can use the questions in Section II of  Part I  of this guide to start a discussion among all parties involved
in the construction project and to assign tasks to ensure all  environmental requirements are met. Each
question has a space  next to it to designate who will take the lead on each task. Note that designating a
responsible party does not absolve you of meeting environmental  requirements or liability for failing to
meet these requirements.

G.           Can You                     Information?
For more information  on hazardous and non-hazardous solid waste requirements, you can check the fol-
lowing resources:

    •   The Hazardous Solid Waste Self-Audit Checklist in Part II of this guide;
    *   The Construction Industry Compliance Assistance Center provides  information  on  hazardous and
       toxic waste regulations that apply to the construction industry:
       http://www.cicacenter.org/hazwaste.html;
    *   The National Environmental Compliance Assistance Clearinghouse contains a  search engine to help
       you find compliance assistance tools, contacts, and  EPA- sponsored programs:
       http://www.epa.gov/clearinghouse/;
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Managing Your Environmental Responsibilities           Section VI - Hazardous and Non-Hazardous Solid Waste
       EPA's Office of Solid Waste and Emergency Response provides information on RCRA regulations,
       including permitting, state authorization, and other requirements:
       http://www.epa.gov/epaoswer/osw/laws-reg.htm;
       EPA's Office of Solid Waste provides information on remediation waste, recycling construction
       wastes, and other resources: http://www.epa.gov/osw/;
       List of commonly reported hazardous wastes in EPA's Notification of Regulated Waste Activities:
       Instructions and Forms (available on-line at
       http://www.epa.gov/epaoswer/hazwaste/data/form8700/8700-l 2.pdf);
       Your state or EPA Region (for a list of state agency contacts, go to
       www.epa.gov/epaoswer/hotline/rcntcts.htm);
       Federal Facility Hazardous Waste Identification Flow Chart helps you to decide if your waste is haz-
       ardous as defined by RCRA (some states have different definitions):
       http://www.epa.gov/fedsite/hazwaste/flowchart.html;
       EPA's "Where you live" page contains links to state environmental agencies:
       http://www.epa.gov/epahome/whereyoulive.htm; and
       EPA's Office of Site Remediation Enforcement provides information on RCRA cleanup regulations
       and enforcement at: http://www.epa.gov/compliance/cleanup/.
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Managing Your Environmental Responsibilities
     Section VII - Hazardous Substances (Superfund)
                            VII.  Hazardous
                            Substances
                            (Superfund  Liability)
                            Requirements  for
                            Construction  Activities
      Before beginning any construction or demolition activities at your construction site,
      you should evaluate the site for existing hazardous substances as defined by the
      Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA,
      also known as "Superfund"). CERCLA was originally enacted to address hazardous
substances at inactive or abandoned sites. The Superfund program is administered by EPA in
cooperation with individual states and tribal governments. The program includes a revolv-
ing Trust Fund used by EPA and other agencies to clean up hazardous waste sites where no
responsible party can be identified. CERCLA also requires you to immediately report to the
National Response Center any releases of hazardous substances at your construction site if
the amount released  meets or exceeds the reportable quantity.
 Definitions  and Acronyms
  Brownfield—Property where any expansion,
  redevelopment, or reuse may be complicated by
  the presence or potential presence of a haz-
  ardous substance, pollutant, or contaminant, not
  including sites that are part of a planned or
  ongoing removal action or are on the National
  Priorities List.
  Extremely Hazardous Substances (EHSs)—
  Chemicals that most likely induce serious acute
  reactions following short-term airborne exposure
(defined at 40 CFR Part 355). The list of extreme-
ly hazardous substances subject to EPCRA report-
ing requirements can be found in EPA's
Consolidated List of Chemicals Subject to the
Emergency Planning and Community Right-To-
Know Act (EPCRA) and Section 11 2(r) of the
Clean Air Act (EPA 550-B-01 -003). Note that an
extremely hazardous substance may also be
included on the  CERCLA list of hazardous sub-
stances.
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Managing Your Environmental Responsibilities
       Section VII - Hazardous Substances (Superfund)
 Definitions  and Acronyms
   Hazardous Substances—Defined in CERCLA
   Section 101(14) and includes hazardous air pol-
   lutants (designated in Section 112(b) of the
   Clean Air Act), radionuclides, toxic pollutants
   (designated in Section 307(a) of the Clean Water
   Act), elements and compounds that present an
   imminent danger to public health  when dis-
   charged into waters of the United  States (desig-
   nated in Section 311 (b)(2)(A) of the Clean Water
   Act), TSCA substance that EPA has taken action
   against (currently none), RCRA-listed hazardous
   wastes, and RCRA characteristic wastes. The list
   of hazardous substances subject to CERCLA and
   EPCRA reporting requirements can be found in
   ERA's Consolidated List of Chemicals Subject to
   the  Emergency Planning and Community Right-
   To-Know Act (EPCRA) and Section  112(r) of the
   Clean Air Act (EPA 550-B-01 -003). Certain sub-
   stances are excluded from CERCLA and/or
   EPCRA reporting requirements (see Section VII-F
   of this document for web sites and hotlines
   where you can obtain additional information).
   National Priorities List—The list  of national pri-
   orities among the known releases  or threatened
   releases of hazardous substances, pollutants, or
   contaminants throughout the United States and
   its territories. The NPL is intended  primarily to
   guide the EPA in determining which sites warrant
   further investigation.
Release—Any spilling, leaking, pumping, pour-
ing, emitting, emptying, discharging, injecting,
escaping, leaching, dumping, or disposing into
the environment, including abandonment or dis-
carding of barrels, containers, and other closed
receptacles containing any hazardous substance.
Reportable Quantity—Amount of hazardous
substance (or extremely hazardous substance)
released into the environment within a 24-hour
period that must be met or exceeded before
emergency release notification requirements are
triggered. Reportable quantities are listed in EPA's
Consolidated List of Chemicals Subject to the
Emergency Planning and Community Right-To-
Know Act (EPCRA) and Section 11 2(r) of the
Clean Air Act (EPA 550-B-01 -003).
CERCLA—Comprehensive Environmental
Response,  Compensation, and Liability Act
CFR—Code of Federal Regulations
EPCRA—Emergency Planning and  Community
Right-to-Know Act
LEPC—Local Emergency Planning Committee
NPL—National  Priorities List
SERC—State Emergency Response  Commission
   SARA Title III, better known as the Emergency Planning and Community Right-to-Know Act (EPCRA),
originated from CERCLA. EPCRA requires the use of emergency planning and provides citizens, local gov-
ernments, and local response authorities with information regarding the potential hazards in their commu-
nity. The regulatory text discussing these programs (40 CFR Part 302 and Parts 350-372) can be found at
http://ecfr.gpoaccess.gov under "Title 40 - Protection of the Environment."

   Prior to beginning the bidding process, the owner or developer should research the construction site to
identify any history of hazardous substance use or disposal  at the site. If you conduct this research prior to
construction, it will  help to avoid significant project delays and possible project cancellation if hazardous
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Managing Your Environmental Responsibilities                 Section VII - Hazardous Substances (Superfund)
substances are discovered during construction. Contractors should also make sure that this review has been
completed prior to starting any construction activities to better understand potential risks and liabilities prior
to bidding a job.

    EPCRA establishes State Emergency Response Commissions (SERC) and Local Emergency Planning
Committees (LEPC). If EPCRA applies to your construc-
tion project, you may need to provide information to
your SERC/LEPC on the presence of hazardous chemi-
cals and their releases  (accidental or routine). In addi-
tion, your SERC/LEPC may have additional
requirements. EPA has  found that most construction
sites are not subject to  EPCRA planning requirements.
                                                    To make sure that your construction site
                                                        is not a Superfund site or on the
                                                       National Priorities List (NPL), go to:
                                                        http://cfpub.epa.gov/supercpad/
                                                              cursites/srchsites.cfm.
                                                     To determine if test results indicate the
                                                      presence of hazardous substances at
                                                    your site contact the National Response
                                                        Center Hotline, 1-800-424-8802.
    In addition to planning requirements, EPCRA also
has reporting requirements for hazardous substances and extremely hazardous substances. You must report
to your SERC/LEPC any releases of these substances at your construction site if the amount released meets
or exceeds the reportable quantity.

A.   Does  Your Construction Project Site Contain Hazardous Substances?
Your facility can be affected by Superfund or EPCRA if hazardous substances are discovered during construc-
tion activities (e.g., grading or digging) or removed during demolition (e.g., drums of spent chemicals). Prior
to any construction activity, you should make sure that
a thorough historical evaluation of your site has been
completed. This should include, but not be limited to,
a review of historical records to determine previous
uses of the site, a review of historical aerial photo-
graphs to identify potential areas of contamination,
and a review of state and local files to identify past
environmental  concerns at the site. If your site was previously used for industrial or commercial activities that
may have generated hazardous substances, or there is some indication of waste disposal at the site, you
should consider testing the soil, surface water, and groundwater prior to beginning  any construction activities.

   There may still be instances where, during construction, you discover hazardous substances at a site that
was never used for industrial or commercial activities or waste disposal (i.e., illegal  dumping grounds). If this
happens, stop your construction activities and immediately notify the owner/developer and the National
Response Center Hotline at 1-800-424-8802. See Section VII-B of Part I of this guide for more information.

    If your construction site is considered a brownfield site, you should already be aware of any potential
hazardous contamination. A brownfield  site is a piece of property that is undesirable for development due
either to contamination by a hazardous  substance or the perception of contamination. Brownfields do not
include sites  that are part of the  Superfund process. EPA implements a Brownfields Program to encourage
states, communities, and other stakeholders to work together to prevent, assess, safely clean up, and reuse
brownfields.  The Brownfields Program provides grant money to communities to help fund the evaluation
and cleanup of these sites. For more information on this program, go to EPA's Brownfields Cleanup and
Redevelopment web site at http://www.epa.gov/swerosps/bf/index.html.

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Managing Your Environmental Responsibilities
                                                       Section VII - Hazardous Substances (Superfund)
   EPCRA Planning Requirements
   Your construction site is subject to  EPCRA emergency planning requirements (Section 302) if it meets
both of the following:

   •   It stores an extremely hazardous substance, as defined at http://yosemite.epa.gov/oswer/cep-
       poweb.nsf/
       content/chemicalinfo.htm; or stores any substance regulated by your state or local authority; and
   •   It stores the substance above the designated Threshold Planning Quantity, which varies by sub-
       stance. A definition of Threshold Planning Quantities can be found at
       http://yosemite.epa.gov/oswer/ceppoweb.nsf/vwResourcesByFilename/title3.pdf/$ FileAitle3.pdf.
                                                     More information on brownfields
                                                   cleanup enforcement is available on
                                                       line at: http://www.epa.gov/
                                                    enforcement/cleanup/brownfields.
   However, EPA has found that most construction
sites do not work with the listed extremely haz-
ardous substances and are not subject to the
requirements of EPCRA. Therefore, this guide does
not discuss EPCRA planning requirements further. If
you discover hazardous substances at your site, you
should consult the  references listed above to determine if EPCRA applies.

B.  Are You Responsible for Meeting CERCLA/EPCRA Requirements?
If hazardous substances are discovered during construction activities, the contractor or subcontractor who
first discovers the material is responsible for notifying the general contractor, developer, and/or owner.
Because the hazardous substance was present at the site prior to construction activities, the developer or
owner typically is responsible for ensuring that the hazardous substances are handled and disposed of
properly.

   However, if you excavate or spread soils containing a hazardous substance (e.g., waste pesticides), you
may be responsible under CERCLA as an operator, arranger, or transporter. For example:

   •   You  may be an operator if you spread soil that contains a hazardous substance on the land.
   •   You  may be an arranger if you dispose of a hazardous substance or arrange to have it removed
       from the construction site. For example, if you excavate soil that contains pollutants buried by a pre-
       vious owner, you may be liable for disposal of a  hazardous substance.
   •   You may be a transporter if you move hazardous substance from one location to another. For example,
       you may be liable if you transport dioxin-contaminated soil even if you did not know the soil contained
       dioxin.
   If there is a hazardous substance release        	
exceeding the reportable quantity for CERCLA, you
must immediately notify the National Response
Center at 1 -800-424-8802 and your SERC/LEPC.  If
there is an extremely hazardous substance release
exceeding the reportable quantity for EPCRA, you
                                                  If you discover a hazardous substance
                                                   on your construction site, you should
                                                 notify your state and local authorities or
                                                  the National Response Center Hotline,
                                                             1-800-424-8802.
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Managing Your Environmental Responsibilities                  Section VII - Hazardous Substances (Superfund]
must immediately notify your SERC/LEPC. If no notification occurs, both the owner and operator (e.g., con-
tractor, subcontractor) may be  held responsible.

C.         Are the
Federal environmental laws give a range of enforcement options to EPA, state agencies, and individual citi-
zens. Most laws authorize EPA  to: (1) issue an administrative order or impose an administrative penalty, (2)
file a civil action in a federal court for injunctive relief or a civil penalty, or (3) file a criminal action in a fed-
eral court to Impose criminal sanctions.

    EPA may impose administrative, civil, and criminal sanctions on a property owner and/or a contractor
for failure to comply with Superfund requirements. Administrative penalties and civil penalties - imposed in
a judicial proceeding - can reach $32,500 per violation per day. In addition to fines, you may need to pay
legal fees and face project delays. If legal action is taken against your construction site, you may also be
subject to increased scrutiny at all of your other construction sites by regulatory agencies and the public.

    CERCLA authorizes EPA to  negotiate with parties that helped create  hazardous waste sites (responsible
parties, also known as PRPs) to get them to clean up the sites. If those parties refuse to cooperate, EPA can
order them to conduct the cleanup, or EPA can conduct the cleanup using money from the Superfund Trust
Fund. Regardless of how the cleanup is conducted, CERCLA gives EPA the authority to recover any costs it
incurs as part of the response. Therefore, any responsible party may be required to pay for the entire
cleanup cost. For more information on the types of costs EPA can recover, go to http://www.epa.gov/com-
pliance/cleanup/superfund/recovercosts/index.html.

D.  In                          the         for Cleanup?
If you discover hazardous materials, contaminated soil, or contaminated groundwater, your construction
site may be entered into the Comprehensive Environmental Response, Compensation, and Liability
Information System (CERCLIS), EPA's computerized inventory of potential hazardous substance release sites.
When this happens, the responsible parties are required to work with EPA to evaluate the severity of the
problem and develop remedies.  EPA and the responsible party will evaluate the potential for a release of
hazardous substances from the site through these steps in the Superfund cleanup process:

    *   Preliminary Assessment/Site Inspection (PA/SI) - Investigate the site conditions;
    •   Hazard Ranking System (MRS) Scoring - Based on the results of the PA/SI,  rate the site and deter-
       mine if it should be placed on the National  Priorities List; and
    •   National  Priorities List (NPL) Site Listing Process -  Based on the MRS score, EPA lists the most  serious
       of the sites for further investigation and possible long-term cleanup.
    If a site is placed on the NPL, the responsible parties are required to work with ERA to conduct several
steps to clean up the site, including:
    *   Remedial Investigation/Feasibility Study (RI/FS) - Investigate the NPL sites to determine the nature
       and extent of contamination as well as the potential treatment options;
    •   Records of Decision (ROD) - Use the results of the RI/FS to explain which cleanup alternatives will be
       used at the NPL site;
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Managing Your Environmental Responsibilities                  Section VII - Hazardous Substances (Superfund)
    •   Remedial Design/Remedial Action (RD/RA) - Design the cleanup technology and begin the site
       cleanup process;
    «   Cleanup Completion - Complete any required cleanup activities or, remove the site from the NPL;
       and
    *   Post Cleanup Completion - Once cleanup is complete, implement maintenance programs that will
       provide  for the long-term protection of human health and the environment.
    Releases that require immediate or short-term response actions are addressed under the Emergency
Response program of Superfund.

E.  What              Do You         to                     Starting Your
    Construction
You can use the questions in Section II of Part I of this guide to start a discussion among all parties involved
in the construction project and to assign tasks to ensure all environmental requirements are met. Each
question has a space next to it to designate who will take the lead on each task. Note that designating a
responsible party does not absolve you of responsibility for meeting environmental  requirements or liability
for failing to meet these requirements.

F.                 You                     Information?
Many tools are  available to assist you with your CERCLA and EPCRA requirements, including the following:

    •   The Hazardous Substances (Superfund Liability) Self-Audit Checklist in Part II of this guide;
    •   EPA's Superfund web site: http://www.epa.gov/superfund/index.htm;
    «   EPA's Brownfields homepage: http://www.epa.gov/swerosps/bf/;
    •   EPCRA web site: http://yosemite.epa.gov/oswer/ceppoweb.nsf/content/epcraoverview.htm;
    «   EPCRA Hotline: 1-800-424-9346;
    «   EPA's "Where you live" page contains links to state environmental agencies: http://www.epa.gov/
       epahome/whereyoulive.htm;
    *   EPA's Office of Site  Remediation and Enforcement (OSRE) staff assist with issues such as lender lia-
       bility, prospective purchasers, comfort letters, and municipal solid waste. OSRE web sites include:
       http://www.epa.gov/compliance/cleanup/ and specifically for brownfields,
       http://www.epa.gov/enforcement/cleanup/brownfields;
    «   The Construction Industry Compliance Assistance Center provides information on hazardous and toxic
       substances regulations that apply to the construction industry:
       http://www.cicacenter.org/hazwaste.html; and
    •   The National Environmental Compliance Assistance Clearinghouse contains a search engine to help
       you find compliance assistance tools, contacts, and EPA- sponsored programs:
       http://www.epa.gov/clearinghouse/.
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Managing Your Environmental Responsibilities
                     Section VIII - PCB Waste Requirements
                       r?t-;
VIII.  Polychlorinated
Biphenyl (PCB) Waste
Requirements  for
Construction  Activities
      Before beginning any construction activities on existing buildings, you should evalu-
      ate the potential for generating PCB-laden waste. The PCB regulations and require-
      ments apply to both PCB waste materials and PCBs still in use. Because of potential
      harmful effects on human health and the environment, federal  law banned U.S.
production of PCBs as of July 2, 1979. However, PCB-containing materials may be present at
construction and demolition sites.
  Definitions and Acronyms
  Polychlorinated Biphenyls (PCBs)—Any chemi-
  cal substance that is limited to the biphenyl mol-
  ecule that has been chlorinated to varying
  degrees or any combination of substances that
  contain such a substance. Due to their non-flam-
  mability, chemical stability, high boiling point,
  and electrical insulating properties, PCBs were
  used in hundreds of industrial and commercial
  applications including electrical, heat transfer,
  and hydraulic equipment; as plasticizers in
          paints, plastics, and rubber products; in pig-
          ments, dyes, and carbonless copy paper; and
          many other applications.
          PCB—Polychlorinated Biphenyl
          RCRA—Resource Conservation and Recovery Act
          TSCA—Toxic Substances Control Act
A.  Could Your Construction Project Site Contain PCBs?
PCBs were used in hundreds of industrial and commercial applications including electrical (e.g., capacitors
and transformers), heat transfer, hydraulic, and lighting equipment. Items with a PCB concentration of 50
parts per million (ppm) or greater are regulated for disposal under 40 CFR Part 761. The regulatory text
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Managing Your Environmental Responsibilities
           Section VIII - PCB Waste Requirements
discussing this program (40 CFR Part 302 and Part 761) can be found at http://ecfr.gpoaccess.gov under
"Title 40 - Protection of the Environment." The most likely sources of PCBs at construction sites are:

    •  Mineral-oil filled electrical equipment such as motors or pumps manufactured prior to July 2, 1979;
    •  Capacitors or transformers manufactured prior to July 2, 1979;
    •  Plastics, molded rubber parts, applied dried  paints, coatings or sealants, caulking, adhesives, paper,
       Galbestos, sound-deadening materials, insulation, or felt or fabric products such as gaskets manu-
       factured prior to July 2, 1 979;
    •  Fluorescent light ballasts manufactured prior to July 2, 1979;
    •  Waste or debris from the demolition of buildings and equipment  manufactured, serviced, or coated
       with  PCBs; and
    •  Waste containing PCBs from spills, such as floors or walls contaminated by a leaking transformer.

    For demolition activities, the building  owner should have an inventory of all items containing PCBs.
However, if the equipment is not marked  and if no records exist, you will need to identify any PCB-contain-
ing materials.  PCBs are difficult to locate  and identify. PCB concentrations may vary from item to item and
PCB Trade Names and Other Synonyms
Aceclor
Adkarel
ALC
Apirolio
Apirorlio
Arochlor
Arochlors
Aroclor
Aroclors
Arubren
Asbestol
ASK
Askael
Askarel
Auxol
Bakola
Biphenyl, chlorinated
Chlophen
Chloretol
Chlorextol
Chlorinated biphenyl
Chlorinated diphenyl
Chlorinol
Chlorobiphenyl
Chlorodiphenyl
Chlorphen
Chorextol
Chorinol
Clophen
Clophenharz
Cloresil
Clorinal
Clorphen
Decachlorodiphenyl
Delor
Delorene Diaclor
Dicolor
Diconal
Diphenyl, chlorinated
DK
Duconal
Dykanol
Educarel
EEC-18
Elaol
Electrophenyl
Elemex
Elinol
Eucarel
Fenchlor
Fenclor
Fenocloro
Gilotherm
Hydol
To Help You Identify PCB-Containing Equipment
Hyrol
Hyvol
Inclor
Inerteen
Inertenn
Kanechlor
Kaneclor
Kennechlor
Kenneclor
Leromoll
Magyar
MCS 1489
Montar
Nepolin
No-Flamol
NoFlamol
Non-Flamol
Olex-sf-d
Orophene PCB
PCB's
PCBs
Pheaoclor
Phenochlor
Phenoclor
Plastivar
Polychlorinated biphenyl
Polychlorinated biphenyls
Polychlorinated diphenyl
Polychlorinated diphenyls
Polychlorobiphenyl
Polychlorodiphenyl
Prodelec
Pydraul
Pyraclor
Pyralene
Pyranol
Pyroclor
Pyronol
Saf-T-Kuhl
Saf-T-Kohl
Santosol
Santotherm
Santothern
Santovac
Solvol
Sorol
Soval
Sovol
Sovtol
Terphenychlore
Therminal
Therminol
Turbinol

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Managing Your Environmental Responsibilities                         Section VIII - PCB Waste Requirements
within classes of items. If you cannot locate and identify PCB-containing materials yourself, you will need to
contact a company that specializes in environmental engineering, remediation, or sampling and  analytical
services. Your state environmental agency may be able to assist in locating or recommending such compa-
nies. EPA's Home Page contains a "Where you live" link that contains links to state environmental agencies:
http://www.epa.gov/epahome/whereyoulive.htm.

B.  Are You Responsible for Addressing PCB Wastes?
The PCB regulations at 40 CFR Part 761 define the "generator" as being responsible for handling, storing,
transporting, and disposing of PCB wastes.  The "generator" is considered the party that owns the material.
For most construction projects, multiple  parties will be involved; all may be liable if the PCB
handling  and disposal requirements are not
followed.
                                                    The PCB regulations can be found at
    ,    .  -   i     .   ..         ,  ora     ,            http://www.epa.gov/pcb/laws.html.
    In a typical construction pro|ect, PCB wastes are          r          r*   »  / r*  /
generated in one of two ways:

    •   PCB-contaminated  soils and materials are discovered during grading or digging (i.e., remediation
       wastes); or
    •   PCB-contaminated  buildings or equipment are discovered during demolition.

    In these situations, the  contractor or subcontractor who first discovers the PCB-containing  material typi-
cally is responsible for notifying the general contractor, developer, and/or owner. Because the PCB-contain-
ing material was present on the site prior to construction activities, the developer or owner typically is
responsible for ensuring that all PCB wastes are handled and disposed of properly.

    Because PCBs were banned as of 1 979, it is unlikely that a contractor or subcontractor will bring  PCB-
bearing materials on  site during a construction project. However, if this happens, that contractor or subcon-
tractor typically would be responsible for complying with the PCB requirements.

C. What Are the Penalties?
Federal environmental laws give a range of enforcement options to EPA, state agencies, and  individual  citi-
zens. Most laws authorize EPA (1) to issue an administrative order or impose an administrative penalty,  (2)
to file a civil action in a federal court for injunctive relief or a civil penalty, or (3) to file a  criminal action in
a federal court to impose criminal sanctions.

    In addition to fines, you may need to  pay legal fees and face project delays. If legal action is taken
against your construction site, you also may be subject to increased scrutiny at all of your other construction
sites by regulatory agencies and the public.

    If you do not follow the PCB waste management and permitting standards listed in 40 CFR Part 761,
you may be fined in civil penalties of up to $32,500 per day per violation. You also may be fined if you
release PCB waste into the environment. You can lose any existing permits for your construction site and/or
need to stop work until you meet  EPA requirements.
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Managing Your Environmental Responsibilities                         Section VIII - PCB Waste Requirements
   You also may face penalties or actions for past or present handling, storage, treatment, transportation,
or disposal of PCB waste that may be a hazard to human health or the environment.

D.  In  General, What are the Storage  and Disposal  Requirements?
The general requirements for handling PCB materials and equipment identified on site prior to demolition
or remodeling projects consist of: identifying and labeling the material, notifying EPA, properly storing the
material, and properly disposing of the material. If you discover PCB wastes during grading or digging
(e.g., buried transformers), the storage and handling requirements can  be very complex and depend on the
amounts and concentrations of the waste. Contact your EPA Regional office for guidance on how to proper-
ly handle PCB materials, equipment, and wastes.

   Identification and Labeling
   Before you begin any demolition or remodeling
activities, identify and label all PCB-containing equip-
ment or material that will be disturbed. You can find an
example  of the two  approved PCB labels in 40 CFR  Part
761.45. Large mark (ML) is the  larger, preferred  label
and  is square from  6 inch by 6  inch to 2 inch by 2 inch.
Small mark (MS) is the smaller label that should be used
only  on items that will not accommodate the ML and is
rectangular from 1  inch by 2  inch to 0.4 inch by 0.8
inch. The following  items must be labeled:
 You may find a list of EPA Regional
          PCB coordinators at
http://www.epa.gov/pcb/coordin.html
 and a list of EPA Headquarters PCB
 contacts at http://www.epa.gov/pcb/
            contactus.html.
    •   PCB containers;
    •   Large PCB transformers, PCB low- and high-voltage capacitors, and equipment containing these
       transformers or capacitors at the time of removal from use if not already marked;
    •   Large PCB high-voltage capacitors at the time of manufacture, at the time  of distribution in com-
       merce if not already marked, and at the time of removal from use if not already marked;
    •   Electric motors using PCB coolants;
    •   Hydraulic systems using PCB hydraulic fluid;
    •   Heat transfer systems (other than  PCB transformers) using PCBs;
    •   PCB article containers containing  articles or equipment that must be marked; and
    •   Each storage area used to store PCBs and  PCB items for disposal.

    (Note - Items containing PCBs cannot be reused or recycled; there is no provision in the Toxic
Substances Control  Act for using, reusing, or recycling items or materials containing PCBs.  However, items
or materials containing less than 2  ppm PCBs may be used, reused, or recycled without restriction.)

    For PCB waste disposal, there are two ways to determine regulatory status of items or materials suspect-
ed of containing PCBs: assume "worst case" (greater than or equal to 50 ppm)  and remove and dispose
the suspect item(s);  or, analyze samples of the items for PCB concentration. The PCB rules do not require
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Managing Your Environmental Responsibilities
          Section VIII - PCB Waste Requirements
you to test, although EPA recommends it. Note that sampling and analysis may be expensive. It may be
more cost-effective to assume a "worst case" scenario. EPA developed the following  guidelines to assist you
with your assumptions.

                                PCB Concentration Assumptions
                       (for Equipment Manufactured  Prior to July 2, 1979)
 Transformers with <3  Ibs of fluid
 Circuit breakers
 Rec losers
 Oil-filled cable
 Rectifiers with unestablished PCB concentrations
                                                                    Concentration Assumption
       <50 ppm PCB

       (not regulated by TSCA)
 Mineral-oil filled electrical equipment without any established
 PCB concentration (pole-top and pad-mounted distribution
 transformers are considered mineral-oil filled)
       >50 ppm and <500 ppm
 Transformers with >3  Ibs of fluid
 Capacitors
       >500 ppm
    Notification
    If you are storing or disposing of PCB waste, complete a Notification of PCB Activity Form (see
http://www.epa.gov/pcb/data.html) and mail it to the Fibers and Organics Branch of the National Program
Chemicals Division in EPA's Office of Pollution Prevention and Toxics (OPPT). EPA will assign an identification
number (ID number) to the construction site for handling PCBs. This ID number is for activities involving  PCBs
and may not be used for any other waste activities. If the construction site has already received an ID num-
ber for other regulated wastes (e.g., RCRA), EPA will verify the number and assign the same ID number for
the site's PCB activities. It is not necessary to have a RCRA ID number to receive a PCB ID number.

    Storage and  Disposal
    Storage requirements for PCB-containing materials depend on the end use of those materials. You  can
store approved  materials for reuse for up to five years in an approved, permanent, PCB storage area.
(Note - The storage-for-reuse provisions at 40  CFR Part 761.35 are meant to capture equipment such as
transformers. The equipment must be manufactured for a particular use. It is not meant for any item or
material containing PCBs. See the definition of "PCB Article" at 40 CFR Part 761.3.) You can store materials
for disposal for up to 30 days in a temporary storage area or for up to one year in a permanent PCB stor-
age location. In all cases, you must mark the items with the date they were  removed from service and
inspect the area every 30 days for any spills or leaks. A temporary storage for disposal area  must meet the
following requirements:

    •  Be marked with a PCB ML label;
    •  Have a roof and  walls to protect the materials from  rain or snow;
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Managing Your Environmental Responsibilities
                                                                Section VIII - PCB Waste Requirements
    •   Have impermeable floor with 6-inch curbing and no drains;
    •   Have containment volume equal to at least two times the volume of the largest PCB article or 25
       percent of the total volume of all PCB articles, whichever is  greater;
    •   Not be located in a 1 00-year flood plain; and
    •   Have all leaking equipment stored in a nonleaking PCB container with absorbents and have non-
       leaking equipment on pallets.

    You can also store PCB material in an area permitted by RCRA to store hazardous wastes. If you oper-
ate an on-site storage area, you need to complete the Notification  of PCB Activity Form as discussed above.
                                                        For information specific to fluorescent
                                                               light ballast disposal, see
                                                               http://www.epa.gov/pcb/
                                                                    Ballastchart.pdf.

                                                        Note that fluorescent light ballasts con-
                                                        taining mercury are  considered univer-
                                                        sal wastes; see Section V-E of Part  I of
                                                           this guide for more information.
    If at any time during site inspection or material han-
dling you discover a spill or leak, you must clean it up
within 72 hours of discovery. EPA has provided a
detailed spill cleanup policy in 40 CFR Part 761, Subpart
G. The requirements of this plan vary depending on the
size and concentration of the spill but can include the
following:

    For high concentration  spills (defined as 500 ppm or
greater PCBs, or low concentration spills involving more
than one pound PCBs  by weight, or more than 270 gal-
lons of untested material) within 24 hours of the spill or
within 48 hours for spills involving PCB transformers:

    •   Notify the National  Response Center at 1-800-424-8802 if the spill involved 10 pounds or more by
       weight of PCBs;
    •   Notify local environmental agencies;
    •   Notify local authorities  immediately if there was a fire;
    •   Restrict and label the visible spill area;
    •   Record and document the extent of PCB contamination of the estimated spill area;
    •   Immediately begin cleanup of the visible spill area; once  the concentration level of the PCB spill is
       determined, begin the appropriate cleanup depending upon the release location, exposure risk,
       PCB concentration,  and future use of the site; and
    •   Test the area to confirm that the PCB  concentration met EPA-specified levels.

    For low concentration spills (defined as less than 500 ppm PCB, or less than one pound of PCBs by
weight, or less than 270 gallons of untested material):

    •   Double wash/rinse  all contaminated surfaces within 48 hours of the spill, properly dispose of the
       wash water; and
    •   Collect a standard wipe test sample from smooth surfaces,  using hexane wipe samples to detect
       PCB contamination  and confirm that the concentration is  not more than 1 0 micrograms per 1 00
       square centimeters.
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Managing Your Environmental Responsibilities                          Section Vffl - PC8 Waste Requirements
   At the completion of cleanup, records and certification forms must be maintained for a period of 5
years. Your records should contain the following:

    *   Identification of the source of the spill (e.g., type of equipment);
    *   Estimated or actual date and time of the spill;
    •   The date and time cleanup was completed or terminated (if cleanup was delayed by emergency or
       adverse weather, include the nature and duration of the delay);
    •   A brief description of the spill location;
    •   Pre-cleanup sampling data used to establish the spill boundaries if required;
    •   A brief description of the sampling methodology used to establish the spill boundaries;
    •   A brief description of the solid surfaces cleaned and of the double wash/rinse method used;
    *   Approximate depth of soil excavation  and the amount of soil removed; and
    •   A certification statement signed by the responsible party stating that the cleanup requirements have
       been met and that the information contained in the record is true to the best of his/her knowledge.

   Any spills that are deemed  greater than 72 hours old must be cleaned up (remediated) by the methods
listed in 40 CFR Part 761.61. These methods are  not allowed to clean up the following:

    *   Surface or ground waters;
    *   Sediments in marine and freshwater ecosystems;
    •   Sewers or sewage treatment systems;
    •   Any private or public  drinking water sources or distribution systems;
    •   Grazing lands; or
    •   Vegetable gardens.

    Remediation cleanup requirements include characterizing the cleanup site and notifying, in writing, the
EPA Regional Administrator, the Director of the state or tribal environmental protection agency, and the
Director of the county or local environmental protection  agency where the cleanup will  be conducted at
least 30 days prior to the date  that the cleanup of a site begins.

    For PCB waste disposal, you must find an approved  PCB waste disposer. (Note - transporters do not
need to be  approved, but the generator or whoever is offering the waste for shipment must ensure that the
transporter has submitted a Notification of PCB Activity Form and received an ID number for their PCB
activities. In  addition to the waste going to an approved disposer, that disposer must also have notified and
received an  ID number for their PCB activities.) To transport the waste for either commercial storage or dis-
posal, you must complete a hazardous waste manifest. You can get a  hazardous waste manifest from either
your hazardous waste transporter or from your state hazardous waste  coordinator. When you complete the
manifest, sign  it and keep a copy for your records. Once the waste has reached its final destination, the
hazardous waste storer/disposer will sign the manifest and return a copy to you.

   You  also must keep an annual documentation log for certain storage and disposal activities.  For details
on the specific requirements of the annual documentation log, see 40  CFR Part 761.1 80.
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Managing Your Environmental Responsibilities                          Section VIII - PCS Waste Requirements
E.  What              Do You         to                    Starting Your
    Construction
You can use the questions in Section II of Part I  of this guide to start a discussion among all  parties involved
in the construction project and to assign tasks to ensure all environmental requirements are met. Each
question has a space next to it to designate who will take the  lead on each task. Note that designating a
responsible party does not absolve you of meeting environmental  requirements or  liability for failing to
meet these requirements.

F.                  You                    Information?
Many tools are available to assist you with the PCB permit requirements, including  the following:

    • The  Polychlorinated  Biphenyl  (PCB) Self-Audit Checklist in Part II of this guide;
    • The  Construction Industry Compliance Assistance Center provides information on hazardous and
     toxic waste regulations that apply to the construction industry:
     http://www.cicacenter.org/hazwaste.html;
    • The  National Environmental Compliance Assistance Clearinghouse contains a search  engine to help
     in finding  compliance assistance tools, contacts, and EPA-sponsored programs:
     http://www.epa.gov/clearinghouse/;
    • EPA's PCB Homepage includes links to the regulatory text (40 CFR Part 761) as well as lists of
     approved  PCB waste handlers: http://www.epa.gov/pcb/;
    • The  Office of Pollution Prevention and Toxics (OPPT) has compiled a summary of PCB  wastehandlers
     in the United States: http://www.epa.gov/pcb/waste.html;
    • The  Minnesota Pollution Control Agency has prepared a  series of fact sheets summarizing the federal
     regulations:
       —    Use and Servicing of Equipment Containing PCBs
             http ://www. pea .state, m n. us/waste/p u bs/4__48a. pdf,
       —    Labeling and Marking Requirements for Equipment Containing  PCBs
             http ://www. pea.state. mn.us/waste/pubs/4__48b. pdf,
       —    Storage and Disposal of PCB-Contaminated Equipment and Wastes
             http ://www. pea. state. mn.us/waste/pubs/4_48c. pdf,
       —    Required Recordkeeping for PCB-Contaminated Equipment and Wastes
             http ://www. pea.state. mn.us/waste/pubs/4_48d. pdf,
       —    Manifest Requirements for Shipping PCB Wastes
             http ://www. pea.state. mn.us/waste/pubs/4__48e. pdf,
       —    Managing  PCBs in Fluorescent Light Ballasts
             http ://www. pea .state, m n. us/waste/p u bs/4__48f. pdf, and
       —    PCB Spill Cleanup Policy http://www.pca.state.mn.us/waste/pubs/4_48g.pdf; and
    •   EPA's "Where you  live" page contains links to state environmental agencies:
       http://www.epa.gov/epahome/whereyoulive.htm.
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Managing Your Environmental Responsibilities
                                            Section IX - Air Quality Requirements
                              IX. Air  Quality
                              Requirements for
                              Construction  Activities
A
ir regulations for construction activities are designed to limit the generation of
particulate and ozone precursor emissions. The air quality issues of concern to the
construction industry include:
      Uncontrolled open burning of debris;
      Dust generation;
      Vehicle emissions;
      Combustion gases from oil-fired equipment; and
      Releases of chlorofluorocarbons (CFCs).
 Definitions and  Acronyms
  Hot Mix Asphalt Plant—Facility or equipment
  used to prepare hot aggregate and mineral filler
  for mixing to make hot mix asphalt.
  Portland Cement Plant—Any manufacturing
  facility producing Portland cement by either the
  wet or dry process.
  Rock Crushing Plant—All activities to crush or
  grind nonmetallic minerals that include the
  crusher, grinding mill, screening, bucket elevator,
  conveyer, bagging, storage bin, and loading.
                               Sick Building Syndrome—Condition in which
                               building occupants experience acute health and
                               comfort effects that appear to be linked to indoor
                               air quality and time spent in buildings.
                               CFC—Chlorofluorocarbons
                               DOT—Department of Transportation
                               SIP—State Implementation Plan
                               TIP—Transportation Improvement Plan
                               VOC—Volatile Organic Compound
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Managing Your Environmental Responsibilities                            Section IX - Air Quality Requirements
    For large construction sites, especially road construction activities, you may require a portable rock
crusher, cement plant, or a hot mix asphalt plant for your operations. These sources are generally large
emitters of particulate matter, combustion gases, and hazardous air pollutants. These sources are regulated
under 40  CFR Part 60 - Standards of Performance for New Stationary Sources. Subpart F applies to
Portland Cement Plants, Subpart I applies to Hot Mix Asphalt Facilities,  and Subpart OOO applies to
Nonmetallic Mineral Processing Plants. These facilities and regulations are not discussed in detail in this
document because they are not common to most construction sites. If you own, operate, or maintain one of
these facilities, you will need to follow all of the proper recordkeeping and  monitoring requirements. For
more information on each of these subparts, go to http://www.epa.gov/docs/epacfr40/chapt-
l.info/60tc.html. The permitting  requirements and the permit  exemptions for these sources vary from state
to state. Even if a New Source Performance Standard does not apply to your source, you should still  consult
with the proper state and local agencies to determine your permitting requirements.

A.  What  Clean Air Act  (CAA)              Apply to Your Construction Project?

    Ozone Depleting Substances
    Before beginning any demolition or renovation activities on existing buildings, you should evaluate the
potential for releasing ozone  depleting substances such as chlorofluorocarbons (CFCs) that are in refrigera-
tors, air conditioners, and other chiller units. EPA 40 CFR Part 82 (Protection of Stratospheric Ozone;
Refrigerant Recycling) states that no person  disposing of appliances may knowingly vent or otherwise
release into the environment any CFC used as a refrigerant. You  must ensure that all equipment containing
ozone-depleting substances such as CFCs is properly disposed of. This will  require following EPA recycling
and recovery practices and using certified recycling and recovery equipment. Typically, this involves having
items such as small air conditioners or chilling  units sent to a recovery facility to have the CFCs removed by
a certified specialist. If large industrial chillers are located at the site, then a certified CFC recovery special-
ist will have to remove the CFCs on site  before demolition of the  unit can begin. You will be  required to
maintain signed statements from the disposal contractor indicating that they have removed the refrigerant
from the appliance.

    State  Implementation Plans
    Currently, there are no federal CAA requirements for mobile and stationary sources that  apply to con-
struction activities.  CAA requirements are implemented primarily by states through their State
Implementation Plans (SIP). The following construction-related emissions may require a state permit under a
SIP:

    •  Nitrogen oxides (NOx) and fine particulates from diesel engines;
    «  Dust from vehicle traffic;
    •  Dust from loading and unloading of construction materials at transfer points;
    •  Dust from conveyor systems transporting building  materials;
    «  Visible stack emissions from off-road equipment;
    •  Emissions from open burning  of debris (illegal in many areas);
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Managing Your Environmental Responsibilities                           Section IX - Air Quality Requirements
    •   Volatile organic compounds (VOCs) from paint and cleaning solvents; and
    •   Combustion gases from oil-fired heaters.

    States have differing requirements for air emissions. Check with your local  permitting authority to deter-
mine if you need a permit for your activities.
                                                    Transportation conformity requirements
                                                                 can be found at:
                                                        http://www.epa.gov/otaq/transp/
                                                                   traqconf.htm
   Transportation Conformity Rule
   Projects requiring funding or approval from the
Department of Transportation (DOT), the Federal
Highway Administration, the Federal Transit
Administration, or the Metropolitan Planning
Organization must comply with the Transportation Conformity Rule issued by DOT on November 24, 1993.
These projects include federal  road construction activities. These requirements may affect projects in an
area that does not meet one or more of EPA's air quality standards.

   The Transportation Conformity Rule was established to control  the impacts of transportation-related
emissions on  air quality. The rule requires that Metropolitan Planning  Organizations develop a transporta-
tion improvement plan  (TIP) that is consistent with a  SIR Before a construction project begins, you should
determine if the Transportation Conformity Rule applies. If it does, you should verify that your project meets
the requirements of the Transportation Conformity Rule. You should also confirm consistency between the
TIP and SIP for the area where the road project is located. In most cases, this analysis occurs during the
planning phases of a project, but the contractor should confirm that this analysis has occurred to avoid
project delays or shut-down.
                                                     Information concerning the Voluntary
                                                    Diesel Retrofit Program can be found at:
                                                       http://www.epa.gov/otaq/retrofit/.
   Voluntary Diesel Retrofit Program
   To address air pollution from existing diesel con-
struction equipment and heavy-duty vehicles, EPA
has developed a Voluntary Diesel Retrofit Program
through which it is developing incentives to encourage construction equipment manufacturers and opera-
tors to implement control technology to reduce emissions. The most common types of "after treatment"
control technologies are cleaner low-sulfur diesel  fuel, antiOidling strategies, engine replacement, diesel
exhaust catalysts, and particulate filters that remove pollutants from the exhaust stream before they can
escape into the atmosphere.  EPA has also developed additional initiatives for reducing pollution from new
diesel engines and more stringent emission standards for new nonroad diesel engines which will begin in
2008. For more information  on the proposed standards, go to http://www.epa.gov/otaq/nonroad.htm.

   Indoor Air Concerns
   Some building  materials  contain chemicals that may be harmful if inhaled for extended periods of time.
These materials may include:

   •   Paint/primers;
   •   Adhesives;
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Managing Your Environmental Responsibilities                          Section IX - Air Quality Requirements
       Floor coatings;
       Carpet; and
       Plywood/particle board.
                                                     Information concerning paint can be
                                                   found at http://www.epa.gov/iaq/pubs.
   The most important danger from paints is from
VOCs, which may include chemicals such as ben-
zene, formaldehyde, and xylene that have been
shown to cause cancer. Primer also contains many
of the same chemicals found in paint. Some steps that you can take to improve air quality are to:

   •   Try to find paints that have low levels of Hazardous Air Pollutants (HAPs) and VOCs;
   •   Allow adequate drying time before occupying the building;
   •   Provide proper ventilation; and
   •   Dispose of all paints properly.

   Adhesives are a substance capable of holding materials together by surface attachment. High levels of
exposure to some adhesives may cause light headiness and nausea.  It is important that proper ventilation is
used when  applying adhesives. Appropriate protec-
tion should be used to avoid breathing in the strong
fumes. During  the construction  phase, bonding
agents such as caulks, sealants, and glue are all
necessary, although particular precaution must be
taken in indoor conditions when you are dealing
with large areas. Adhesives are also used as the  primary backing for carpet. In order to reduce the "new
carpet smell," you should air the carpet out prior to installation.

   Particle board is a  practical and inexpensive alternative to solid wood and has become one of the
nation's leading building materials. Floors, cabinets, and doors are all examples  of particle board usage.
Formaldehyde and  other VOCs are the primary pollutants emitted from particle board. Before installing fur-
niture, make sure it is well laminated to avoid giving off harmful vapors. For more information on
formaldehyde, go to
http://www.epa.gov/iaq/formalde.html.
                                                    For  links to state and local agencies, go
   During the construction phase, special considera-       to  http://www.cicacenter.org/air.html
tion should be  given to indoor air quality because     	
many of the problems  with a  building will occur once
it is occupied. HVAC contractors should make sure that all units are properly installed and that adequate
drain  pans  are placed  to avoid  biological contaminants. Contaminants may breed in stagnant water that has
accumulated in ducts, humidifiers, and drain pans.
                                                      Information concerning sick building
                                                           syndrome can be found  at
                                                    http://www.epa.gov/iaq/pubs/sbs.html.
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Managing Your Environmental Responsibilities                           Section IX - Air Quality Requirements
B.        You                 for      Permit?
As discussed earlier, most air permitting requirements for construction activities are at the state and local
level. Therefore, either the owner, developer, contractor, or architect will need to contact the appropriate
authority to determine the need for and to obtain the necessary CAA permit. To get a permit, you  must sub-
mit your application to the state or local authority.

C. What       the              for Working Without the           Permit?
The penalties will vary from state to state. For example, in many areas, open burning  of debris is not
allowed at all. This activity may result in fines, or even criminal prosecution. Funding and implementation
of a federal highway project in a non-attainment area can be suspended when the TIP does not  conform
with the SIR

   Federal environmental laws give a range of enforcement options to EPA, state agencies, and  individual
citizens. Most laws  authorize EPA to: (1) issue an administrative order or  impose an administrative penalty,
(2) to file a civil action in  a federal court for either injunctive relief or a civil penalty, or (3) to file  a criminal
action in a federal  court to impose criminal sanctions.

   In addition to fines, you may need to pay legal fees and face project delays. If legal action is taken
against your construction  site, you also may be subject to increased  scrutiny at all of your other construction
sites by regulatory agencies and the public.

D.           Do You  Get a
Contact your  state environmental protection agency to discuss permitting requirements for sources.

E.                        Do You         to                               Your
    Construction
You can use the questions in Section II of Part I  of this guide to start  a discussion among all parties involved
in the construction  project and to assign tasks to ensure all  environmental requirements are  met. Each
question has  a space next to it to designate who will take the lead on each task. Note that designating a
responsible party does not absolve you of your responsibility for meeting environmental requirements or
liability for failing to meet these  requirements.

F.            Can You                     Information?
   *   The Construction Industry Compliance Assistance Center (http://www.cicacenter.org/air.html) provides
       resources specific dust control and emission control as well as links to state and  local agencies.
   *   The National Environmental Compliance Assistance Clearinghouse contains a search engine to help
       you find compliance assistance tools, contacts, and  EPA-sponsored  programs:
       http://www.epa.gov/clearinghouse/.
   •   EPA's web site provides links to every state environmental  agency: http://www.epa.gov/air/part-
       ners.html#state. Each state agency will provide information concerning its air permitting  require-
       ments.
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Managing Your Environmental Responsibilities                            Section IX - Air Quality Requirements
       The National Center for Manufacturing Sciences provides resources for highway and building con-
       struction to include air emissions data at: http://ecm.ncms.org/ERI/new/IRRconstruc.htm.
       Transportation conformity requirements can be found at: http://www.epa.gov/otaq/transp/traq-
       conf.htm
       Information concerning the Voluntary Diesel Retrofit Program can be found at:
       http://www.epa.gov/otaq/retrofit/.
       Information on State Implementation Plans can be found at:
       http://www.epa.gov/compliance/resources/policies/civil/caa/sipguid.html.
       Information on New Source Performance Standards can be found at:
       http://www.epa.gov/ttnatw01/nsps/nspstbl.html.
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Managing Your Environmental Responsibilities
               Section X - Asbestos Requirements
                              X. Asbestos
                              Requirements  for
                              Construction  Activities
       Before beginning any demolition or renovation activities on existing buildings, you
       should evaluate the potential for releasing asbestos. Because exposure to asbestos
       can cause serious health problems such as asbestosis (diffuse fibrous scarring of the
       lung tissue) and certain types of cancer, EPA and the Occupational Safety and
Health Administration (OSHA) have promulgated rules regulating its production, use, and
disposal. These rules include the Asbestos School Hazard Abatement Reauthorization Act
(ASHARA), the Asbestos Hazard Emergency Response Act (AHERA), the Asbestos Ban and
Phaseout Rule,  and the Asbestos National Emissions Standards for Hazardous Air Pollutants
(NESHAP), promulgated under the Clean Air Act. The regulatory text discussing this pro-
gram (40 CFR Part 302 and Part 763) can be found at http://ecfr.gpoaccess.gov under "Title
40 - Protection  of the Environment."  OSHA regulates private sector and some public sector
employees' exposure to asbestos and specifies work practices and engineering controls for
removing and handling asbestos. The OSHA rules can be found in Title 29 of the Code of
Federal Regulations (29 CFR 1910.1001, 29 CFR 1915.100, and 29 CFR 1926.1101). The EPA
  Definitions  and  Acronyms
  Adequately Wet—Sufficiently mixed with liquid
  to prevent the release of particulates. If visible
  particles or dust are observed coming from
  asbestos-containing material, then that material
  has not been adequately wetted.

  Asbestos—The name given to a number of nat-
  urally occurring fibrous silicate minerals that
  have been mined for their useful properties such
  as thermal insulation, chemical and thermal sta-
  bility, and high tensile strength. The NESHAP
defines asbestos to be the asbestiform varieties
of serpentine (chrysotile), riebeckite (crocidolite),
cummingtonite-grunerite, anthophyllite, and acti-
nolite-tremolite.

Friable—Asbestos that can be reduced to dust
by hand pressure.

Non-friable—Asbestos that is too hard to be
reduce to dust by  hand.
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Managing Your Environmental Responsibilities
                 Section X - Asbestos Requirements
  Definitions  and  Acronyms
   Owner or Operator of a Demolition or
   Renovation Activity—Any person who owns,
   leases, operates, controls, or supervises the facili-
   ty being demolished or renovated or any person
   who owns, leases, operates, controls, or super-
   vises the demolition or renovation operation, or
   both.
   ACM—Asbestos Containing Materials
   AHERA—Asbestos Hazard Emergency Response
   Act
ASMARA—Asbestos School Hazard Abatement
Reauthorization Act

NESHAPs—National Emission Standards for
Hazardous Air Pollutants
OSHA—Occupational Safety and Health
Administration
RACM—Regulated Asbestos Containing
Materials
TSCA—Toxic Substances Control Act
Worker Protection Rule provides identical regulations to cover certain state and local government workers
who are not protected by OSHA regulations. AHERA regulates asbestos contained in schools, requires the
development of management plans, specifies work practices and engineering controls for removing and
handling asbestos, and sets emissions limitations in  schools after an abatement activity is completed. The
asbestos NESHAP regulations address the removal, disposal, and environmental fate of asbestos. This
chapter discusses ONLY the NESHAP regulations because that is the most applicable regulation to the con-
struction industry. Some states also have established asbestos requirements that extend beyond the federal
requirements.

A.  Could Your Construction Project Site Have Asbestos-Containing Materials
    (ACM) or Regulated Asbestos-Containing Materials (RACM)?
Since asbestos is strong yet flexible, does not burn, and insulates effectively, asbestos-containing materials
(ACM) have been used  broadly since post-World War II in building construction. ACM were  used primarily
in insulation, fireproofing, soundproofing, and decorative products.

    Most people think that asbestos is banned in the United States; however, asbestos is still intentionally
added to many building materials and occurs as a contaminant in others. Therefore, it is likely that many
new building products at a construction site will contain asbestos. The most likely sources of ACMs at con-
struction sites are:
       Insulation, including blown, rolled, and
       wrapped;
       Resilient floor coverings (tiles);
       Asbestos siding shingles;
       Asbestos-cement products;
       Asphalt roofing products;
       Vermiculite insulation; and
       Sand and gravel.
 EPA Region 6 has compiled a list of sus-
 pected asbestos-containing materials at:
   http://www.epa.gov/Region06/6pd/
          asbestos/asbmatl.htm.
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Managing Your Environmental Responsibilities
                          Section X - Asbestos Requirements
   Asbestos has been detected in indoor
air, where it is released from a variety of
building materials including insulation and
ceiling and floor tiles. It is only released,
however, when these building materials
are damaged  or degrade to the point that
they are in poor condition. Regulations
governing the  removal of asbestos building
materials must be followed to protect both
the construction workers and the public
from asbestos releases.

   Classifying ACM
   The Asbestos NESHAP is applicable to
the construction industry as it involves dem-
olition  and renovation activities, contain-
ment, transportation and  disposal. It
classifies ACMs into three categories: fri-
able, Category I  non-friable, and Category
II non-friable.  Friable ACM (defined by
being able to crumble under the pressure
of your hand)  are always  regulated ACM
(RACM) under the NESHAP when being dis-
turbed during  demolition  or renovation. An
example of friable ACM is spray-applied
asbestos fireproofing. Category I materials,
such as floor tiles, are RACM only when they "will be or have been subjected to sanding, grinding, cutting, or
abrading," they are in "poor condition" and "friable," or the structure in which they are located will be
demolished by burning. The applicability of the asbestos NESHAP to  Category  II non-friable materials, such
as asbestos-cement products, is determined on a case-by-case basis. Encapsulating friable ACM does not
exempt you from the Asbestos NESHAP if you are renovating or demolishing structures with ACM.

   In general, cleanup activities such as loading debris onto trucks  for disposal do not expose non-friable
materials to sanding, grinding, cutting, or abrading, and therefore do not cause Category I  or II non-friable
ACM to become RACM. However, if you perform post-demolition activities involving waste consolidation
and  recycling  in which you sand, grind, cut, or abrade Category I or II non-friable ACM, then the materials
become RACM and are subject to the provisions of the asbestos NESHAR An example of waste consolida-
tion that falls  into this category is the  use of jack hammers  or other  mechanical devices such as grinders to
break up asbestos-containing concrete.

B.  Are You  Responsible  for Addressing ACM Wastes?
For the purpose of identifying ACM wastes, EPA defines the "generator" as being responsible for handling,
storing, transporting, and disposing of RACM wastes. The "generator" is considered the party that owns the
Vermiculite Attic  Insulation:
Vermiculite attic insulation has the potential to contain
contaminant asbestos fibers. Most of the world's supply of
vermiculite once came from a mine near Libby,  Montana,
prior to its close in 1990. This mine has a natural deposit
of asbestos which resulted in the vermiculite being con-
taminated with asbestos. Insulation produced using ver-
miculite ore, particularly ore that originated from the Libby
mine, is known to contain asbestos fibers. Vermiculite is a
slippery, light-weight pebble-like pour-in insulation product
which is usually light-brown or gold in color. It is also
commonly used in interstitial spaces in attics, between
floors in multistory commercial buildings, and in the inter-
stitial columnar spaces of cement block structures.
EPA and the Agency for Toxic Substances and Disease
Registry (ATSDR) have produced a consumer guidance
brochure which presents the current  best practices for ver-
miculite attic insulation. You can get a copy of the
brochure electronically at http://www.epa.gov/asbestos/
verm.html, or you can call 1-800-471-7127. NIOSH has
produced  a vermiculite factsheet targeted towards work-
ers, that can be obtained at http://www.cdc.gov/niosh/
docs/2003-141/.
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Managing Your Environmental Responsibilities                              Section X - Asbestos Requirements
material. For most construction projects, multiple parties will be involved; all may be liable if the ACM han-
dling and disposal requirements are not followed.

    EPA has found that demolition contractors typically require that a building owner/operator accept responsi-
bility for removing all ACM found during the building inspection prior to the start of demolition activities. Note
that the Asbestos NESHAP does not require a building owner  or operator to remove damaged or deteriorating
ACM unless a renovation of the facility is planned that would  disturb the ACM and the disturbed ACM exceeds
the threshold amount. However, all OSHA requirements for worker and environmental protection will still  apply.

    The NESHAP regulation states that either the owner of the building or operator of the demolition or ren-
ovation operation can submit the required construction notification. You will need to decide together who
will submit the notification. If neither provides adequate  notice,  EPA may hold either or both parties liable.

C.         Are the
Federal environmental  laws give a  range of enforcement options to EPA, state agencies, and individual citi-
zens. Most laws authorize EPA to: (1) issue an administrative order or impose an administrative penalty, (2)
to file a civil action in a federal court for either injunctive relief or a civil  penalty, or (3) to file a criminal
action  in a federal court to impose criminal sanctions.

    In addition to fines, you may need to pay legal fees and face project delays. If legal  action is taken
against your construction site, you also may be subject to increased scrutiny at all of your other construction
sites by regulatory agencies and the  public.

    If you do  not follow the ACM management and disposal standards, you may be fined civil penalties of
up to $32,500 per day per violation. You also may be fined if you  release ACM waste into the environ-
ment. You can lose any existing permits  for your construction site and/or need to stop work until you meet
EPA requirements.

    You also may face penalties or actions for past or present handling, storage, treatment, transportation,
or disposal of ACM waste that may be a hazard to human  health  or the environment.

D.  In                          the

    Inspection
    The Asbestos NESHAP requires that you have your site inspected by a certified asbestos inspector  prior
to beginning  any renovation or demolition activities. Owners and operators are responsible for having bulk
samples  of suspected ACM collected and analyzed prior to  the start of construction activities.

    Notification
    You must  submit a written notice of intent to renovate or demolish 1 0 working days prior to starting any
construction activities. Notifications must contain certain specified information, including but not limited to, the
scheduled starting and completion dates  of the work, the location of the site, the names of operators or
asbestos removal contractors, methods of removal and the amount of asbestos, and whether the operation is
a demolition or a renovation.
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Managing Your Environmental Responsibilities
                         Section X - Asbestos Requirements
   You should submit the completed notifi-
cation to your delegated state/local pollution
control agency and your EPA Regional
Office. Some EPA Regions require that both
the EPA Regional Office and the local dele-
gated agency be notified, while some
require notice only to the delegated state or
local agency.

   Even if no asbestos is present at your
site, you still must notify the appropriate
regulatory agency of your intent. All demoli-
tions and renovations are subject to the
Asbestos NESHAP  because you must first
determine if and how much asbestos is
present at the site.

   Removal and  Disposal
   The Asbestos NESHAP does not place specific numerical emission limitations for asbestos fibers on
asbestos demolitions and removals. However, the Asbestos NESHAP does specify zero visible air emissions
from construction activities. To meet the zero visible emissions requirement, the Asbestos NESHAP  requires
that you follow specific work practices including a
requirement that you sufficiently wet any asbestos-
containing materials to prevent release of fibers prior
to, during, and  after renovation/demolition activities
and until  disposal.
You must follow the Asbestos NESHAP regulations if your
renovations or demolitions include at least 80 linear
meters (260 linear feet) of RACM on pipes, 15 square
meters (1 60 square feet) of RACM on other facility com-
ponents, or at least one cubic meter (35 cubic feet) of
facility components where the amount of RACM previous-
ly removed from pipes and other facility components
could not be measured before stripping. These amounts
are known as the "threshold" amounts.
Note that the Asbestos NESHAP  does not apply to resi-
dential structures with four or fewer dwellings (i.e., apart-
ments or single family homes).
           For more information, see Section 40
            CFR Part 61.145(b)  of the Asbestos
              NESHAP  regulation or call EPA's
           Asbestos hotline at 1-800-368-5888.
    Under normal circumstances, Category I non-fri-
able materials are not considered RACM and you will
not need to remove them prior to demolition or renovation. In this case, they may also be disposed of in a
landfill that accepts ordinary demolition waste. If, however, Category I materials have become friable or are
in poor condition, you will have to remove them. Also, if you sand, grind, abrade, drill, cut, or chip any non-
friable materials, including Category I materials, you must treat the material as RACM, if more than the
threshold amount is involved.

    Category II non-friable materials should be evaluated on a case-by-case basis. If category II non-friable
materials are likely to become crushed, pulverized, or reduced to powder during  demolition or renovation,
remove them before demolition or renovation begins. For example, you should remove asbestos cement
(A/C) siding on a  building that is going to be demolished with a wrecking ball because it is likely that the
wrecking ball will pulverize the siding.

    All RACM in poor condition should be  properly transported in leak-tight containers or wrapped and dis-
posed of at an acceptable asbestos disposal site. State and local agencies that require handling or licensing
procedures can supply a list of approved or licensed asbestos  disposal sites upon request. Solid waste con-
trol agencies are listed in local telephone directories under state, county, or city headings.
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Managing Your Environmental Responsibilities                              Section X - Asbestos Requirements
E.   What               Do You         to                    Starting Your
     Construction
You can use the questions in Section II of Part I of this guide to start a discussion among all parties involved
in the construction project and to assign tasks to ensure all environmental requirements are met. Each ques-
tion has a space next to it to designate who will take the lead on each task. Note that designating a respon-
sible party does not absolve you of meeting environmental requirements or liability for failing to meet these
requirements.

F.                  You                     Information?
Many tools are available to assist you with the Asbestos NESHAP permit requirements, including the following:

    •   The Asbestos Self-Audit Checklist in Part II of this guide;
    •   EPA's Asbestos Management & Regulatory Requirements web site contains links to all of the asbestos
       regulations: http://www.epa.gov/fedsite/cd/asbestos.html;
    «   The National Environmental Compliance Assistance Clearinghouse contains a search engine to help in
       finding compliance assistance tools, contacts, and EPA-sponsored  programs: http://www.epa.gov/clear-
       inghouse/;
    *   The San Joaquin Valley Air Pollution Control District Demolitions and Renovations web page con-
       tains a concise summary of the regulation and links to local notification forms: http://www.val-
       leyair.org/busind/comply/asbestosbultn.htm;
    •   EPA's Region 4 asbestos web page contains links to several informative question  and answer and
       fact sheets related to demolition and renovation:
       http://www.epa.gov/region04/air/asbestos/asbestos.htm;
    •   EPA's Region 4 demolition  and renovation summary page:
       http://www.epa.gov/region04/air/asbestos/demolish.htm;
    •   EPA's Region 4 general asbestos question and answer web page contains contact phone numbers
       for each of the asbestos regulations: http://www.epa.gov/regionQ4/air/asbestos/inforrn.htrn;
    •   OSHA's Asbestos web  page contains health and safety information related to asbestos:
       http://www.osha-slc.gov/SLTC/constructionasbestos/index.html;
    •   EPA's vermiculite web site provides information on asbestos in vermiculite:
       http://www.epa.gov/asbestos/verm.html;
    *   NIOSH's web site contains general information on vermiculite as well as recommendations for  limiting
       potential exposures of workers to asbestos associated with vermiculite:
       http://www.cdc.gov/niosh/docs/2003-l 41 /;
    •   The Agency for Toxic Substances and Disease Registry (ATSDR)  has developed  a toxicological profile
       for asbestos that  presents general information regarding the sources and known health effects of
       asbestos: http://www.atsdr.cdc.gov/toxprofiles/tp61 .html;
    •   EPA's Asbestos Ombudsman: 1 -800-368-5888; and
    *   EPA's "Where you live" page contains links to state environmental agencies:
       http://www.epa.gov/epahome/whereyoulive.htm.

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Managing Your Environmental Responsibilities
    Section XI - Endangered Species Act Requirements
                               XI.  Endangered
                               Species Act  (ESA)
                               Requirements for
                               Construction  Activities
       Before beginning any construction project, you should consider the impact of your
       construction activities on species listed or proposed under the Endangered Species
       Act (ESA) as threatened or endangered ("listed species"), and the habitat of listed
       species. You should assess the impacts on listed species as early as possible in the
construction process to avoid delays in your project.
   Definitions
  Critical Habitat—The specific areas within the
  geographical area currently occupied by a
  species, at the time it is listed in accordance with
  the ESA, on which are found those physical or
  biological features essential to the conservation
  of the species and that may require special man-
  agement considerations, and specific areas out-
  side the geographical  area occupied by a
  species  at the time it is listed upon determination
  by the Secretary that such areas are essential for
  the conservation of the species (defined at
  Section  3(5) of the federal ESA).
  Harass—Actions that create the likelihood of
  injury to listed species  to such an extent as to sig-
  nificantly disrupt normal behavior patterns which
  include  but may not be limited to breeding, feed-
  ing, or sheltering.
Harm—An act that actually kills or injures
wildlife. Such an act may include significant
habitat modification or degradation where  it
actually kills or injures wildlife by significantly
impairing essential behavior patterns, including
breeding, feeding, or sheltering.
Operator—The party (ies) that has: (1) opera-
tional control of construction project plans and
has the ability to make modifications to those
plans, or  (2) day-to-day operational control of
stormwater compliance activities.
Take—To harass, harm, pursue, hunt, shoot,
wound, kill, trap, capture, or collect, or to
attempt to engage in any such conduct (Section
3(18) of the federal  ESA).
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Managing Your Environmental Responsibilities
                                                       Section XI - Endangered Species Act Requirements
                                                               Acronyms
                                                          ESA—Endangered Species Act
                                                          NMFS—National Marine Fisheries Service
                                                          NOAA—National Oceanic and Atmospheric
                                                          Administration
                                                          NPDES—National Pollutant Discharge
                                                          Elimination System
                                                          USFWS—U.S. Fish and Wildlife Service
   The ESA was passed in 1973 to protect threatened or
endangered species from further harm. The U.S. Fish
and Wildlife Service (FWS) and the National Marine
Fisheries Services (NMFS) enforce the ESA.  Under the
ESA, FWS and NMFS identify the listed species and habi-
tats, and work through consultations and permit actions
to protect those species and theircritical habitat.
Although ESA is not an EPA requirement, it is included as
part of the EPA stormwater Construction General Permit
(CGP) requirements and therefore is important to the
construction industry.

   The ESA has different requirements for federal activi-
ties and non-federal activities. The ESA typically applies
to construction activities under three  general scenarios: A) construction activities under EPA's CGP, B) activi-
ties funded or  permitted by federal agencies (other than the CGP) for a construction project, or C) construc-
tion activities that impact a listed species and/or critical habitat. The requirements under these scenarios
are discussed below.

A. Coverage  Under the Construction General  Permit
To be eligible for coverage under the CGP,  discussed in Section III of Part I of this document, you must
assess the potential effects of your activities on federally listed endangered and threatened species and  any
designated critical  habitat that exists on or  near your site. In making this determination, you need to con-
sider areas beyond the immediate footprint of the construction activity and beyond the property line, includ-
ing those that could be affected directly or  indirectly by stormwater discharges. For coverage under the
CGP, you need to complete the steps described  below. Be sure to document your findings at each step of
the process. For more information on these requirements, review the relevant portions of the CGP, particu-
larly  Part 1.3.C and Appendix C.

   Step 1: Determine if Listed Species are Present On or Near Your Project Area
   To determine whether listed species are located on or near your project area, you should:

   •  Determine if  listed species are  in your county or township. The local offices of the FWS, NMFS, and
     State or Tribal Heritage Centers often maintain lists of federally listed endangered or threatened
     species on their internet sites. Visit http://cfpubl .epa.gov/npdes/stormwater/cgp.cfm to find the
     appropriate site for your state or check with your local office. In most cases, these lists allow you to
     determine if there are listed species in your county or township.
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Managing Your Environmental Responsibilities                Section XI - Endangered Species Act Requirements
    *   If there are listed species in your county or township, contact your local FWS, NMFS, or State or
       Tribal Heritage Center to determine if the  listed species could be found on or near your project area
       and  if any critical habitat areas have been designated that overlap or are near your project area.
       Critical habitat areas  may be designated independently from the listed species for your county, so
       even if there are no listed species in your county or township, you must still  contact one of the agen-
       cies mentioned above to determine if there are any critical habitat areas on  or near your project
       area.
    *   If there are no  listed species in your county or township, no critical  habitat areas on or near your
       project area, or if your local FWS,  NMFS,  or State or Tribal Heritage Center indicates that listed
       species are not a concern in your part of the  county or township, you may check Box A on the
       Notice of Intent (NOI) form (see Section III in  Part I of this guide for a discussion  of this form).
    •   If there are listed species or critical habitat, and if your local FWS, NMFS, or State or Tribal Heritage
       Center indicates that these  could exist on or near your  project area, you will need to do one or
       more of the following:
       — Conduct visual inspections to identify any listed species or critical habitat. This method may be
          particularly suitable for  construction  sites that are smaller in size or located in non-natural set-
          tings such as highly  urbanized  areas or industrial parks where there is little or no natural habi-
          tat, or for construction activities that discharge directly into municipal stormwater collection
          systems.
       — Conduct a formal biological survey.  In some cases, particularly for larger construction sites with
          extensive stormwater discharges, biological surveys may  be an  appropriate way to assess
          whether species are  located on or near the  project  area and whether there are likely to be
          adverse effects to  such species. Biological surveys are frequently performed by environmental
          consulting firms. A biological survey may  be useful  in conjunction with Steps  2, 3,  or 4 below.
       — Conduct an environmental assessment under the National Environmental Policy Act (NEPA).
          Such an assessment may  indicate if  listed  species are in proximity to the  project area. Note that
          coverage under the CGP  does  not trigger a requirement for a NEPA assessment. See Section XII
          in Part I of this guide for more  information on NEPA.

    If  listed species or critical  habitat are present in the project area, you must look at the impacts to the
species and/or habitat when  following Steps 2 through 4.  Note that many, but not all, measures imposed
to protect listed species under these steps will also protect  critical habitat. Thus, meeting the eligibility
requirements of the CGP may require separate measures to  protect critical habitat from  those to protect list-
ed species.
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Managing Your Environmental Responsibilities                Section XI - Endangered Species Act Requirements
         2:  Determine if Your Construction Activities Are Likely to Adversely Affect Listed Species or
    Critical  Habitat
    To receive CGP coverage, you must assess whether your construction activities are likely to adversely
affect listed  species or designated critical habitat that are present on or near your project area. Potential
adverse effects from stormwater discharges and stormwater discharge-related activities include:

    «   Hydro log ica I. Stormwater discharges may cause siltation or sedimentation, or induce other changes
       in receiving waters such as temperature, salinity or pH. These effects will vary with the amount of
       stormwater discharged and the volume and condition of the receiving water. Where a stormwater
       discharge constitutes a minute portion of the total volume of the receiving  water, adverse hydrologi-
       cal effects are less likely. Construction activities  may also alter drainage patterns on a site where
       construction occurs. This can also impact listed  species or critical habitat.
    «   Habitat. Excavation, site development, grading, and other surface-disturbing construction activities
       may adversely affect listed species or their habitat. Stormwater may drain into or inundate listed
       species' habitat.
    •   Tox'idfy. In some cases, pollutants in stormwater may have toxic effects on  listed species.

    The scope of effects to consider will vary with each  site. If you are having difficulty determining whether
your project is likely to adversely affect listed species or critical habitat,  or one of the Services has already
raised concerns to you, you should contact the appropriate office of the FWS, NMFS or Natural Heritage
Center for assistance. If adverse effects are not likely, then you may check Box E on the NOI form and
apply for coverage under the CGR If the  discharge  may adversely effect listed species or critical habitat,
you must follow Step 3.

    Step 3:  Determine if Measures Can Be Implemented to Avoid  Adverse Effects
    If you determine that your activities will affect listed species or critical habitat, you can still receive cover-
age under the CGP if you take measures to avoid or eliminate the  likelihood of adverse effects prior to
applying for CGP  coverage. These measures may involve relatively simple changes to construction activities
such as rerouting a stormwater discharge to bypass an area where species are located, relocating BMPs,  or
changing the "footprint" of the construction activity. Contact the FWS and/or NMFS to see what measures
might be appropriate to avoid or eliminate the likelihood of adverse impacts to  listed species and/or critical
habitat. This can entail the initiation of informal consultation with the FWS and/or NMFS (described in more
detail in Step 4).

    If you adopt measures to avoid or eliminate adverse affects, you must continue to abide by those meas-
ures for the  duration of the construction project and coverage under the CGR These measures must be
described in the Stormwater Pollution Prevention  Plan (SWPPP) (see Section  III of Part I of this guide) and are
enforceable CGP conditions. If appropriate measures to avoid the likelihood of  adverse effects are not
available, you must follow Step 4.
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Managing Your Environmental Responsibilities               Section XI - Endangered Species Act Requirements
    Step 4: Determine if the Requirements of the CGP Can Be Met
    Where adverse effects are likely, you must contact the FWS and/or NMFS. You may still be eligible for
CGP coverage if any likely adverse effects can be addressed through  meeting one of the following criteria
as identified in Subpart 1.3.C of the CGR Confer with  FWS and/or NMFS to determine which criteria is
appropriate for your project.

1.  An ESA Section 7 Consultation Is Performed for Your Activity.
    Contact FWS and/or NMFS to initiate a formal or informal ESA Section  7 consultation. The purpose of
a consultation is to address the effects of your activities on listed species and critical habitat.  To be eligible
for coverage  under  the CGP, consultation must result in a "no jeopardy opinion" or a written concurrence
by the Service(s) on  a finding  that your stormwater discharge(s) and stormwater-discharge-related activities
are not  likely to adversely affect listed  species or critical habitat. If you receive a "jeopardy opinion," you
may continue to work with the FWS and/or NMFS and your permitting authority to modify your project so
that it will not jeopardize listed species or designated critical habitat.

    Most consultations are "informal." By the terms of the CGP, EPA has designated operators as non-feder-
al  representatives for the purpose of conducting informal  consultations. When conducting informal ESA
Section  7 consultation as a non-federal representative, you  must follow the  procedures found in 50 CFR
Part 402 of the ESA regulations. You must notify FWS and/or NMFS of your intention and agreement to
conduct consultation as a non-federal representative. Consultation may also occur in the context of another
federal action at the construction site (e.g., where ESA Section 7 consultation is performed for issuance of a
wetlands dredge and fill  permit for the project or where a NEPA review is performed for the  project that
incorporates  a Section  7 consultation). Any terms and conditions developed through consultations to  protect
listed species and critical habitat must be incorporated into the SWPPR

    Whether ESA Section 7 consultation must be performed with either the FWS, NMFS or both Services
depends on the listed species that may be affected  by the operator's activity. In general, NMFS has jurisdic-
tion over marine, estuaries, and anadromous species.  Operators  should also be aware that while formal
Section  7 consultation provides protection from incidental takings liability, informal consultation does not.

2.  An Incidental Taking Permit Under Section 10 of the ESA is Issued for the Operator's Activity.
    Your construction activities can be  authorized through the issuance of a  permit under Section 1 0 of the
ESA that addresses the  effects of your  stormwater discharge(s) and stormwater discharge-related activities
on  federally listed species and designated critical habitat. You  must follow FWS and/or NMFS procedures
when applying for an ESA Section 10  permit.  Application  instructions for Section 10 permits for FWS  and
NMFS can be obtained by accessing the FWS and NMFS web sites (http://www.fws.gov and
http://www.nmfs.noaa.gov) or by contacting the appropriate FWS and NMFS regional office. More infor-
mation on Section 10 requirements is  provided in Section XI-C of Part I of this guide.
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Managing Your Environmental Responsibilities                Section XI - Endangered Species Act Requirements
3. You are Covered Under the Eligibility Certification of Another Operator for the Project Area.
    Your stormwater discharges and stormwater-discharge-related activities may already be addressed in
another operator's  certification of eligibility, which also included your project area. For example, a general
contractor or developer may have completed and filed an NOI for the entire project area with the neces-
sary ESA certifications. Subcontractors may then rely on that certification and must comply with any condi-
tions resulting from that process. By certifying eligibility, you agree to comply with any measures or controls
upon which  the other operator's certification was based.

    You must comply with any terms and conditions imposed under the eligibility requirements of the CGP
to ensure  that your  stormwater discharges and stormwater-discharge-related activities protect listed species
and/or critical habitat. Such terms and conditions must be incorporated  in the  project's SWPPR If the eligi-
bility requirements cannot be met, then  you are not eligible for coverage under the  CGR In these  instances,
you may consider applying to EPA for an individual permit.

B.                        or                          For a Construction
If a federal agency  is  funding (either fully or partially)  a construction project, or if a  federal permit (other
than the CGP) is  required for a construction project, the federal agency taking  the action (i.e., funding or
permitting) must fulfill the requirements  of the ESA. Some examples that would trigger this requirement
include federal highway construction projects, Section  404 permits issued by EPA, or state construction pro-
grams that receive federal funding. The federal agency may designate a state agency or contractor to fulfill
the requirements  of the ESA. The federal agency (or designee) needs to follow the same steps as described
under Section XI-A of Part I of this guide, with the exception of requirements associated with the CGP
Notice of  Intent and SWPPPs. The federal agency or designee should document their findings at each step
discussed  under Section XI-A of Part I of this guide.

    In situations where a contractor is not designated to fulfill the requirements of the ESA, the contractor
should still ensure early in the process that the federal agency has fulfilled the  requirements. In addition, if
the agency determined that the project would impact listed species and/or critical habitat,  and has devel-
oped plans to mitigate these impacts, it likely will be the obligation of the contractor to implement these
plans.  Failure to implement the plans can result in violation of the ESA. Therefore, you should understand
the requirements  of these plans up front to facilitate compliance with the  ESA.
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Managing Your Environmental Responsibilities                Section XI - Endangered Species Act Requirements
C.  Construction  Actiwitles That           a                    and/or Critical
Section 9 of the ESA generally prohibits the unauthorized "take" of a listed species and/or critical habitat.
"Take" is defined  in the ESA as harass, harm, pursue, hunt, shoot, wound, kill, trap, capture, or collect any
threatened or endangered species.  Harm may include significant  habitat modification which actually kills or
injures a listed species  through impairment of essential behavior (e.g., nesting or reproduction). This "take"
prohibition applies not only to federal agencies but to non-federal entities and citizens as well. If your  con-
struction activity is not covered by the CGP  (e.g., if your stormwater permit is issued by your state), and if
no federal funding or other federal permits are associated with your construction activity, you should still
evaluate if your project will incidentally cause a take  of a listed species and/or critical habitat. If your proj-
ect will result in a take, you need to obtain  an  Incidental Take  Permit from USFWS or NOAA-Fisheries to get
authorization for the take. Such a permit, which covers non-federal  activities, is issued under Section 1 0  of
the ESA, and includes conditions that focus on efforts to minimize and mitigate the anticipated take.

    To obtain an Incidental Take Permit, you need to submit a habitat conservation plan (HCP) along with
your application.  The HCP outlines your plans to minimize and mitigate  effects of the authorized incidental
take. To determine if your project will result in a take, and to obtain an Incidental  Take Permit, you should
complete the following steps.

    Step 1:  Determine if Listed Species are  Present On or Near Your Project Area
    You will first need to determine if listed species are present on or near your project area. Follow  the
steps described under Section XI-A in Step 1 (Coverage  Under the Construction General Permit) above. If
you find that there are  not listed species present on or near your project area, document your findings and
proceed with your project (you do not need an Incidental Take Permit). If listed species are present, proceed
to Step 2.

    Step 2:  Determine if your Construction Activity Is Likely to Adversely Affect Listed Species or
    Critical  Habitat
    Follow the procedures described in Step 2 under  Section XI-A to determine if your construction activity is
likely to adversely affect listed species or critical habitat. Note that you need to consider all the impacts of
your construction  activity, not just stormwater-related  Impacts. If you determine that your construction activity
will not adversely affect listed species or critical  habitat,  document your findings and  proceed with your
project (you do not need an Incidental  Take Permit). If your construction  activity will adversely affect  listed
species or critical  habitat, proceed to Step 3.
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Managing Your Environmental Responsibilities                Section XI - Endangered Species Act Requirements
         3: Obtain an Incidental Take Permit
    If your construction activity will adversely affect listed species or critical habitat, you need to obtain an
Incidental Take Permit. The necessary components of a permit application are: a standard application form,
an HCP, an implementation agreement (if required), and, if appropriate, a draft NEPA analysis (the Service
is responsible for ensuring NEPA compliance during the permitting process). General information on ESA
permits can be found at http://endangered.fws.gov/permits/index.html, while the specific permit applica-
tion can be found at http://forms.fws.gov/3-200-56.pdf.

    You should coordinate with the FWS or NOAA-Fisheries as soon as possible for guidance in assembling
a complete application package. They will inform you if you need to develop an implementation agreement
or prepare a draft NEPA analysis, and will provide you the necessary guidance on how to prepare these.
Before you submit an application, you may be required to conduct biological surveys to determine which
species and/or habitat would be impacted by the activities covered under the permit. The surveys also pro-
vide information that can be used to develop the HCR The HCP should include:

    •   An assessment of the impacts likely to result from the proposed taking of one or more federally list-
       ed species;
    «   Measures you will undertake  to monitor, minimize, and  mitigate  such impacts; the funding that will
       be made available to implement such measures; and the procedures to deal with  unforseen or
       extraordinary circumstances;
    *   Alternative actions to the take that you analyzed, and the reasons why you did not adopt such alter-
       natives; and
    «   Additional measures that FWS or NOAA-Fisheries may require as necessary or appropriate.

    You can find  additional information on HCPs at http://endangered.fws.gov/hcp/; the  Habitat
Conservation Planning Handbook can be found at http://endangered.fws.gov/hcp/hcpbook.html.

D.         Are the
The USFWS and  the NMFS may impose administrative, civil, and criminal sanctions for failure to comply
with the ESA. Civil penalties - imposed in a  judicial proceeding - can reach $27,500  per day per violation.
Stiffer penalties are authorized  for criminal violations of the Act - for negligent or knowing violations - of
as much  as $50,000 per day, 3 years' imprisonment, or both. A fine of as much as $250,000, 15 years in
prison, or both, is authorized for "knowing endangerment" violations that knowingly place another species
in  imminent danger of death or serious  bodily injury.
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Managing Your Environmental Responsibilities                Section XI - Endangered Species Act Requirements
    Noncompliance with the requirements of the CGP is a violation of the Clean Water Act (CWA). EPA may
impose administrative, civil, and criminal sanctions on a property owner and/or a contractor for failure to
comply with the CWA. Administrative penalties can reach $157,500 and civil penalties - imposed in a judi-
cial proceeding - can reach $32,500 per violation per day. Under certain circumstances, the CWA also
authorizes criminal penalties. In addition, the CWA allows private citizens to bring civil actions against any
person for any alleged violation of "an effluent standard or limitation." In a  citizen suit, a court may issue
an injunction and/or impose civil penalties, litigation costs, and attorney's fees.

    In addition to fines, you may need to pay legal fees and face project delays. If legal action is taken
against your construction site, you also may be subject to increased scrutiny at all of your other construction
sites by regulatory agencies and the public.

E.   What              Do You         to                    Starting Your
     Construction
You can use the questions in Section II of Part I of this guide to start a  discussion among all  parties involved
in the construction project and to assign tasks to ensure all environmental requirements are met.  Each
question has a space next to it to designate who will  take the lead on  each  task. Note that designating a
responsible  party does not absolve you of meeting environmental requirements or liability for failing to
meet these requirements.

F.            Can You                    Information?
Many tools are available to assist you with the ESA requirements, including  the following:

    •  The U.S. Fish & Wildlife Service web site is the most complete source of information on ESA-listed
       species.  This site contains valuable tools for landowners:  http://endangered.fws.gov.
    •  The NOAA Fisheries - Office of Protected Resources provides the full text of the ESA. It also provides
       information on marine and anadromous species as well as recovery plans for their listed species:
       http://www.nmfs.noaa.gov/prot_res/overview/es.html.
    •  The USFWS Threatened and Endangered Species System  identifies federally listed threatened and
       endangered species at: http://ecos.fws.gov/tess_public/TESSWebpage.
    •  The USFWS Threatened and Endangered Species System  State  and Territory Listings identifies state
       and territory listed threatened and endangered species at:
       http://ecos.fws.gov/tess___public/TESSWebpageStateLists.
    *  EPA's "Where you live" page contains links to state environmental agencies:
       http://www.epa.gov/epahome/whereyoulive.htm.
    •  NatureServe is a conservation organization that provides  the scientific information and tools needed
       to help guide effective conservation action. NatureServe and its network of natural heritage pro-
       grams are the leading source for information about rare  and endangered species and threatened
       ecosystems:  http://www.natureserve.org.
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Managing Your Environmental Responsibilities               Section XI - Endangered Species Act Requirements
       The Construction Industry Compliance Assistance Center (http://Nivww.cicacenter.org/espermits.html)
       provides resources specific to ESA-listed species, including state requirements and contacts.
       The National Environmental Compliance Assistance Clearinghouse contains a search engine to help
       you find compliance assistance tools, contacts, and EPA-sponsored programs:
       http://www.epa.gov/clearinghouse/.
       National and regional USFWS Endangered Species Contacts:
       — Washington D.C. Office  Endangered Species, 4401  N. Fairfax Drive, Room 420, Arlington, VA
          22203, http://endangered.fws.gov, Phone: (703) 358-2390,
       — Pacific  Region, Eastside Federal Complex 911 N.E. 11th Avenue, Portland, OR,
          http://pacific.fws.gov, Phone: (503) 231-6158,
       —- Southwest Region, RO. Box 1306,  Rm 4012, Albuquerque, NM 87102, http://southwest.fws.gov,
          Phone: (505) 248-6657,
       — Great Lakes, Big Rivers Region, Bishop Henry Federal Building One Federal Drive, Ft. Snelling,
          MN 55111-4056, http://midwest.fws.gov, Phone: (612) 713-5334,
       — Southeast Region, 1875 Century Boulevard Suite 200, Atlanta, GA 30345,
          http://southeast.fws.gov, Phone: (404) 679-7100,
       — Northeast Region, 300 Westgate Center Drive, Hadley, MA 01035-9589,
          http://northeast.fws.gov, Phone: (413) 253-8615,
       — Mountain Prairie Region, 134 Union Boulevard, Lakewood, CO 80228, http://mountain-
          prairie.fws.gov,  Phone: (303) 236-7400,  and
       — Alaska, 1011 E. Tudor Road, Anchorage, AK 99503-61 99, http://alaska.fws.gov, Phone: (907)
          786-3868.
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Managing Your Environmental Responsibilities
Section XII - National Environmental Policy Act (NEPA)
                                 XII.  National
                                 Environmental  Policy
                                 Act  (NEPA)
       Before beginning any construction project associated with a federal agency, you must
       determine the NEPA requirements that apply to your project. NEPA requires federal
       agencies to incorporate environmental considerations in their planning and decision
       making through a systematic interdisciplinary approach. Specifically, all federal
agencies must prepare detailed statements assessing the environmental impact of, and
alternatives to, major federal actions significantly affecting the environment. These state-
ments are commonly referred to as environmental impact statements (EISs).

   NEPA ensures that federal agencies consider environmental impacts in federal planning and decision
making, and covers both construction and post-construction activities. NEPA covers the full range of poten-
tial impacts, including but not limited to water quality impacts, wetlands impacts, air quality impacts,
endangered species impacts, and historic resources impacts.

   NEPA applies to your construction project only if your project is considered a "federal action." Note that
some states (e.g., North Carolina, Massachusetts, Washington) have requirements that are similar to the
requirements established for federal agencies by NEPA. Therefore, if your construction project is entirely or
partly financed, assisted, conducted, regulated, or approved by a  state agency in one of these states, you
should consult with state agency officials to ensure that these requirements have been met. This document
addresses federal environmental requirements and does not address state requirements.

   The federal agency taking the action is responsible for complying with NEPA's requirements. If NEPA
requirements are applicable to your project, these requirements must be met before and during construc-
tion activities.  NEPA establishes good procedural and planning practices for federal agencies and does not
replace or conflict with other substantive environmental laws addressed in this document (e.g., Clean Air
Act, Clean Water Act, Endangered Species Act).

   The NEPA process consists of evaluating the environmental effects of a federal action including its alter-
natives. There are three levels of analysis depending on whether or not the construction activity or project
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Managing Your Environmental Responsibilities            Section XII - National Environmental Policy Act (NEPA)
could significantly affect the environment. These three levels are: categorical exclusion determination;
preparation of an environmental assessment/finding  of no significant impact (EA/FONSI); and preparation
of an EIS.

   At the first level, a project may be categorically excluded from a detailed environmental analysis if it
meets certain criteria that a federal agency has previously determined as having no significant environmen-
tal impact. A number of agencies have developed lists of actions that are normally categorically excluded
from environmental evaluation under their NEPA regulations.

   At the second level  of analysis, a  federal agency prepares a written  EA to determine whether or not a
federal undertaking would significantly affect the environment. If the answer is no, the agency issues  a
FONSI. The FONSI  may address measures that an agency will take to reduce (mitigate) potentially signifi-
cant impacts.

   If the EA determines that the environmental consequences of a proposed federal action may be signifi-
cant, the federal agency prepares an EIS. An EIS is a  more detailed evaluation of the proposed action and
alternatives. The public, other federal agencies, and outside parties may provide input into the preparation
of an EIS and then comment on the draft EIS when it  is completed. If a federal agency anticipates that an
action may significantly impact the environment, or if a project is environmentally controversial, the agency
may choose to prepare an  EIS without having to  first  prepare  an EA.

   After a final EIS  is prepared, a federal  agency will prepare a public  record of its decision addressing
how the findings of  the EIS, including consideration of alternatives, were incorporated into the agency's
decision-making process. If you perform these activities prior to the start of construction, it will help to avoid
significant project delays and possible project cancellation.

   You can get additional information  on  NEPA  requirements from the following sources.

    •   The Council  on Environmental Quality's NEPAnet web page provides the most comprehensive infor-
       mation about NEPA requirements: (http://ceq.eh.doe.gov/nepa/nepanet.htm);

    *   The Construction Industry Compliance Assistance Center provides plain language explanations of
       environmental rules for the construction industry, including tools to identify state-specific require-
       ments: http://www.cicacenter.org; and

    •   The National Environmental Compliance  Assistance Clearinghouse contains a search engine to help
       in finding compliance assistance tools,  contacts, and EPA-sponsored programs:
       http://cfpub.epa.gov/clearinghouse/.
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Managing Your Environmental Responsibilities          Section XIII - National Historic Preservation Act (NHPA)
                                XIII.  National   Historic
                                 Preservation  Act
                                 (NHPA)
       Before beginning any construction project associated with a federal agency, you must
       determine whether any NHPA requirements apply to your project. NHPA is a multi-
       faceted statute with a variety of initiatives, including programs for identifying and
       listing significant historic resources; partnerships between federal agencies and fed-
erally approved state and tribal historic preservation programs; and grants. Section 106 of
NHPA requires federal agencies to account for the effects of their undertakings on historic
properties and to afford the Advisory Council on Historic Preservation (ACHP) a reasonable
opportunity to comment with regard to such undertakings. Federal funding or permitting
of a project may constitute an undertaking under the NHPA. If NHPA requirements are
applicable to your project, these requirements must be met before and possibly during con-
struction activities. The requirements of Section  106 apply prior to the approval of the
expenditure of any federal funds on, or prior to the issuance of any federal license for, an
undertaking.

   NHPA applies to your construction project  if your project constitutes an undertaking and will have a
potential effect on a property that is eligible for or included in the National Register of Historic Places
(NRHP). Note that many states and communities use the NRHP as the basis for their planning processes
and designation criteria. In some cases, state and local ordinances may establish protections for historic
preservation. To find out if your state or community has such processes in place, contact your State Historic
Preservation Officer (SHPO). This guide addresses federal environmental requirements and does not
address state requirements.

   Under the NHPA regulations, a federal agency determines whether its action constitutes an undertaking,
and, if so, whether the undertaking has the potential to affect historic properties. Historic properties include
any prehistoric or historic district, site, building, structure, or object included, or eligible for inclusion, in the
NRHP (which is maintained by the National Park Service), including artifacts, records, and material remains
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Managing Your Environmental Responsibilities            Section XIII - National Historic Preservation Act (NHPA)
related to such a property or resource. If the undertaking has the potential to affect historic properties, the
Federal agency identifies the appropriate state or tribal historic preservation officer (SHPO or THPO) and
begins a consultation regarding the impacts of the undertaking. The consultation consists of the following
steps: (1)  identifying other appropriate consulting parties and developing plans to involve the public; (2)
determining the area of potential effects of the undertaking; (3) identifying any historic properties within
that area; (4) determining whether the undertaking will affect such properties and, if so, whether the effects
may be adverse; and (5) resolving any identified adverse effects. Typically, measures to resolve adverse
effects that are adopted as a result of Section 106 consultation are documented in memoranda of  agree-
ment or programmatic agreements that then govern the undertaking.

    NHPA regulations impose procedural obligations to consider the effects of agency undertakings on  his-
toric properties, to consult with  appropriate entities, and to develop and evaluate ways to minimize or miti-
gate any adverse effects. There is no substantive requirement to actually avoid or  minimize adverse effects.
Other provisions of NHPA may impose additional requirements. For instance, under NHPA Section  110(f),
where a federal undertaking may directly and adversely affect a property designated as a  National Historic
Landmark, the agency must (prior to approving the  undertaking and to the maximum extent possible)
undertake such planning and actions necessary to minimize harm to such landmark. Additionally, with cer-
tain limited exceptions, federal  agencies are prohibited by NHPA Section  110(k) from granting loans, loan
guarantees, permits, licenses, or other assistance to any applicant who intentionally significantly adversely
affected a historic property to which the assistance would relate with the intent to avoid the requirements of
Section 1 06.  If you perform these activities prior to the start of construction, it will  help  to avoid significant
project delays and possible  project cancellation.

    You can get additional information on NHPA requirements from the following  sources.

    •  The Advisory Council on Historic Preservation's web page provides the most comprehensive informa-
      tion about NHPA requirements (http://www.achp.gov). This web  page details NHPA requirements and
      provides links to contact information for federal, state, and tribal historic preservation officers.

    «  The National Park Service's web page (http://www.cr.nps.gov/nr/) provides additional information on
      properties listed on the National  Register of Historic Places, such as the location and historic nature of
      these properties (through the National Register Information System database) and details on how
      properties are listed.

    •  The Construction Industry Compliance Assistance Center provides plain language explanations of
      environmental rules for the construction industry, including tools to identify state-specific requirements:
      http://www.cicacenter.org.

    •  The National Environmental Compliance Assistance Clearinghouse contains a search engine  to help
      in finding compliance assistance tools, contacts, and  EPA-sponsored programs:
      http://cfpub.epa.gov/clearinghouse/.
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Managing Your Environmental Responsibilities
                                         Section XIV - Additional Sources of Information
                                 XIV.  Additional
                                 Sources  of  Information
A
copy of this guide as well as a list of all of the web links listed in this document
can be found on the Construction Industry Compliance Assistance Center (CICA
Center) web site at  http://www.cicacenter.org/links.
   The construction industry includes a number of trade associations and industry organizations. A few of
the trade association and organization web sites are listed below for your convenience:
   •  The Associated General Contractors of America (AGC): http://www.agc.org/;
   •  The National Association of Homebuilders (NAHB): http://www.nahb.org/;
   •  National Association of Demolition Contractors (NADC):
      http://www.demolitionassociation.com/site/index.html;
   •  American Road and Transportation Building Association (ARTBA): http://www.artba.org/; and
   •  Golf Course Builders Association of America (GCBAA): http://www.gcbaa.org/WELCOME.asp.
   Other government web sites that provide information  on environmental requirements and ways to pro-
tect the environment that are helpful to the construction industry include:
   •  The U.S. Green Building Council (LJSGBC): http://www.usgbc.org/;
   •  Energy Star: http://www.energystar.gov/;
   •  Rebuild America: http://www.rebuild.org/;
   •  U.S. Department of Energy - Energy Efficient and Renewable  Energy: http://www.eere.energy.gov/;
   •  National Oceanic and Atmospheric Administration (NOAA): http://www.noaa.gov/;
   •  U.S. Fish and Wildlife Service (FWS): http://www.fws.gov/;
   •  The Council on Environmental Quality: http://ceq.eh.doe.gov/nepa/nepanet.htm; and
   •  The Advisory Council on Historic Preservation: http://www.achp.gov.
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Managing Your Environmental Responsibilities
Section XIV - Additional Sources of Information
    A.  Map of EPA Regions
    EPA has ten regional offices, each of which is responsible for several states and territories, as shown in the
    figure below.
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Managing Your Environmental Responsibilities                   Section XIV - Additional Sources of Information
B.              of Terms       Acronyms
ACM—Asbestos Containing Materials.

Adequately Wet—Sufficiently mixed with liquid to prevent the release of particulates. If visible particles or
dust is observed coming from asbestos-containing material, then that material has not been adequately
wetted.

AHERA—Asbestos Hazard Emergency Response Act.

Asbestos—The name given to a number of naturally occurring fibrous silicate minerals that have been
mined for their useful  properties such as thermal Insulation, chemical and thermal stability, and high tensile
strength. The NESHAP defines asbestos to be the asbestiform varieties of serpentine (chrysotile), riebeckite
(crocidolite), cummingtonite-grunerite, anthophyllite, and actinolite-tremolite.

ASMARA—Asbestos School Hazard Abatement Reauthorization Act.

BMP—Best Management Practice.

Brownfield—Property where  any expansion, redevelopment, or reuse may be complicated by the presence
or potential presence of a hazardous substance, pollutant, or contaminant, not including sites that are part
of a planned or ongoing removal action or are on the  National Priorities List.

Bulk Storage Container—Any container used to store oil.  These containers are used for purposes includ-
ing, but not limited to, the storage of oil prior to use, while  being  used, or prior to further distribution in
commerce. Oil-filled electrical, operating, or manufacturing equipment is not a bulk storage container. Bulk
storage containers include items such as tanks, containers,  drums, and mobile or portable totes.

CERCLA—Comprehensive Environmental Response, Compensation, and Liability Act.

CESQG—Conditionally Exempt Small Quantity Generators.

CFC—Chlorofluorocarbons.

CFR—Code of Federal Regulations.

CGP—Construction General Permit.

COE—Army Corps of Engineers.

Construction Activities—Can include clearing; grading; excavation; road building; construction of resi-
dential houses, office buildings, and industrial sites; and demolition.
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Managing Your Environmental Responsibilities                   Section XIV - Additional Sources of Information
Critical Habitat—The specific areas within the geographical area currently occupied by a species, at the
time it is listed in accordance with the Endangered Species Act (ESA), on which are found those physical or
biological features essential to the conservation of the species and that may require special management
considerations, and specific areas outside the geographical area occupied by a species at the time it is list-
ed upon determination by the Secretary that such areas are essential for the conservation of the species
(defined at Section 3(5) of the federal ESA).

CWA—Clean Water Act.

CWA/OPA—Clean Water Act/Oil Pollution Act.

Disposal—The discharge, deposit, injection, dumping, spilling, leaking, or placing of any solid or haz-
ardous waste into or on any land or water so that the solid or hazardous waste or any constituent may
enter the environment.

DOT—Department of Transportation.

Dredged Material—Material that is excavated or dredged from waters in the United States.

EPCRA—Emergency Planning and Community Right-to-Know Act.

ESA—Endangered Species Act.

Extremely Hazardous Substances (EHSs)—Chemicals that most likely induce serious acute  reactions fol-
lowing short-term airborne exposure (defined at 40 CFR Part  355). The list of  extremely hazardous sub-
stances subject to EPCRA  reporting requirements can be found in  EPA's Consolidated List of Chemicals
Subject to the Emergency Planning and Community Right-To-Know Act (EPCRA) and Section 11 2(r) of the
Clean Air Act (EPA 550-B-01-003). Note that an extremely hazardous substance may also be  included in
the CERCLA list of hazardous substances.

Fill Material—Material placed in waters of the United States where the material has the effect of either
replacing any portion of water of the United  States with dry land or changing  the bottom elevation of any
portion of a water of the  United States. Examples include rock, sand, soil, clay, plastics, construction debris,
wood chips, overburden from mining or other excavation activities, and  materials used to create any struc-
ture  or infrastructure in waters of the United States.

Friable—Asbestos that can be reduced to dust by hand pressure.

Generator—Any person, by site, whose act or process produces hazardous waste identified or listed in
RCRA Subtitle C or whose act first causes a hazardous waste  to become subject to regulation.  For example,
an action such as unearthing soil contaminated with a hazardous substance causes the contaminated soil
to be subject to RCRA regulations.
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Managing Your Environmental Responsibilities                   Section XIV - Additional Sources of Information
Harass—Actions that create the likelihood of injury to listed species to such an extent as to significantly dis-
rupt normal behavior patterns which include, but may not be limited to, breeding, feeding, or sheltering.

Harm—An act that actually kills or injures wildlife. Such an act may include significant habitat modification
or degradation that actually  kills or injures wildlife by significantly impairing essential behavior patterns,
including breeding, feeding, or sheltering.

Hazardous Substances—Defined in CERCLA Section 101(14) and includes hazardous air pollutants (des-
ignated in Section  1 12(b) of the Clean Air Act), radionuclides, toxic pollutants (designated in Section 307(a)
of the Clean Water Act), elements and compounds that present an imminent danger to public health when
discharged into waters of the United States ((designated in Section 311 (b)(2)(A) of the Clean Water Act),
TSCA substance  that  EPA has taken action  against (currently none), and RCRA-listed hazardous wastes and
characteristic wastes. The list of hazardous substances subject to CERCLA and EPCRA reporting require-
ments can be found in EPA's Consolidated List of Chemicals Subject to the Emergency Planning and
Community Right-To-Know Act (EPCRA) and Section 11 2(r) of the Clean Air Act (EPA 550-B-01 -003).
Certain substances are excluded from CERCLA and/or EPCRA reporting requirements (see Section VII-F of
this document for web sites and hotlines where you can obtain additional information).

Hazardous Waste—A solid waste, or combination of solid wastes, which because of its quantity, concen-
tration,  or physical, chemical, or infectious characteristics may either cause, or significantly contribute to,  an
increase in mortality or an increase in serious irreversible or incapacitating reversible illness; or pose a sub-
stantial  present or  potential hazard to human health or the environment when improperly treated, stored,
transported, or disposed of, or otherwise managed.

Hot Mix Asphalt Plant—Equipment used to prepare hot aggregate and mineral filler for mixing to make
hot mix asphalt.

Land Disturbance—Exposed soil due to clearing, grading, or excavation activities.

LEPC—Local Emergency Planning Committee.

LQG—Large Quantity Generators.

NESHAPs—National Emission Standards for Hazardous Air Pollutants.

NMFS—National Marine Fisheries Service.

NOAA—National  Oceanic and Atmospheric Administration.

NOI—Notice of  Intent.

Non-friable—Asbestos that is too hard to be reduce to dust  by hand.
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Managing Your Environmental Responsibilities                   Section XIV - Additional Sources of Information



NOT—Notice of Termination.

NPDES—National Pollutant Discharge Elimination System.

NPL—National Priorities List. The list of national priorities among the known releases or threatened releas-
es of hazardous substances, pollutants, or contaminants throughout the United States and its territories. The
NPL is intended primarily to guide EPA in determining which sites warrant further investigation.

Oil—Oil of any kind or in any form, including, but not limited to: petroleum; fuel oil; sludge; oil refuse; oil
mixed with wastes other than  dredged spoil; fats, oils or greases of animal, fish, or marine mammal origin;
vegetable oils, including  oil from seeds, nuts, fruits, or kernels; and other oils and greases, including syn-
thetic oils and mineral  oils.

Operator—The party(ies) that has: (1) operational control of construction project plans and has the ability to
make modifications to those plans, or (2) day-to-day  operational control of stormwater compliance activities.

OSHA—Occupational  Safety and Health Administration.

Owner or Operator of a  Demolition or Renovation Activity—Any person who owns, leases, operates,
controls, or supervises the facility  being demolished or renovated or any person who owns, leases, oper-
ates, controls, or supervises the demolition or renovation operation, or both.

Polychlorinated Biphenyls (PCB)—Mixtures of synthetic organic chemicals with the same basic chemical
structure and similar physical properties ranging from oily liquids to waxy solids. For regulatory  purposes,
PCBs are defined as any chemical substance that is limited to the biphenyl molecule that has been chlori-
nated to varying degrees or any combination of substances which contains such substance. Due to their
non-flammability, chemical stability, high boiling point and electrical insulating properties, PCBs were used
in hundreds of industrial and  commercial applications including electrical, heat transfer, and hydraulic
equipment; as plasticizers in paints, plastics and rubber products; in pigments, dyes and carbonless copy
paper; and many other applications.

Portland Cement Plant—Any manufacturing facility producing Portland cement by either the wet or dry
process.

RACM—Regulated Asbestos Containing Materials.

RCRA—Resource Conservation and Recovery Act.

Release—Any spilling, leaking, pumping, pouring, emitting, emptying, discharging, injecting, escaping,
leaching, dumping, or  disposing into the environment, including abandonment or discarding of barrels,
containers, and other closed receptacles  containing any hazardous substance.
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Managing Your Environmental Responsibilities                  Section XIV - Additional Sources of Information
Reportable Quantity—Amount of hazardous substance (or extremely hazardous substance) released into
the environment within a 24-hour period that must be met or exceeded before emergency release notifica-
tion requirements are triggered. Reportable quantities are listed in EPA's Consolidated List of Chemicals
Subject to the Emergency Planning and Community Right-To-Know Act (EPCRA) and Section 11 2(r) of the
Clean Air Act (EPA 550-B-01 -003).

Rock Crushing Plant—All activities to crush or grind nonmetallic minerals that include the crusher, grind-
ing mill, screening, bucket elevator, conveyer, bagging, storage bin, and loading.

SERC—State Emergency Response Commission.

Sick Building Syndrome—Condition in which building occupants experience acute health  and comfort
effects that appear to be linked to indoor air quality and time spent in a  buildings.

SIP—State  Implementation Plan.

SPCC—Spill Prevention Control and  Countermeasures.

SQG—Small Quantity Generators.

Storage—When used in connection with hazardous waste,  means the containment of hazardous waste,
either on a temporary basis or for a  period of years, in such a manner as not to constitute disposal of such
hazardous  waste.

Storage  Capacity—The shell capacity of the container (i.e., the maximum volume of the storage container
used to store oil, not the actual amount of product stored in the container).

Stormwater—Stormwater runoff, snow melt runoff, and surface runoff and drainage.

SWPPP—Stormwater Pollution Prevention Plan.

Take—To harass, harm, pursue, hunt, shoot, wound, kill, trap, capture, or collect, or to attempt to engage
in any such conduct (Section 3(18) of the federal ESA).

TIP—Transportation  Improvement Plan.

TSCA—Toxic Substances Control  Act.

TSDF—Treatment, Storage, and Disposal Facility.

Universal  Waste—Federal Universal Wastes are batteries such as nickel-cadmium (Ni-Cd) and small
sealed  lead-acid batteries, agricultural pesticides that are recalled under certain conditions  and unused
pesticides that are collected and managed as part of a waste pesticide collection program,  thermostats
which can contain as much as 3 grams of liquid mercury, and lamps  which are the bulb or tube portion of
electric lighting  devices that have a hazardous component.
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Managing Your Environmental Responsibilities                   Section XIV - Additional Sources of Information



USFWS^U.S. Fish and Wildlife Service.

VOC—Volatile Organic Compound.

Waters of the United States—All waters currently used, or were used in the past, or may be susceptible to
use in interstate or foreign commerce, including all waters which are subject to ebb and flow of the tide.
Waters of the  United States include, but are not limited to all  interstate waters and intrastate lakes, rivers,
streams (including intermittent streams), mudflats,  sandflats, wetlands, sloughs, prairie potholes, wet mead-
ows, playa lakes, or natural ponds. See 40 CFR Part 122.2 for the complete definition.

Wetlands—Areas inundated or saturated by surface or ground water at  a frequency and  duration sufficient
to support, and that under normal circumstances do support, a prevalence of vegetation typically adapted
for life in  saturated soil conditions. Wetlands generally include swamps, marshes, bogs, and similar areas.
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                        Part II
 Managing Your Environmental Responsibilities:
                    Self-Audit Checklists
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                        TABLE OF CONTENTS FOR PART II

                                                                                  Page

Section I.      Stormwater Self-Audit Checklist	  1-1
                    Checklist for EPA's Construction General Permit (CGP)
                    Requirements	  1-2
                    Field Checklist for Stormwater Requirements	  I-11
                    Background on Stormwater Requirements  	  1-15

Section II.     Dredge and Fill/Wetlands (Section 404) Self-Audit Checklist	  II-1
                    Checklist for Dredge and Fill (Section 404) Permits	  II-2
                    Checklist for Recognizing Wetlands	  II-7
                    Background on Dredge and Fill/Wetlands Requirements	  II-9

Section III.    Oil Spill Prevention Self-Audit Checklist	III-l
                    Checklist for Oil Spill Requirements	III-2
                    Field Checklist: SPCC Requirements  	III-7
                    Checklist: SPCC Requirements Following An Oil Spill	III-9
                    Background On Oil Spill Prevention Requirements  	Ill-11

Section IV.    Hazardous Waste Self-Audit Checklist	IV-1
                    Checklist for Hazardous Waste Requirements  	IV-2
                    Field Checklist: RCRA Waste Storage Areas	IV-7
                    Field Checklist: Transporting Hazardous Wastes	IV-9
                    Background On Hazardous Waste Requirements 	IV-11

Section V.     Hazardous Substances (Superfund Liability) Self-Audit Checklist  	  V-l
                    Checklist of Superfund Requirements	  V-3
                    Checklist of EPCRA Requirements	  V-7
                    Background on Hazardous Substances Requirements	  V-9

Section VI.    Poly chlorinated Biphenyl (PDB) Self-Audit Checklist	VI-1
                    Checklist for PCB Requirements	VI-2
                    Background on PCB Waste Requirements  	VI-11

Section VII.   Asbestos Self-Audit Checklist	VII-1
                    Checklist For Asbestos Requirements	VII-2
                    Background On Asbestos Requirements	VII-13
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Managing Your Environmental Responsibilities

I.      STORMWATER SELF-AUDIT CHECKLIST
          Section I - Stormwater Checklist
       This section contains a self audit checklist for the specific Stormwater requirements in the
EPA Construction General Permit (CGP) for construction activities. In addition, this section
contains background information on the U.S. Environmental Protection Agency's (EPA)
Stormwater requirements. It is best to review this checklist prior to construction to ensure that
you are aware of the steps required to comply with the environmental requirements.  You can
also use this checklist to conduct self audits during construction. The current CGP was issued in
2003 by EPA Headquarters, and applies to construction activities in:
       •      Indian Country in certain
              states;
       •      U.S. Territories (except the
              Virgin Islands);
       •      Federal facilities in certain
              states;
       •      Alaska;
Idaho;
Massachusetts;
New Hampshire;
New Mexico;
Certain industry discharges in
Oklahoma and Texas; and
Washington, D.C.
For a detailed list of areas, see Attachment A of this checklist.  For a copy of the complete CGP,
go to http://www.epa.gov/npdes/pubs/cgp2003_entirepermit.pdf The CGP requirements apply
to all Stormwater discharges associated with the construction activity unless operators of the
construction site choose to apply for either an individual permit or an alternative general permit.

       Construction activities in areas not listed in Attachment A may be subject to state or local
requirements that are different from the CGP requirements. The EPA Region or state in which
the construction activity is located will have more information on Stormwater requirements that
apply (or go to http://www.cicacenter.org/swp2.htmn.

       Section III of Part I of this guide contains a more detailed discussion on Stormwater
requirements.
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Managing Your Environmental Responsibilities
Section I - Stormwater Checklist
        CHECKLIST FOR EPA'S CONSTRUCTION GENERAL PERMIT (CGP)
                  REQUIREMENTS FOR CONSTRUCTION AREAS

BACKGROUND INFORMATION
Name of Auditor:
Date of Audit:
Name of Project/Site:
This CGP checklist has two parts. The first part allows users to audit their compliance with the
paperwork requirements. The second part covers the implementation of the field requirements.
This second part can be removed from the rest of the checklist and used in the field.

A "notes" area is provided at the end of each section of this checklist. For every "No" answer,
enter a description of the missing information and the action required to bring the site into
compliance in the "notes" area.

CGP - NOTICE OF INTENT (NOD
 Yes   No
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
1. Does the NOT include the following information:
Name, address, and telephone number of the operator who submitted the
NOT?
Whether the operator is a federal, state, tribal, other public, or private
entity?
Name (or other identifier), address, county, and latitude/longitude of the
construction project or site?
Whether the project or site is located on Indian Country lands?
Name of the water body (e.g., stream, lake) that receives stormwater
runoff from the construction site?
Estimated start and completion dates for the project?
Estimated number of acres on the site on which soil will be disturbed?
Confirmation that a Stormwater Pollution Prevention Plan (SWPPP) was
developed prior to commencing construction activities?
Confirmation that the SWPPP complies with applicable local sediment
and erosion control plans?
Indication of where the SWPPP can be reviewed and the name and
telephone number of a contact person who can schedule a review?
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Managing Your Environmental Responsibilities
Section I - Stormwater Checklist
 Yes   No
a
a
a
a
a
a
2. Does the NOT indicate whether any listed or proposed threatened or
endangered species or designated critical habitat are in proximity to the
stormwater discharges or stormwater-discharge-related activities covered by
permit?
the
3. Does the NOT contain information concerning preservation of historic
properties? (This is optional.)
4. Was the NOT signed by the appropriate person (e.g., for a partnership by a
general partner)?
NOTES /ACTIONS NEEDED TO BRING SITE INTO COMPLIANCE:
CGP - STORMWATER POLLUTION PREVENTION PLAN (SWPPP)
 Yes   No
                                     General Items


a

a
a
a



a

a
a
a

5. Is a notice with the following information posted near the main entrance
construction site?
The permit number for the project or a copy of the NOT if a permit
number has not been assigned.
of the



The name and telephone number of a local contact person.
A brief description of the project.
The location of the SWPPP if the site is inactive or does not have an on-
site location to store the plan.

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Managing Your Environmental Responsibilities
Section I - Stormwater Checklist
  Yes    No
SWPPP Requirements
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
6. Does the SWPPP identify the name and NPDES permit number of the operator
who has control over construction plans and specifications (including the ability
to make modifications in the plans and specifications) and indicate the areas of
the project for which the operator has control?
7. Does the SWPPP contain measures to ensure all other permittees impacted by
a modification to the plans and specifications are notified of a modification in a
timely manner?
8. Does the SWPPP indicate the portions of the project for which each operator
has control over day-to-day activities?
9. For each portion of the project, does the SWPPP indicate the name and permit
number of the parties with day-to-day operational control of those activities
necessary to ensure compliance with the SWPPP or other permit conditions?
10. Was the SWPPP signed by the appropriate official (e.g., the responsible
officer for a corporation)?
1 1 . Does the SWPPP contain the following information?
A description of the potential sources of pollutants.
A description of the nature of the construction activity.
A description of the intended sequence of major activities that disturb
soils for major portions of the site (e.g., grubbing, excavation, grading,
utilities, and infrastructure installation).
Estimates of the total area of the site and the total area of the site that is
expected to be disturbed by excavation, grading, or other activities
including use of off-site borrow and fill areas.
An estimate of the runoff coefficient of the site for both the pre-
construction and post-construction conditions and data describing the soil
or the quality of any discharge from the site.
A general location map and a site map that indicate the following:
Drainage patterns and approximate slopes anticipated after major
grading activities.
Areas of soil disturbance.
Areas that will not be disturbed.
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Managing Your Environmental Responsibilities
Section I - Stormwater Checklist
  Yes    No
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
Locations of major structural and nonstructural controls identified
in the SWPPP.
Locations where stabilization practices are expected to occur.
Locations of off-site material, waste, borrow, or equipment
storage areas.
Surface waters (including wetlands).
Locations where stormwater discharges to a surface water.
Location and description of any discharge associated with industrial
activity other than construction, including stormwater discharges from
dedicated asphalt plants and dedicated concrete plants covered by the
CGP. A description of controls and measures implemented at those areas
to minimize pollutant discharges.
The name of the receiving water(s) and the areal extent and description of
wetlands or other special aquatic sites at or near the site that will be
disturbed or that will receive discharges from disturbed areas of the
project.
A copy of the permit requirements.
Information on whether listed endangered or threatened species, or
critical habitat are found in proximity to the construction activity and
whether such species may be affected by the site's stormwater discharges
or stormwater-discharge-related activities.
Inspections (Also See the Field Checklist)
a a
a a
a a
12. Are inspections by the permittee being performed:
At least once every seven calendar days? OR
At least once every 14 calendar days and within 24 hours of a storm event
(xO.5 inches)?
Inspection frequency may be reduced- see Section 3.10 of the CGP for more
details.
13. Are inspection reports signed and certified by an authorized person?
14. Are the inspections being performed by a qualified person (and are the
qualifications listed in the SWPPP)?
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Managing Your Environmental Responsibilities
Section I - Stormwater Checklist
 Yes    No
                                     SWPPP Control Measures
a a
a a
a a
a a
a a
a a
a a
a a
a a
a a
15. Does the SWPPP contain the following information for the major activities
(e.g., grubbing) that disturb soils for major portions of the site?
A description of the appropriate measures to control pollutants in
stormwater discharges (e.g., best management practices (BMPs)) and the
general timing (sequence) during the construction process for
implementing the control measures.
The permittee responsible for implementing the control measures.
16. Does the description in the SWPPP of the appropriate measures to control
pollutants in stormwater discharges address the following with respect to erosion
and sediment?
Designing the construction-phase erosion and sediment controls to retain
sediment on site to the extent practicable.
Properly selecting control measures, and installing and maintaining the
measures in accordance with the manufacturer's specifications and good
engineering practices.
Removing off-site accumulations of sediment that escape the construction
site at a frequency sufficient to minimize the impact of the accumulations
(e.g., fugitive sediment in a street could be washed into storm sewers by
the next rain or pose a safety hazard to users of a public street).
Removing sediment in sediment traps or sedimentation ponds when
design capacity is reduced by 50 percent.
Preventing litter, construction debris, and construction chemicals exposed
to stormwater from becoming a pollutant source for the stormwater.
Managing off-site material storage areas (e.g., stockpiles of dirt and
borrow areas) used solely for the permitted project in the SWPPP.
17. Does the SWPPP include a description of the interim and permanent
stabilization practices for a site (e.g., sod stabilization and vegetative buffer
strips) and an implementation schedule for the practices?
18. Does the SWPPP indicate the date when major grading activities will occur,
the dates when construction activity on each portion of a site will temporarily or
permanently cease, and the date when stabilization measures will be initiated?
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Managing Your Environmental Responsibilities
                                                         Section I - Stormwater Checklist
 Yes   No
 a     a
 a     a
 a     a
 a     a
 a
 a
 a
 a
a
a
 a     a
a
a
     19. Does the SWPPP include a description of the structural practices (e.g., earth
     dikes and drainage swales) used to divert flows from exposed soils, to store
     flows, or to otherwise limit runoff and the discharge of pollutants from exposed
     areas of the site?
     20. For common drainage locations, does the SWPPP include the requirement
     for:
            Temporary or permanent sediment basin(s) with a capacity to store either
            3,600 cubic feet of runoff per acre drained, or the volume of runoff from a
            2-year, 24-hour storm from each disturbed acre drained until final
            stabilization of the site (applicable to any size site)? OR
            For less than 10 acres,  silt fences, vegetative buffer strips, or equivalent
            sediment controls for all down slope boundaries (and side slope
            boundaries, as appropriate) of the construction area?
     21. Does the SWPPP include a description of the measures that will be used to
     manage Stormwater during the construction activity and explain why a particular
     measure was selected? Example measures include Stormwater detention
     structures, Stormwater retention structures, and velocity dissipation devices
     placed at discharge locations and along the length of any outfall channel.
     22. Does the SWPPP describe how solid material, including building material, is
     prevented from being discharged to waters of the United States, except as
     authorized in a permit issued under Section 404 of the Clean Water Act (CWA)?
23. Does the SWPPP describe how off-site vehicle tracking of sediments and
generation of dust is minimized?
24. Does the SWPPP state it is consistent with applicable state, tribal, and local
waste disposal, sanitary sewer, and septic tank system regulations to the extent
these are located within the permitted area?
     25. Does the SWPPP include a description of construction and waste materials
     expected to be stored on site; a description of controls to reduce the discharge of
     pollutants from these materials, including storage practices to minimize exposure
     of the materials to Stormwater; and a description of spill prevention and response
              measures!
26. Does the SWPPP include a description of measures necessary to protect listed
endangered or threatened species or critical habitat?
27. Is the SWPPP consistent with the requirements in applicable sediment and
erosion site plans or site permits, or Stormwater management site plans or site
permit approved by state, tribal, or local officials?
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Managing Your Environmental Responsibilities
Section I - Stormwater Checklist
Yes No
a a
28. Does the SWPPP identify the sources of non- storm water that are combined
with stormwater discharges associated with construction activities, and does the
SWPPP identify and ensure implementation of pollution prevention measures for
the non- storm water component of a discharge from the construction site?
SWPPP Updates
a a
a a
a a
29. Did the permittee amend the SWPPP whenever:
There was a change in the project design, construction, operation, or
maintenance that had a significant effect on the discharge of pollutants to
waters of the United States?
Results of inspections or investigations indicated that the SWPPP is not
achieving the general objectives of controlling pollutants in stormwater
discharges associated with construction activities?
There was a release of a hazardous substance or oil in an amount equal to
or in excess of a reportable quantity (including date, description, and
circumstances of the release) within 14 days of the release? The SWPPP
must identify measures to prevent the reoccurrence of a release and to
respond to a release.
Recordkeeping
a
a
a
a
a
a
a
a
a
a
a
a
30. Does the SWPPP include the following documentation required by the CGP?
Permit eligibility related to the Endangered Species Act (See Section 3.7
of the CGP).
Permit eligibility related to Total Maximum Daily Loads (TMDL) (See
Section 3. 14 of the CGP).
NOT.
NOT receipt/confirmation from EPA.
Permit requirements (i.e., CGP).
Inspection reports.
Sites must maintain the records for three years past expiration of permit (or
completion of project).
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Managing Your Environmental Responsibilities                           Section I - Stormwater Checklist




NOTES /ACTIONS NEEDED TO BRING SITE INTO COMPLIANCE: 	
CGP - NOTICE OF TERMINATION (NOT)
 Yes   No
a
a
a
a
a
a
a
a
a
a
3 1 . Does the NOT contain the following information?
Permit number for the Stormwater discharge.
Reason for termination (see CGP Requirements).
Name, address, and telephone number of the permittee submitting the
NOT.
Name of the project and street address (or description of the location if no
street address is available) for the construction site for which the NOT is
submitted.
32. Was the NOT signed (certified) by the appropriate official (e.g., for a State,
the principal executive officer or ranking elected official)?
NOTES /ACTIONS NEEDED TO BRING SITE INTO COMPLIANCE:
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Managing Your Environmental Responsibilities                               Section I - Stormwater Checklist
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Managing Your Environmental Responsibilities                            Section I - Stormwater Checklist

      SELF-AUDIT FIELD CHECKLIST FOR STORMWATER REQUIREMENTS

Date of Audit/Self-Audit:  	

Auditor (name, title, qualifications): 	

Name & Location of Project/Site:  	

Areas Audited: 	

Weather (since last inspection):  	

Name of Receiving Water: 	
For each of the questions below, please identify the area audited, any relevant observations,
corrective actions that are needed, and the date that the corrective action is completed.

1. As described in the SWPPP, are the appropriate measures in place to control pollutants in
stormwater discharges (e.g., BMPs as silt fencing)? List the control measures and observations
below:

Control Measures and Observations:	
Corrective Actions Needed/Expected Completion Date:.
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Managing Your Environmental Responsibilities                             Section I - Stormwater Checklist

2. As described in the SWPPP, are the structural practices (e.g., earth dikes and drainage
swales) in place to divert flows from exposed soils, to store flows, or to otherwise limit runoff
and the discharge of pollutants from exposed areas?

Structural Practices and Observations:	
Corrective Actions Needed/Expected Completion Date:.
3. Are there any additional BMPs that need to be used (e.g., for any exposed areas) ?

Areas and Observations:	
Corrective Actions Needed/Expected Completion Date:.
4. As described in the SWPPP, are the site practices in place to prevent stored materials
(including solid, building, and waste materials) from being discharged into waters of the United
States (except as authorized in the Section 404permit)?

Material Storage Areas and Observations:	
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Managing Your Environmental Responsibilities                             Section I - Stormwater Checklist

Corrective Actions Needed/Expected Completion Date:	
5. Are the site practices listed in the SWPPP in place to minimize off-site vehicle tracking of
sediments and generation of dust?

Practices and Observations:	
Corrective Actions Needed/Expected Completion Date:.
6. Are roadways clear of debris (e.g., no off-site vehicle tracking)?

Areas and Observations:	
Corrective Actions Needed/Expected Completion Date:.
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Managing Your Environmental Responsibilities                            Section I - Stormwater Checklist

7. Is there any exposed litter, debris or chemicals? Check the following areas: equipment
washing, maintenance, concrete washout, and site drainage locations.

Areas and Observations:	
Corrective Actions Needed/Expected Completion Date:.
8. As described in the SWPPP, are the appropriate measures in place to control pollutants in
stormwater discharges with respect to erosion and sediment?

Erosion and Sediment Controls and Observations:	
Corrective Actions Needed/Expected Completion Date:.
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Managing Your Environmental Responsibilities                             Section I - Stormwater Checklist

             BACKGROUND ON STORMWATER REQUIREMENTS FOR
                             CONSTRUCTION ACTIVITIES

DEFINITIONS

       •      Construction Activities or Construction-Related Activities.  Refers to the
              actual earth disturbing construction activities and those activities supporting the
              construction project such as construction materials or equipment storage or
              maintenance (e.g., fill piles, borrow area, concrete truck washout, fueling),
              measures used to control the quality for storm water associated with construction
              activity, or other industrial storm water directly related to the construction process
              (e.g., concrete or asphalt batch plants). It does not refer to construction activities
              unrelated to earth disturbing activities such as interior remodeling, completion of
              interiors of structures, etc. "Construction" does not include routine earth
              disturbing activities that are part of the normal day-to-day operation of a
              completed facility (e.g., daily cover for landfills, maintenance of gravel roads or
              parking areas, landscape maintenance, etc). Also, it does not include activities
              under a State or Federal reclamation program to return an abandoned property
              into an agricultural or open land use.

       •      Final Stabilization. All soil disturbing activities at the site have been completed
              and a uniform perennial vegetative cover with a density of at least 70 percent of
              the native background vegetative cover for the area has been established on all
              unpaved areas and areas not covered by permanent structures, or equivalent
              permanent  stabilization  measures (such as the use of riprap, gabions, or
              geotextiles) have been employed. See "final stabilization" definition in Appendix
              A of the Construction General Permit for further guidance where background
              native vegetation covers less than  100 percent of the ground, in arid or  semi-arid
              areas, for individual lots in residential construction, and for construction projects
              on land used for agricultural purposes.

       •      Land Disturbance. Exposed soil  due to clearing, grading, or excavation
              activities. This is also commonly referred to as ground disturbing activities.

       •      Larger Common Plan  of Development or Sale. A contiguous area where
              multiple separate and distinct construction activities occur under one plan (e.g.,
              construction is being done on 10 one-half acre lots in a six-acre development).

       •      Operator.  The party (ies) that has: (1) operational control  of construction project
              plans and specifications, including the ability to make modifications to those
              plans and specifications, or (2) day-to-day operational control of those activities


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Managing Your Environmental Responsibilities                             Section I - Stormwater Checklist

              necessary to ensure compliance with a Stormwater pollution prevention plan or
              other permit conditions.

       •      Plan. Any announcement or piece of documentation (e.g., sign, public notice or
              hearing, sales pitch, advertisement, drawing, permit application, zoning request,
              or computer design) or physical demarcation (e.g., boundary signs, lot stakes, or
              surveyor markings) indicating that construction activities may occur on a specific
              plot.

       •      Stormwater.  Stormwater runoff,  snow melt runoff,  and surface runoff and
              drainage.

       •      Waters of the United States. All waters currently used, or used in the past,  or
              may be susceptible to use in interstate or foreign commerce, including all waters
              that are subject to ebb and flow of the tide. Waters of the United States include,
              but are not limited to, all interstate waters and intrastate lakes, rivers, streams
              (including intermittent streams), mudflats, sandflats, wetlands, sloughs, prairie
              potholes, wet meadows, play lakes, or natural ponds.  See 40 CFR Part 122.2 for
              the complete definition.

ACRONYMS

       •      BMP - Best Management Practice
       •      CGP - Construction General Permit
              CWA - Clean Water Act
       •      NOT - Notice of Intent
       •      NOT - Notice of Termination
       •      NPDES - National Pollutant Discharge Elimination System
       •      SWPPP - Stormwater Pollution Prevention Plan

APPLICABILITY

       EPA's CGP for construction activities applies to Stormwater discharges from:2

       •      A construction activity that disturbs one or more acres of land.

       •      A construction activity that disturbs less than one acre of land, but is part of a
              larger common plan of development or sale that disturbs one or more acre of land.
2Except when the Stormwater discharges associated with the construction activity are covered by either an individual
permit or an alternative general permit.

Part II - Self-Audit Checklists                         1-lu                        http://www.cicacenter.org/links

-------
Managing Your Environmental Responsibilities                             Section I - Stormwater Checklist

       •      Construction related activities (e.g., concrete or asphalt batch plants, equipment
              staging yards, and material storage areas) for a local project an operator currently
              is involved with (e.g., a concrete batch plant providing concrete to several
              different highway projects in the same county) if: (1) the support activity is
              directly related to the construction site required to have NPDES permit coverage
              for discharges of Stormwater associated with construction activity; (2) the support
              activity is not a commercial operation serving multiple, unrelated construction
              projects and does not operate beyond the completion of the last related
              construction project it serves; and (3) appropriate controls are identified in a
              SWPPP for the Stormwater discharges from the construction support activities.

       •      Non-storm water discharges that include:
              —     Discharges from fire-fighting activities,
              —     Fire hydrant flushings,
              —     Waters used to wash vehicles where detergents are not used,
              —     Water used to control dust,
              —     Potable water including uncontaminated water line flushings,
              —     Routine external building wash down that does not use detergents,
              —     Pavement wash waters where spills or leaks of toxic or hazardous
                     materials have not occurred (unless all spilled material has been removed)
                     and where detergents are not used,
              —     Uncontaminated air conditioning or compressor condensate,
              —     Uncontaminated ground water or spring water,
              —     Foundation or footing drains where flows are not contaminated with
                     process materials such as solvents,
              —     Uncontaminated excavation dewatering, and
              —     Landscape irrigation.

CGP REQUIREMENTS

       •      The CGP requires, among other things, an operator to submit a NOI to be covered
              by the permit for a construction activity, to prepare a SWPPP for the construction
              activity, and to submit a NOT when the construction activity is completed.  Either
              a hard copy or electronic version of the notices can be submitted.  If the
              construction activity is covered by the CGP, the notices can be submitted to the
              following addresses:
Part II - Self-Audit Checklists                         l-l/                        http://www.cicacenter.org/links

-------
Managing Your Environmental Responsibilities                            Section I - Stormwater Checklist

              Regular U.S. Mail Delivery
              Stormwater Notice of Intent
              U.S. EPA - Ariel Rios Building
              Mail Code 4203M
              U.S. EPA
              1200 Pennsylvania Ave., NW
              Washington, DC 20460

              Overnight/Express Mail Delivery
              Stormwater Notice of Intent
              U.S. EPA - East Building, Room 7420
              U.S. EPA
              1201 Constitution Ave., NW
              Washington, DC 20004

              To complete an electronic NOI (eNOI), follow the instructions on the following
              EPA web site: http://cfpub.epa.gov/npdes/stormwater/enoi.cfm.

       •      A SWPPP must be developed for each construction project and it must be
              prepared prior to submitting the NOI.  The SWPPP must identify all potential
              sources of Stormwater pollution and the practices that will be used to reduce that
              pollution. Samples of construction SWPPPs can be found at:
              http://www.cicacenter.org/swppp.html.

       •      Construction activities  (i.e., the initial disturbance of soils associated with
              clearing, grading, excavation activities, or other construction activities) may not
              begin until seven days after the completed NOI is posted on EPA's web site at
              http://cfpub.epa.gov/npdes/stormwater/noi/noisearch.cfm. Therefore, the
              certifying official should submit the electronic NOI form at
              http://cfpub.epa.gov/npdes/stormwater/enoi.cfm approximately 10 days prior to
              the scheduled start of construction activities.  (When submitting by mail, allow
              additional time for EPA receipt and review.)  The certifying official may be either
              the site owner or operator. The site operator is defined above.

       •      The NOI form includes Endangered Species  Act information that also must be
              completed prior  to NOI submission. If there are concerns about endangered or
              threatened species, EPA may delay the authorization of the CGP permit coverage
              (and therefore the construction start) until the concerns are addressed.

       •      Operators must follow the pollution prevention practices outlined in the SWPPP,
              including inspection and maintenance of control structures.
Part II - Self-Audit Checklists                         l-lo                        http://www.cicacenter.org/links

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Managing Your Environmental Responsibilities                            Section I - Stormwater Checklist

       •      Operators should keep records together by attaching the following to the SWPPP:
              a copy of the NOT, the EPA NOT receipt/confirmation, inspection reports, and
              plan amendments.

       •      Operators must submit a NOT (found in Appendix F of the CGP and on-line at
              http://www.epa.gov/npdes/pubs/cgp_appendixf.pdf) to EPA within 30 days after
              one or more of the following:

              —     Final stabilization has been achieved on all portions of the site  for which
                     the permittee is responsible,

              —     Another operator/permittee assumes control over all areas of the site that
                     have not received final stabilization,

              —     Coverage has been obtained under an individual  or alternative NPDES
                     permit, or

              —     For residential construction only, temporary stabilization has been
                     completed and the residence has been transferred to the homeowner.
Part II - Self-Audit Checklists                         1-19                        http://www.cicacenter.org/links

-------
        Attachment A. States, Indian Country, and Territories Where the EPA Construction General Permit (CGP) Applies
I
State or
Territory
Name
Alabama
Alaska
American
Samoa
Arizona
Arkansas
California
Colorado
Connecticut
Delaware
District of
Columbia
Is EPA the
Permitting
Authority (a,b)?
For Indian
Country only
Yes
Yes
For Indian
Country only
No
For Indian
Country only
For Indian
Country and
federal facilities
only
For Indian
Country only
For federal
facilities only
Yes
Areas Where EPA is the Permitting Authority / Permit
Number
Indian Country construction activities in Region 4 must use the
Region 4 Construction General Permit.
(http://www.epa.gov/npdes/pubs/cgp-reg4.pdf).
The State of Alaska (except Indian Country)
Permit number: AKR 100000
Indian Country within the State of Alaska
Permit Number: AKR10000I
The Island of American Samoa
Permit Number: ASR 100000
Indian country within the State of Arizona, as well as Navajo
Reservation lands in New Mexico and Utah
Permit Number: AZR10000I
The State of Arkansas is the NPDES Permitting Authority for all
regulated discharges.
Indian Country within the State of California
Permit Number: CAR10000I
Indian Country within the State of Colorado, as well as the
portion of the Ute Mountain Reservation located in New Mexico
Permit Number: COR10000I
Federal facilities in the State of Colorado, except those located
on Indian Country
Permit Number: COR10000F
Indian Country in the State of Connecticut
Permit Number: CTR10000I
Federal facilities in the State of Delaware
Permit Number: DER10000F
The District of Columbia
Permit Number: DCR100000
Additional
Permit
Conditions (c)?
No
Yes
Yes
Yes
No
No
No
No
No
No
State-Specific Stormwater Links
http://www.cicacenter.org/swrl.cfm
?st=AL

http://www.cicacenter.org/swrl.cfm
?st=AK


http://www.cicacenter.org/swrl.cfm
?st=AZ

http://www.cicacenter.org/swrl.cfm
?st=AR

http://www.cicacenter.org/swrl.cfm
?st=CA

http://www.cicacenter.org/swrl.cfm
?st=CO

http://www.cicacenter.org/swrl.cfm
?st=CT

http://www.cicacenter.org/swrl.cfm
?st=DE

http://www.cicacenter.org/swrl.cfm
?st=DC
                                                                                                                        '
                                                                                                                       s



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                                                                                                                       9

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Attachment A. States, Indian Country, and Territories Where the EPA


       Construction General Permit (CGP) Applies (Continued)
State or
Territory
Name
Florida
Georgia
Guam
Hawaii
Idaho
Illinois
Indiana
Iowa
Johnston Atoll
Kansas
Is EPA the
Permitting
Authority (a,b)?
For Indian
Country only
No
Yes
No
Yes
No
No
For Indian
Country only
Yes
For Indian
Country only
Areas Where EPA is the Permitting Authority / Permit
Number
Indian Country construction activities in Region 4 must use the
Region 4 Construction General Permit.
(http://www.epa.gov/npdes/pubs/cgp-reg4.pdf).
The State of Georgia is the NPDES Permitting Authority for all
regulated discharges.
The Island of Guam
Permit Number: GUR 100000
The State of Hawaii is the NPDES Permitting Authority for all
regulated discharges.
The State of Idaho (except Indian Country)
Permit Number: IDR100000
Indian Country within the State of Idaho, except Duck Valley
Reservation lands
Permit Number: IDR10000I
Duck Valley Reservation lands are covered under the Nevada
permit NVR10000I.
The State of Illinois is the NPDES Permitting Authority for all
regulated discharges.
The State of Indiana is the NPDES Permitting Authority for all
regulated discharges.
Indian Country within the State of Iowa
Permit Number: IAR10000I
The Island of Johnston Atoll
Permit Number: JAR100000
Indian Country within the State of Kansas
Permit Number: KSR10000I
Additional
Permit
Conditions (c)?
No
No
No
No
Yes
No
No
No
No
No
State-Specific Stormwater Links
http://www.cicacenter.org/swrl.cfm
?st=FL

http://www.cicacenter.org/swrl.cfm
?st=GA


http://www.cicacenter.org/swrl.cfm
?st=HI

http://www.cicacenter.org/swrl.cfm
?st=ID

http://www.cicacenter.org/swrl.cfm
?st=IL

http://www.cicacenter.org/swrl.cfm
?st=IN

http://www.cicacenter.org/swrl.cfm
?st=IA


http://www.cicacenter.org/swrl.cfm
?st=KS
I
                                                                                            '
                                                                                           s


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                                                                                           9

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                            Attachment A. States, Indian Country, and Territories Where the EPA


                                   Construction General Permit (CGP) Applies (Continued)
State or
Territory
Name
Kentucky
Louisiana
Maine
Maryland
Massachusetts
Michigan
Midway Islands
Minnesota
Mississippi
Missouri
Montana
Is EPA the
Permitting
Authority (a,b)?
No
For Indian
Country only
No
No
Yes
For Indian
Country only
Yes
For Indian
Country only
For Indian
Country only
No
For Indian
Country only
Areas Where EPA is the Permitting Authority / Permit
Number
The State of Kentucky is the NPDES Permitting Authority for all
regulated discharges.
Indian Country within the State of Louisiana
Permit Number: LAR15000I
The State of Maine is the NPDES Permitting Authority for all
regulated discharges.
The State of Maryland is the NPDES Permitting Authority for all
regulated discharges.
Commonwealth of Massachusetts (except Indian Country)
Permit Number: MAR 100000
Indian Country within the Commonwealth of Massachusetts
Permit Number: MAR10000I
Indian Country within the State of Michigan
Permit Number: MIR10000I
The Islands of Midway Island and Wake Island
Permit Number: MWR100000
Indian Country within the State of Minnesota
Permit Number: MNR10000I
Indian Country construction activities in Region 4 must use the
Region 4 Construction General Permit.
(http://www.epa.gov/npdes/pubs/cgp-reg4.pdf).
The State of Missouri is the NPDES Permitting Authority for all
regulated discharges.
Indian Country within the State of Montana
Permit Number: MTR10000I
Additional
Permit
Conditions (c)?
No
No
No
No
Yes
No
No
No
No
No
Yes
State-Specific Stormwater Links
http://www.cicacenter.org/swrl.cfm
?st=KY

http://www.cicacenter.org/swrl.cfm
?st=LA

http://www.cicacenter.org/swrl.cfm
?st=ME

http://www.cicacenter.org/swrl.cfm
?st=MD

http://www.cicacenter.org/swrl.cfm
?st=MA

http://www.cicacenter.org/swrl.cfm
?st=MI


http://www.cicacenter.org/swrl.cfm
?st=MN

http://www.cicacenter.org/swrl.cfm
?st=MS

http://www.cicacenter.org/swrl.cfm
?st=MO

http://www.cicacenter.org/swrl.cfm
?st=MT
I
                                                                                                                        '
                                                                                                                       s


                                                                                                                       I

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to
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                                                                                                                       o
                                                                                                                       9

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                            Attachment A. States, Indian Country, and Territories Where the EPA


                                   Construction General Permit (CGP) Applies (Continued)
I
                                                                                                                        '
                                                                                                                       s


                                                                                                                       I

                                                                                                                       3
                                                                                                                       a
State or
Territory
Name
Nebraska
Nevada
New Hampshire
New Jersey
New Mexico
New York
North Carolina
Is EPA the
Permitting
Authority (a,b)?
For Indian
Country only
For Indian
Country only
Yes
No
Yes
For Indian
Country only
For Indian
Country only
Areas Where EPA is the Permitting Authority / Permit
Number
Indian Country within the State of Nebraska, except Pine Ridge
Reservation lands
Permit Number: NER10000I
The Pine Ridge Reservation lands are covered under the South
Dakota Permit SDR10000I.
Indian Country within the State of Nevada, as well as the Duck
Valley Reservation in Idaho, the Fort McDermitt Reservation in
Oregon and the Goshute Reservation in Utah
Permit Number: NVR10000I
State of New Hampshire
Permit Number: NHR100000
The State of New Jersey is the NPDES Permitting Authority for
all regulated discharges.
The State of New Mexico (except Indian Country)
Permit Number: NMR150000
Indian Country within the State of New Mexico, except Navajo
Reservation Lands that are covered under Arizona permit
AZR10000I and Ute Mountain Reservation Lands that are
covered under Colorado permit COR10000I
Permit Number: NMR15000I
Indian Country within the State of New York
Permit Number: NYR10000I
Indian Country construction activities in Region 4 must use the
Region 4 Construction General Permit.
(http://www.epa.gov/npdes/pubs/cgp-reg4.pdf).
Additional
Permit
Conditions (c)?
No
No
Yes
No
No
Yes
No
State-Specific Stormwater Links
http://www.cicacenter.org/swrl.cfm
?st=NE

http://www.cicacenter.org/swrl.cfm
?st=NV

http://www.cicacenter.org/swrl.cfm
?st=NH

http://www.cicacenter.org/swrl.cfm
?st=NJ

http://www.cicacenter.org/swrl.cfm
?st=NM

http://www.cicacenter.org/swrl.cfm
?st=NY

http://www.cicacenter.org/swrl.cfm
?st=NC

to
oo

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                                                                                                                       9

-------
                                   Attachment A. States, Indian Country, and Territories Where the EPA
                                           Construction General Permit (CGP) Applies (Continued)
                                                                                                                                          I
                                                                                                                                                    '
                                                                                                                                                   s
                                                                                                                                                   I
                                                                                                                                                   3
                                                                                                                                                   a
 State or
Territory
  Name
   Is EPA the
   Permitting
Authority (a,b)?
Areas Where EPA is the Permitting Authority / Permit
                     Number
  Additional
    Permit
Conditions (c)?
 State-Specific Stormwater Links
      North Dakota
            For Indian
            Country only
                Indian Country within the State of North Dakota, as well as that
                portion of the Standing Rock Reservation located in South
                Dakota (except for the portion of the lands within the former
                boundaries of the Lake Traverse Reservation, which is covered
                under South Dakota permit SDR10000I listed below)
                Permit Number: NDR10000I
                                                     No
                http://www.cicacenter.org/swrl.cfm
                ?st=ND
      Northern
      Mariana Islands
            Yes
                Commonwealth of the Northern Mariana Islands
                Permit Number: NIR 100000
                                                     Yes
      Ohio
            No
                The State of Ohio is the NPDES Permitting Authority for all
                regulated discharges.
                                                     No
                http://www.cicacenter.org/swrl.cfm
                ?st=OH
to
      Oklahoma
            For Indian
            Country and
            specific
            discharges only
                Indian Country within the State of Oklahoma
                Permit Number: OKR15000I

                Discharges in the State of Oklahoma that are not under the
                authority of the Oklahoma Department of Environmental
                Quality, including activities associated with oil and gas
                exploration, drilling, operations, and pipelines (includes SIC
                Groups 13 and 46, and SIC codes 492 and 5171), and point
                source discharges associated with agricultural production,
                services, and silviculture (includes SIC Groups 01, 02, 07, 08,
                09)
                Permit Number: OKR15000F
                                                     No
                http://www.cicacenter.org/swrl.cfm
                ?st=OK

      Oregon
            For Indian
            Country only
                Indian Country within the State of Oregon, except Fort
                McDermitt Reservation lands
                Permit Number: ORR10000I

                Fort McDermitt Reservation lands are covered under the Nevada
                Permit NVR10000I.
                                                     Yes
http://www.cicacenter.org/swrl.cfm
?st=OR
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                                                                                                                                                   9

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O
                             Attachment A. States, Indian Country, and Territories Where the EPA
                                   Construction General Permit (CGP) Applies (Continued)
I
                                                                                                                        '
4
State or
Territory
Name
Pennsylvania
Puerto Rico
Rhode Island
South Carolina
South Dakota
Tennessee
Texas
Is EPA the
Permitting
Authority (a,b)?
No
Yes
For Indian
Country only
No
For Indian
Country only
No
For Indian
Country and
specific
discharges only
Areas Where EPA is the Permitting Authority / Permit
Number
The State of Pennsylvania is the NPDES Permitting Authority
for all regulated discharges.
The Commonwealth of Puerto Rico
Permit Number: PRR100000
Indian Country within the State of Rhode Island
Permit Number: RIR10000I
The State of South Carolina is the NPDES Permitting Authority
for all regulated discharges.
Indian Country within the State of South Dakota, as well as the
portion of the Pine Ridge Reservation located in Nebraska and
the portion of the lands within the former boundaries of the Lake
Traverse Reservation located in North Dakota (except for the
Standing Rock Reservation, which is covered under North
Dakota permit NDR10000I listed above)
Permit Number: SDR10000I
The State of Tennessee is the NPDES Permitting Authority for
all regulated discharges.
Indian Country within the State of Texas
Permit Number: TXR1 50001
Discharges in the State of Texas that are not under the authority
of the Texas Commission on Environmental Quality (formerly
TNRCC), including activities associated with the exploration,
development, or production of oil or gas or geothermal
resources, including transportation of crude oil or natural gas by
pipeline
Permit Number: TXR15000F
Additional
Permit
Conditions (c)?
No
No
No
No
No
No
No
State-Specific Stormwater Links
http://www.cicacenter.org/swrl.cfm
?st=PA


http://www.cicacenter.org/swrl.cfm
?st=RI

http://www.cicacenter.org/swrl.cfm
?st=SC

http://www. cicacenter.org/swrl.cfm
?st=SD

http://www.cicacenter.org/swrl.cfm
?st=TN

http://www.cicacenter.org/swrl.cfm
?st=TX


s
1
3
a
TO
a
SL
1
a
5'
a
S"
i
»_
9
R

-------
                            Attachment A. States, Indian Country, and Territories Where the EPA


                                   Construction General Permit (CGP) Applies (Continued)
I
                                                                                                                        '
                                                                                                                       s


                                                                                                                       I

                                                                                                                       3
                                                                                                                       a
State or
Territory
Name
Utah
Vermont
Virgin Islands
Virginia
Wake Island
Washington
West Virginia
Wisconsin
Is EPA the
Permitting
Authority (a,b)?
For Indian
Country only
For federal
facilities only
No
No
Yes
For Indian
Country and
federal facilities
only
No
For Indian
Country only
Areas Where EPA is the Permitting Authority / Permit
Number
Indian Country within the State of Utah, except Goshute and
Navajo Reservation lands
Permit Number: UTR10000I
Goshute Reservation lands are covered under the Nevada Permit
NVR10000I.
Navajo Reservation lands are covered under the Arizona Permit
AZR10000I.
Federal facilities in the State of Vermont
Permit Number: VTR10000F
The Virgin Islands is the NPDES Permitting Authority for all
regulated discharges.
The State of Virginia is the NPDES Permitting Authority for all
regulated discharges.
The Islands of Midway Island and Wake Island
Permit Number: MWR100000
Federal facilities in the State of Washington, except those
located on Indian country
Permit Number: WAR10000F
Indian country within the State of Washington
Permit Number: WAR10000I
The State of West Virginia is the NPDES Permitting Authority
for all regulated discharges.
Indian Country within the State of Wisconsin, except the
Sokaogon Chippewa (Mole Lake) Community
Permit Number: WIR10000I
Additional
Permit
Conditions (c)?
No
No
No
No
No
Yes
No
No
State-Specific Stormwater Links
http://www.cicacenter.org/swrl.cfm
?st=UT

http://www.cicacenter.org/swrl.cfm
?st=VT


http://www.cicacenter.org/swrl.cfm
?st=VA


http://www.cicacenter.org/swrl.cfm
?st=WA

http://www.cicacenter.org/swrl.cfm
?st=WV

http://www.cicacenter.org/swrl.cfm
?st=WI

to

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                                                                                                                       9

-------
                                  Attachment A.  States, Indian Country, and Territories Where the EPA
                                          Construction General Permit (CGP) Applies (Continued)
State or
Territory
Name
Wyoming
Is EPA the
Permitting
Authority (a,b)?
For Indian
Country only
Areas Where EPA is the Permitting Authority / Permit
Number
Indian Country within the State of Wyoming
Permit Number: WYR10000I
Additional
Permit
Conditions (c)?
No
State-Specific Stormwater Links
http://www.cicacenter.org/swrl.cfm
?st=WY
I
                                                                                                                                                 '
                                                                                                                                                s
                                                                                                                                                I
                                                                                                                                                3
                                                                                                                                                a
to
     (a) For updates to the CGP coverage, go to: http://cfpub.epa.gov/npdes/stormwater/authorizationstatus.cfm.
     (b) Permit information for areas where EPA is not the permitting authority is available at: http://www.cicacenter.org/swp2.html.
     (c) See Part 9 of the CGP for additional permit conditions (http://www.epa.gov/npdes/pubs/cgp2003 entirepermit.pdf).
                                                                                                                                                o'
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                                                                                                                                                9

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Managing Your Environmental Responsibilities                               Section I - Stormwater Checklist
                          This Page Is Intentionally Left Blank
Part II - Self-Audit Checklists                           l-.2o                          http://www.cicacenter.org/links

-------
Managing Your Environmental Responsibilities                Section II - Dredge and Fill/Wetlands Checklist

II.     DREDGE AND FILL/WETLANDS (SECTION 404) SELF-AUDIT CHECKLIST

       This section contains a self-audit checklist and associated background information related
to dredge and fill (Section 404) environmental requirements for construction projects. The
United States Army Corps of Engineers (COE) and U.S. Environmental Protection Agency
(EPA) regulate discharges of dredged or fill material into waters of the United States under
Section 404 of the Clean Water Act (CWA). Owners, developers, architects, contractors, and
subcontractors can use the checklist to identify who will be responsible for addressing each
requirement, and to conduct a self-audit.  The checklist also can be used by compliance
inspectors to conduct an inspection of a construction site.

       When preparing for any construction project, it must be determined if dredged material
(i.e., material excavated from waters) or fill materials (i.e., material placed in waters such that
dry land replaces any portion of water or the bottom elevation of waters is changed) will be
discharged into waters of the United States.

       A permit may be needed if the construction activity impacts a water of the United States.
Impacts include the discharge of dredged material, discharge of fill material, and disturbance of
hydrological support to wetlands (i.e., cut off of water supply). Specific activities impacting
wetlands that require a permit include, but are not limited to, placement of dredged or fill
material in a water of the United States, ditching activities when excavated material is sidecast,
levee and dike construction, mechanized land clearing, land leveling, road construction, dam
construction, and draining wetlands. Depending on the impacts, a Section 404 permit may be
required prior to performing any construction activities.  A waiting period of 45 days or more
after permit application may be required before the construction project can start, depending on
the type  of permit necessary.

       Background on the Section 404 regulation, including definitions, applicability, and
permit process requirements, follows the checklist.  Attachment A includes the application for
individual permits.

       Section IV in Part I of this guide contains a more detailed discussion on Section 404
requirements.
F'art II - Self-Audit Checklists                         11-1                        http://www.cicacenter.org/links

-------
Managing Your Environmental Responsibilities
                                        Section II - Dredge and Fill/Wetlands Checklist
        CHECKLIST FOR DREDGE AND FILL (SECTION 404) PERMITS FOR
                             CONSTRUCTION PROJECTS

BACKGROUND INFORMATION
Name of Auditor:
Date of Audit:
Name of Project/Site:
A "notes" area is provided at the end of each section of this checklist.  For every "No" answer,
enter a description of the missing information and the action required to bring the site into
compliance in the "notes" area.
SECTION 404 - GETTING A PERMIT
 Yes   No
 a     a
 a     a
 a     a
 a     a
 a     a
 1. Are construction activities being performed in waters of the United States (see
Background following the checklist for definition)? If yes, a permit may be
required.
2. Is there a wetland in the proposed construction area (see the Recognizing
Wetlands Checklist included in this checklist)? If yes, a wetland delineation
should be performed by trained personnel. The delineation may need to be
submitted to the COE District Office for review.
3. Will dredged or fill material be discharged into waters of the United States? If
yes, a permit is required. Note that EPA and COE assume a discharge will occur
for any mechanized land clearing in United States waters unless it is documented
that only incidental fallback will occur.
4. Is the construction project exempt from federal permit requirements? (see 33
CFR 323.4, available on-line at:
http://www.usace.army.mil/inet/functions/cw/cecwo/reg/33cfr323.htm)
If yes, a federal permit is not required.
If no, either a general or individual permit is required.
 5. Is state authorization needed (Section 401 certification) for the construction
 activity (i.e., the state has not already granted certification for general permits in
 your area)? Contact the state environmental department for further information.
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Managing Your Environmental Responsibilities
Section II - Dredge and Fill/Wetlands Checklist
 Yes    No
                                       Nationwide Permits
a
a
a
a
a
a
a
a
a
a
a
a
a
a
6. Is the construction activity currently covered by a Nationwide Permit (NWP)?
Refer to the COE web site for details at:
http://www.usace.armv.mil/inet/functions/cw/cecwo/reg/nationwide permits.htm
.If no, skip to the Individual Permits section of this checklist.
7. Is a Preconstruction Notification (PCN) required? The individual application
form (see Attachment A) can be used as the PCN, as long as it is clearly marked
that it is a PCN.
8. If required by the NWP, was a wetland delineation in the PCN?
9. If required by the NWP, were mitigation plans submitted to the COE District
Engineer?
10. Have all regional requirements for the NWP been complied with?
1 1 . If a PCN was submitted, has the site received authorization to begin
construction? (Authorization is granted by the COE District Engineer or is
assumed to have been granted if notification is not received within 45 days after
submission of the PCN).
12. If a PCN was submitted, has the site received notification from the COE
District Engineer that an individual permit was required?
                                        Individual Permits
a
a
a
a
13. Was an application for an Individual Permit (see Attachment A) submitted to
the COE and/or the state? Note that only a single application submitted to either
the state or COE may be required.
14. Was authorization to begin construction received from the COE District
Engineer?
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Managing Your Environmental Responsibilities                Section II - Dredge and Fill/Wetlands Checklist




NOTES /ACTIONS NEEDED TO BRING SITE INTO COMPLIANCE:  	
SECTION 404 - MEETING PERMIT REQUIREMENTS
 Yes   No
                                   Nationwide Permits
a
a
a
a
a
a
a
a
15. Were all of the general conditions required in the NWP met, including proper
maintenance of any structure or fill, soil erosion and sediment controls, and
removal of temporary fills?
16. Were special conditions that were required in the NWP authorization from
the COE District Engineer met?
17. Was wetlands mitigation performed as required in the permit?
18. If authorization from the COE District Engineer was received, was a signed
compliance certification to COE submitted once the construction was complete?
                                   Individual Permits
a
a
a
a
a
a
a
a
19. Were all conditions that were required in the permit met?
20. Were all special conditions required in the permit met (e.g., keeping a copy of
the COE-issued permit on the vessel used to transport and dispose of dredge
materials or advise the COE District Office at least two weeks prior to starting
maintenance dredging activities)?
21. Was wetlands mitigation performed if required in the permit?
22. Was a signed compliance certification submitted to COE once the
construction was complete?
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Managing Your Environmental Responsibilities                  Section II - Dredge and Fill/Wetlands Checklist




NOTES /ACTIONS NEEDED TO BRING SITE INTO COMPLIANCE: 	
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Managing Your Environmental Responsibilities                 Section II - Dredge and Fill/Wetlands Checklist

                    CHECKLIST FOR RECOGNIZING WETLANDS

The following checklist provides some general questions that can help determine if a wetland is
present at the construction site. For more specific details, see the COE Wetlands Delineation
Manual (http://www.saj.usace.army.mil/permit/documents/87manual.pdf). If the answer to any
of these questions is yes, seek assistance from a wetlands expert to determine if a wetland is
present.

 Yes   No
a
a
a
a
a
a
a
a
a
a
a
a
a
a
1. Is the site in a flood plain or otherwise has low spots in which water stands at
or above the soil surface during the growing season?
2. Does the site have plant communities that commonly occur in areas having
standing water for part of the growing season (e.g., cypress-gum swamps,
cordgrass marshes, cattail marshes, bulrush and tule marshes, and sphagnum
bogs)?
3. Does the site have soils called peats or mucks?
4. Is the site periodically flooded by tides, even if only by strong, wind-driven, or
spring tides?
If the response to any of the following questions is "yes, " then one or more of the
wetland indicators (vegetation, soil, and hydrology) are present in the site, and
you should seek assistance from the COE District Office or a wetlands expert to
determine if a wetland is present.
5. Are any of the wetland vegetation indicators growing on the site? See the COE
Wetlands Delineation Manual for a list of indicators.
6. Are any of the wetland soil indicators found on the site? See the COE
Wetlands Delineation Manual for a list of indicators.
7. Are any of the wetland hydrology indicators identified on the site? See the
COE Wetlands Delineation Manual for a list of indicators.
NOTES/ACTION ITEMS:
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Managing Your Environmental Responsibilities                Section II - Dredge and Fill/Wetlands Checklist

       BACKGROUND ON DREDGE AND FILL/WETLANDS REQUIREMENTS
                          FOR CONSTRUCTION ACTIVITIES

DEFINITIONS

       •      Dredged Material. Material that is excavated or dredged from waters of the
              United States.

       •      Fill Material. Material placed in waters of the United States where the material
              has the effect of:

              —     Replacing any portion of a water of the United States with dry land, or

              —     Changing the bottom elevation of any portion of a water of the United
                     States.

              Examples of fill material include rock, sand,  soil, clay, plastics, construction
              debris, wood chips, overburden from mining or other excavation activities, and
              materials used to create any structure or infrastructure in waters of the United
              States. The term "fill material" does not include trash or garbage.

       •      Incidental Fallback.  Redeposit of small volumes of dredged material that is
              incidental to excavation activity in waters of the United States when such material
              falls back to substantially the same place as the initial removal. Examples of
              incidental fallback include soil that is disturbed when dirt is shoveled  and the
              back-spill from a bucket falls into substantially the same place from which it was
              initially removed.

              Waters of the United States (United States Waters)  See 40 CFR Part 122.2
              for the complete definition. Waters include, but are not limited to:

              —     All waters that are currently used, or were used in the past, or may be
                     susceptible to use in interstate or foreign commerce, including all waters
                     which are subject to ebb and flow of the tide,

              —     All interstate waters including interstate wetlands, and

              —     All other waters such as intrastate lakes, rivers, streams (including
                     intermittent streams), mudflats,  sandflats, wetlands, sloughs, prairie
                     potholes, wet meadows, playa lakes, or natural ponds, the use, degradation
                     or destruction  of which could affect interstate or foreign commerce.


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Managing Your Environmental Responsibilities                 Section II - Dredge and Fill/Wetlands Checklist

       •      Wetlands. Areas inundated or saturated by surface or ground water at a
              frequency and duration sufficient to support, and that under normal circumstances
              do support, a prevalence of vegetation typically adapted for life in saturated soil
              conditions. Wetlands generally include swamps, marshes, bogs, and similar
              areas.

ACRONYMS

       •      COE - United States Army Corps of Engineers
              CWA - Clean Water Act
       •      NWP - Nationwide Permit
       •      PCN - Preconstruction Notification

APPLICABILITY

       COE defines discharges of dredged material at 33 CFR 323. These discharges, which
require permits under Section 404 of the CWA, include:

       •      The addition of dredged material to a specified discharge site located in waters of
              the United States;

       •      The runoff or overflow from a contained land or water disposal  area; and

       •      Any addition, including redeposit other than incidental fallback, of dredged
              material, including excavated material, into waters of the United States that is
              incidental to any activity, including mechanized land clearing, ditching,
              channelization, or other excavation.

       COE also defines discharges of fill material at 33  CFR 323.  These discharges, which
require permits under Section 404 of the CWA, include:

       •      Placement of fill necessary for the construction of any structure or infrastructure
              in a water of the United States;

       •      Building of any structure,  infrastructure, or impoundment in waters of the United
              States requiring rock, sand, dirt, or other material for its construction;

       •      Site-development fills in waters of the United States for recreational, industrial,
              commercial, residential, or other uses;
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Managing Your Environmental Responsibilities                 Section II - Dredge and Fill/Wetlands Checklist

       •      Causeways or road fills, dams and dikes, artificial islands, beach nourishment,
              levees, and artificial reefs;

       •      Property protection and/or reclamation devices such as rip rap, groins, seawalls,
              breakwaters, and revetments;

       •      Fill for structures such as sewage treatment facilities;

       •      Intake and outfall pipes associated with power plants and subaqueous utility lines;

       •      Placement of fill material in waters of the United States for construction or
              maintenance of any liner, berm, or other infrastructure associated with solid waste
              landfills; and

       •      Placement of overburden, slurry, or tailings or similar mining-related materials in
              waters of the United States.

       Contact the state environmental or permitting office and the COE District Office to
determine whether permits are required for the construction project.

SECTION 404 PERMIT PROCESS REQUIREMENTS

       Section 404 requires that no discharge of dredged or fill material be permitted if a
practicable alternative exists that is less damaging to the aquatic environment or if the nation's
waters would be significantly degraded. When applying for a permit, a wetlands mitigation must
be performed to show that the project:

       •      Avoided wetland impacts where practicable;

       •      Minimized potential impacts to wetlands; and

       •      Will provide compensation for any remaining, unavoidable impacts through
              activities to restore or create wetlands.

       COE may issue permits, after notice and opportunity for public hearings, for the
discharge of dredged or fill material into waters of the United States at specified disposal sites.
Prior to issuing Section 404 permits,  state approval must also be obtained (Section 401
certification).

       There are two types of Section 404 permits: general permits and individual permits.  For
discharges that have  only minimal adverse effects, COE issues general permits. General permits


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Managing Your Environmental Responsibilities                Section II - Dredge and Fill/Wetlands Checklist

may be issued on a nationwide, regional, or state basis for particular categories of activities.
Attachment C includes a list of current Nationwide Permits (NWPs). Individual permits are
usually required for activities with potentially significant impacts.

       General Permit Process. An NWP may require that the COE District Engineer (DE) of
the construction activity be notified in a preconstruction notification (PCN). If required, the
PCN should be submitted as early as possible.  Within 30 days, the DE will determine whether
the PCN is complete and may request additional information.  The PCN review process will not
begin until all required information is submitted. Construction activity may not begin until one
of the following occurs:

       (1)    Notification that the activity may proceed is received from the DE.  This
              notification may include special conditions imposed on the specific construction
              activity.

       (2)    Notification that an individual permit is required is received from the DE, and the
              individual permit is issued.

       (3)    Forty-five days have passed since the DE received the complete PCN and no
              written notice has been received from the DE.

       The text of the NWPs should be reviewed to assess whether a particular NWP applies to
the construction project (see 67 FRN 2020 or the on-line guide at http://www.usace.army.mil/
inet/functions/cw/cecwo/reg/nationwide_permits.htm).  Some items to check include:

       •      NWP use limits (e.g.,  NWP 19 Minor Dredging only applies if the site dredges
              less than 25  cubic yards); and

       •      Applicable waters (e.g., NWP 13 Bank Stabilization does not apply to special
              aquatic sites (i.e., sanctuaries  and refuges, wetlands, mud flats, vegetated
              shallows, coral reefs, and riffle and pool complexes)).

       If the construction activity is covered under an NWP, the site must comply with the
general conditions listed for the permit. The COE District  Office or state environmental
department should be contacted for information on regional and state general permits.

       Individual Permit Process. The following steps need to be completed to obtain an
individual permit:

       •      Application. To receive a Section 404 individual permit, operators must complete
              an Application for Department of Army Permit (available on line at:
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Managing Your Environmental Responsibilities                 Section II - Dredge and Fill/Wetlands Checklist

              http://www.usace.artny.mil/inet/functions/cw/cecwo/reg/eng4345a.pdf). included
              in Attachment D.  COE requires, among other things, that permit applicants
              describe the project and its purpose, the reasons for discharging dredged or fill
              material, types of material being discharged (and volume of each type in cubic
              yards), and the surface area of wetlands or other waters filled (in acres).
              Applicants must also submit one set of drawings showing location and character
              of proposed activity. The application is submitted to the DE having jurisdiction
              over the location of the proposed activity. (Note that states may contact the COE
              in conjunction with granting state approval for the project. The application
              process varies by state; contact the state and COE District Office for details.)

       •      Public Notice.  COE will issue a public notice once the complete permit
              application has been received. The notice includes the proposed activity,
              location, and potential environmental impacts.

       •      Comment Period. The public comment period lasts between 15-30 days,
              depending on the proposed activity.  The application and comments are reviewed
              by the COE and other interested federal and state agencies, organizations,  and
              individuals. COE also determines whether an Environmental Impact Statement is
              necessary.

       •      Public Hearing. Citizens may request that COE conduct a public hearing;
              however, public hearings are not usually held.

       •      Permit Evaluation. COE, along with states and other federal agencies, evaluates
              the permit application, taking into account the comments received.

       •      Permit Award  or Denial. Based on the  steps above, COE may either approve or
              deny the application.

       •      Environmental Assessment and Statement  of Findings. The Statement of
              Finding document explains how the permit decision was made. This document is
              made available to the public.

       The above steps are a basic example of the requirements to obtain an individual permit.
The process may require  additional steps such as a pre-application meeting with the COE district
engineer or state officials or negotiation of mitigation plans.
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Managing Your Environmental Responsibilities                 Section II - Dredge and Fill/Wetlands Checklist

                     Attachment A. Application for Individual Permit

The following information was taken from
www.usace.army.mil/inet/functions/cw/cecwo/reg/eng4345a.pdf. Note this form expired in
2004.  However, a revised form was not available at the time of publication.
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Managing Your Environmental Responsibilities
                                Section II - Dredge and Fill/Wetlands Checklist
                     APPLICATION FOR DEPARTMENT OF THE ARMY PERMIT
                                           (33 CFR 325)
                              OMB APPROVAL NO. 0710-0003
                              Expires December 31, 2004
 The public reporting burden for this collection of information is estimated to average 10 hours per response, although the majority of applications should require
 5 hours or less. This includes the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and
 reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information, including
 suggestions for reducing this burden, to Department of Defense, Washington Headquarters Service Directorate of Information Operations and Reports, 1215
 Jefferson Davis Highway, Suite 1204, Arlington, VA 22202-4302; and to the Office of Management and Budget, Paperwork Reduction Project (0710-0003),
 Washington, DC 20503. Respondents should be aware that notwithstanding any other provision of law, no person shall be subject to any penalty for failing to
 comply with a collection of information if it does not display a currently valid OMB control number. Please DO NOT RETURN your form to either of those
 addresses. Completed applications must be submitted to the District Engineer having jurisdiction over the location of the proposed activity.	
                                                        PRIVACY ACT STATEMENT
 Authorities: Rivers and Harbors Act, Section 10, 33 USC 403; Clean Water Act, Section 404, 33 USC 1344; Marine Protection, Research, and
 Sanctuaries Act, Section 103, 33 USC 1413. Principal Purpose: Information provided on this form will be used in evaluating the application for a
 permit. Routine Uses: This information may be shared with the Department of Justice and other federal,  state, and local government agencies.
 Submission of requested information is voluntary, however, if information is not provided, the permit application cannot be processed nor can a permit
 be issued. One set of original drawings or good reproducible copies which show the location and character of the proposed activity must be attached to this
 application (see  sample drawings and instructions) and be submitted to the District Engineer having jurisdiction over the location of the proposed
 activity. An application that is not completed in full will be returned.
 (ITEMS 1 THRU 4 TO BE FILLED BY THE CORPS)
1. APPLICATION NO.
2. FIELD OFFICE CODE
3. DATE RECEIVED
4. DATE APPLICATION COMPLETED
(ITEMS BELO W TO BE FILLED BY APPLICANT)
  5. APPLICANT'S NAME
8. AUTHORIZED AGENT'S NAME AND TITLE (an agent is not required)
 6. APPLICANT'S ADDRESS
                                                                     9. AGENT'S ADDRESS
7. APPLICANT'S PHONE NUMBERS WITH AREA CODE
a. Residence
b. Business
10. AGENT'S PHONE NUMBERS WITH AREA CODE
a. Residence
b. Business
1 1 . STATEMENT OF AUTHORIZATION
I hereby authorize to act in my behalf as my agent in the processing of this application and to
 furnish, upon request, supplemental information in support of this permit application.
          APPLICANT'S SIGNATURE
                                                                                                     DATE
 NAME, LOCATION AND DESCRIPTION OF PROJECT OR ACTIVITY
  12. PROJECT NAME OR TITLE (see instructions)
  13. NAME OF WATERBODY, IF KNOWN (if applicable)
14. PROJECT STREET ADDRESS (if applicable)
15. LOCATION OF PROJECT
COUNTY STATE


  16. OTHER LOCATION DESCRIPTIONS, IF KNOWN (see instructions)
  17. DIRECTIONS TO THE SITE
                                 ENG FORM 4345. Jul 97EDITION OF SEP 94 IS OBSOLETE(Proponent: CECW-OR)
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                                                Section II - Dredge and Fill/Wetlands Checklist
  18. Nature of Activity (Description of project, include all features)
  19. Project Purpose (Describe the reason or purpose of the project, see instructions)
                        USE BLOCKS 20-22 IF DREDGED AND/OR FILL MATERIAL IS TO BE DISCHARGED
 20. Reason(s) for Discharge
 21. Type(s) of Material Being Discharged and the Amount of Each Type in Cubic Yards
 22. Surface Area in Acres of Wetlands or Other Waters Filled (see instructions)
 23. Is Any Portion of the Work Already
 Complete?
Yes      No
                      IF YES, DESCRIBE THE COMPLETED WORK
 24. Addresses of Adjoining Property Owners, Lessees, etc., Whose Property Adjoins the Waterbody (if more than can be enteredhere, please attach a
 supplemental list).
25. List
of Other Certifications or Approvals/Denials Received from other Federal, State, or Local Agencies for Work Described in This
Application
AGENCY TYPE APPROVAL* IDENTIFICATION NUMBER DATE APPLIED DATE
APPROVED DATE DENIED







*Would include but is not restricted to zoning, building and flood plain permits.
 26. Application is hereby made for a permit or permits to authorize the work described in this application. I certify that the information in this application
 is complete and accurate. I further certify that I possess the authority to undertake the work described herein or am acting as the duly authorized
 agent of the applicant.
  SIGNATURE OF APPLICANT
                                       DATE   SIGNATURE OF AGENT    DATE
  The application must be signed by the person who desires to undertake the proposed activity (applicant) or it may be signed by a duly authorized
  agent if the statement in block 11  has been filled out and signed.

  18 U.S.C. Section 1001 provides that:  Whoever, in any manner within the jurisdiction of any department or agency of the United States, knowingly
  and willfully falsifies, conceals, or covers up any trick scheme, or disguises a material fact or makes any false, fictitious or fraudulent statements or
  representations or makes or uses any false writing or document knowing same to contain any false, fictitious or fraudulent statements or entry, shall
  be fined not more than $10,000 or imprisoned not more than five years or both.
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Managing Your Environmental Responsibilities                              Section II - Dredge and Fill/Wetlands Checklist

                              Instructions for Preparing a
                       Department of the Army Permit Application

Blocks 1 through 4. To be completed by Corps of Engineers.

Block 5. Applicant's Name. Enter the name of the responsible party or parties. If the
responsible party is an agency, company, corporation, or other organization, indicate the
responsible officer and title. If more than one party is associated with the application, please
attach a sheet with the necessary information marked Block 5.

Block 6. Address of Applicant. Please provide the full address of the party or parties
responsible for the application. If more space is needed, attach an extra sheet of paper marked
Block 6.

Block 7. Applicant Telephone Number(s). Please provide the number where you can usually
be reached during normal business hours.

Blocks 8 through 11. To be completed, if you choose to have an agent.

Block 8. Authorized Agent's Name and Title. Indicate name of individual or agency,
designated by you, to represent you in this process. An agent can be an attorney, builder,
contractor, engineer, or any other person or organization. Note: An agent is not required.

Blocks 9 and 10. Agent's Address and Telephone Number. Please provide the complete
mailing address of the agent, along with the telephone number where he/she can be reached
during normal business hours.

Block 11. Statement of Authorization. To be completed by applicant, if an agent is to be
employed.

Block 12. Proposed Project Name or Title. Please provide name identifying the proposed
project, e.g., Landmark Plaza, Burned Hills Subdivision, or Edsall Commercial Center.

Block 13. Name of Waterbody. Please provide the name of any stream, lake, marsh, or other
waterway to he directly impacted by the activity. If it is a minor (no name) stream, identify the
waterbody the minor stream enters.

Block 14. Proposed Project Street Address. If the proposed project is located at a site having a
street address (not a box number), please enter it here.
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Block 15. Location of Proposed Project. Enter the county and state where the proposed project
is located. If more space is required, please attach a sheet with the necessary information marked
Block 15.

Block 16. Other Location Descriptions. If available, provide the Section, Township, and Range
of the site and / or the latitude and longitude. You may also provide description of the proposed
project location, such as lot numbers, tract numbers, or you nay choose to locate the proposed
project site from a known point (such as the right descending bank of Smith Creek, one mile
downstream from the  Highway  14 bridge). If a large river or stream, include the river mile of the
proposed project site if known.

Block 17. Directions  to the Site. Provide directions to the site  from a known location or
landmark. Include highway and street numbers as well as names. Also provide distances from
known locations and any other information that would assist in locating the site.

Block 18. Nature of Activity. Describe the overall activity or project. Give appropriate
dimensions of structures such as wingwalls, dikes (identify the  materials to be used in
construction, as well as the methods by which the work is to be done), or excavations (length,
width, and height). Indicate whether discharge of dredged or fill material is involved. Also,
identify any structure  to be constructed on a fill, piles, or float-supported platforms.

The written descriptions and illustrations are an important part  of the application. Please
describe, in detail, what you wish to do. If more space is needed, attach an extra sheet of paper
marked Block 18.

Block 19. Proposed Project Purpose. Describe the purpose and need for the proposed project.
What will it be used for and why? Also include a brief description of any related activities to be
developed as the result of the proposed project.  Give the approximate dates you plan to both
begin and complete all work.

Block 20. Reasons for Discharge. If the activity involves the discharge of dredged and/or fill
material into a wetland or other waterbody, including the temporary placement of material,
explain the specific purpose  of the placement of the material (such as  erosion control).

Block 21. Types of Material Being Discharged and the Amount of Each Type in Cubic
Yards. Describe the material to be discharged and amount of each material to be discharged
within Corps jurisdiction. Please be sure this description will agree with your illustrations.
Discharge material includes: rock, sand, clay, concrete,  etc.

Block 22. Surface Areas of Wetlands or  Other Waters Filled. Describe the area to he filled  at
each location. Specifically identify the surface areas, or part thereof, to be filled. Also include
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the means by which the discharge is to be done (backhoe, dragline, etc.). If dredged material is to
be discharged on an upland site, identify the site and the steps to be taken (if necessary) to
prevent runoff from the dredged material back into a waterbody. If more space is needed, attach
an extra sheet of paper marked Block 22.

Block 23. Is Any Portion of the Work Already Complete"? Provide any background on any
part of the proposed project already completed. Describe the area already developed, structures
completed, any dredged or fill material already discharged, the type of material, volume in cubic
yards, acres filled, if a wetland or other waterbody (in acres or square feet). If the work was done
under an existing Corps permit, identity the authorization, if possible.

Block 24. Names and Addresses of Adjoining Property Owners, Lessees, etc., Whose
Property Adjoins the Project Site. List complete names and full mailing addresses of the
adjacent property owners (public and private) lessees, etc., whose property adjoins the
waterbody or aquatic site where the work is being proposed so that they may be notified of the
proposed activity (usually by public notice). If more space is needed, attach an extra sheet of
paper marked Block 24.

Information regarding adjacent landowners is usually available through the office of the tax
assessor in the county or counties where the project is to be developed.

Block 25. Information about Approvals or Denials by Other Agencies. You may need  the
approval of other federal, state, or local agencies for your project. Identify any applications you
have  submitted and the status, if any (approved or denied) of each application. You need not
have  obtained all other permits before applying for a Corps permit.

Block 26. Signature of Applicant or Agent. The application must be signed by the owner or
other authorized party (agent). This signature shall be an affirmation that the party applying for
the permit possesses the requisite property rights to undertake the activity applied for (including
compliance with special conditions, mitigation, etc.).
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Managing Your Environmental Responsibilities                                Section II - Dredge and Fill/Wetlands Checklist

                           DRAWINGS AND ILLUSTRATIONS

General Information.

Three types of illustrations are needed to properly depict the work to be undertaken. These
illustrations or drawings are identified as a Vicinity Map, a Plan View or a Typical Cross-
Section Map. Identify each illustration with a figure or attachment number.

Please submit one original, or good quality copy, of all drawings on 8'/z x  I 1 inch plain white
paper (tracing paper or film may be substituted). Use the fewest number of sheets necessary for
your drawings or illustrations.

Each illustration should identify the project, the applicant, and the type of illustration (vicinity
map,  plan view, or cross section) While illustrations need not be professional (many small,
private project illustrations are prepared by hand), they should be clear, accurate, and
contain all necessary information.
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Managing Your Environmental Responsibilities                    Section III - Oil Spill Prevention Checklist

III.    OIL SPILL PREVENTION SELF-AUDIT CHECKLIST

       This section contains a checklist and associated background information on the U.S.
Environmental Protection Agency's (EPA) oil spill requirements for construction activities,
developed under Section 311 of the Clean Water Act (CWA). If a construction site consumes,
stores, transfers, or otherwise handles oils, appropriate preparation will need to be taken to
prevent oil spills, and to take action in case of a spill.

       For oil spill prevention and response, construction sites must follow EPA's Spill
Prevention Control and Countermeasures Plan (SPCC Plan) requirement.  A construction project
must meet SPCC requirements if it meets the following three criteria:

       1.     The site stores, uses, transfers, or otherwise handles oil;

       2.     The site has a maximum aboveground storage capacity greater than 1,320 gallons
             of oil (which includes both bulk and operational storage volumes) OR total
             underground storage capacity greater than 42,000 gallons of oil; AND

       3.     There is a reasonable expectation (based on location of the site) that an oil spill
             would reach navigable waters or adjoining shorelines of the United States.

       The Background discussion following the checklist and Section V of Part I of this Guide
provide more detailed information on SPCC program requirements including instructions on
calculating aboveground storage volume.  Attachment A to this checklist includes information
on the August 2002 updates to the SPCC rule.  The current compliance dates for the new rule are
as follows:

       •     February 17, 2006: Facilities must prepare and certify (using a Professional
             Engineer, or P.E.) an SPCC Plan in accordance with the new SPCC rule.

       •     August 18, 2006: The revised SPCC Plan must be implemented.

       Affected facilities that start operations between August  16, 2002 and August 18, 2006
must prepare and implement an SPCC Plan by August 18, 2006. Affected facilities that become
operational after August 18, 2006 must prepare and implement an SPCC Plan before starting
operations.
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Managing Your Environmental Responsibilities
Section III - Oil Spill Prevention Checklist
                  CHECKLIST FOR OIL SPILL REQUIREMENTS AT
                             CONSTRUCTION ACTIVITIES
BACKGROUND INFORMATION
Name of Auditor:
Date of Audit:
Name of Project/Site:
There are three parts to this checklist.  The first part covers the spill prevention control and
countermeasure (SPCC) written requirements. The second part is a field checklist for inspecting
oil storage areas. The third part is a checklist for determining whether requirements are met
following an on-site oil spill.

A "notes" area is provided at the end of each section of this checklist. For every "No" answer,
enter a description of the missing information and the action required to bring the site into
compliance into the "notes" area.

WHAT REQUIREMENTS APPLY?
 Yes   No
a a
a a
a a
1 . Does the construction site meet the following requirements?
Stores, uses, transfers, or otherwise handles oil.
Has a maximum aboveground storage capacity greater than 1
of oil OR total underground storage capacity greater than 42,
of oil1.
Reasonable expectation (based on location of site) that an oil
reach navigable waters or adjoining shorelines of the U.S.
If yes to all of the above, the site must meet the requirements of EPA
program.
,320 gallons
000 gallons
spill would
's SPCC
1 The following items are exempt from SPCC calculations and requirements: completely buried tanks subject to all
the technical requirements of the underground storage tank regulation (40 CFR Part 280/281), storage tanks with less
than 55-gallon capacity, and permanently closed tanks.
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Managing Your Environmental Responsibilities
                                              Section III - Oil Spill Prevention Checklist
 Yes    No
 a      a
2. Does the construction site meet the following requirements for "substantial
harm" sites?

       Transfers oil over water and has a total oil storage capacity of 42,000
       gallons, OR

       Total oil storage capacity greater than one million gallons.

If yes to either of the above, the site must meet Facility Response Plan
requirements. See http://www. epa. gov/oilspill/frps/index. htm.
                                  SPCC Plan Requirements
a
a
a

a


a

a

a


a
a
a
a
a

a

a
a
a

a


a

a

a


a
a
a
a
a

a

3. Is the SPCC Plan up to date?
4. Does the SPCC Plan include a Professional Engineer certification?
5. Does the SPCC plan follow the format listed in the rule OR cross-reference the
requirements in 40 CFR Part 112.7?
6. Does the SPCC plan include a site diagram that identifies the location and
contents of each container (including underground storage tanks that are
otherwise exempt from the SPCC requirements)?
7. For each container, does the SPCC Plan include the type of oil stored and
storage capacity?
8. Does the SPCC plan include site procedures for preventing oil spills (discharge
prevention measures and oil handling procedures)?
9. Does the SPCC Plan include oil spill predictions, including direction, flow
rate, and total quantity that could be discharged as a result of a major equipment
failure?
10. Does the SPCC Plan include site drainage?
1 1 . Does the SPCC plan include site inspection documentation?
12. Does the SPCC Plan include site security?
13. Does the SPCC Plan include management approval?
14. Does the SPCC Plan include requirements for mobile, portable containers
(e.g., totes, drums, or fuel vehicles)?
15. Does the SPCC plan identify secondary containment or diversionary
structures?
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Managing Your Environmental Responsibilities
Section III - Oil Spill Prevention Checklist
 Yes    No
a
a

a
a
a

a

a
a

a
a
a

a

16. Does the SPCC plan identify secondary containment for fuel transfer?
17. Does the SPCC plan include personnel training records and oil spill
briefings?
18. Does the SPCC Plan include tank integrity testing?
19. Does the SPCC Plan include bulk storage container compliance?
20. Does the SPCC Plan include transfer procedures and transfer equipment
information (including piping)?
21. If construction lasts five years, does the SPCC plan include the five-year plan
review?
                                   Meeting Oil Spill Requirements
a
a

a
a

a

a

a

a

a
a

a
a

a
a

a
a

a

a

a

a

a
a

a
a

22. Is the site following the SPCC Plan site security procedures?
23. Is the site following the SPCC Plan requirements for mobile, portable
containers (e.g., totes, drums, or fuel vehicles)?
24. Is the site following the SPCC Plan requirements for tank integrity testing?
25. Is the site following the SPCC Plan requirements for bulk storage container
compliance?
26. Is the site following the SPCC Plan transfer (loading and unloading)
procedures and maintaining transfer equipment (e.g., piping)?
27. Is the site regularly inspecting the oil storage containers to check for spills
and leaks?
28. Is the site following the procedures outlined in the SPCC Plan to prevent oil
spills?
29. Are the appropriate secondary containment or diversionary structures in
place?
30. Are the secondary containment practices for fuel transfer in place?
3 1 . Are all employees trained on how to prevent oil spills and what to do in the
event of an oil spill?
32. Do the SPCC records include written inspection procedures?
33. Do the SPCC records include inspection reports and any corrective actions
taken based on the inspection? These records must be maintained for three years.
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Managing Your Environmental Responsibilities                       Section III - Oil Spill Prevention Checklist




NOTES /ACTIONS NEEDED TO BRING SITE INTO COMPLIANCE:  	
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Managing Your Environmental Responsibilities                       Section III - Oil Spill Prevention Checklist
                            This Page Is Intentionally Left Blank
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Managing Your Environmental Responsibilities                     Section III - Oil Spill Prevention Checklist

              SELF-AUDIT FIELD CHECKLIST: SPCC REQUIREMENTS

Date of Audit/Self-Audit:  	
Auditor (name, title, qualifications): 	
Name & Location of Project/Site: 	
Oil Storage Area: 	

1. Is the site following the SPCC Plan transfer (loading and unloading) procedures and
maintaining transfer equipment (e.g., piping)?

Transfer Procedures and Observations:	
Corrective Actions Needed/Expected Completion Date:.
2. Are there any spills or leaks at the oil storage containers?

Container Locations and Observations:	
Corrective Actions Needed/Expected Completion Date:.
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Managing Your Environmental Responsibilities                     Section III - Oil Spill Prevention Checklist




3. Are the appropriate secondary containment or diversionary structures in place?





Containment Locations and Observations:	
Corrective Actions Needed/Expected Completion Date:.
4. Are the secondary containment practices for fuel transfer in place?




Containment Practices and Observations:	
Corrective Actions Needed/Expected Completion Date:.
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Managing Your Environmental Responsibilities                    Section III - Oil Spill Prevention Checklist

  SELF-AUDIT CHECKLIST: SPCC REQUIREMENTS FOLLOWING AN OIL SPILL

Date of Spill:  	
Description/Location of Spill:  	
Name & Location of Project/Site: 	
 Yes   No
a
a
a
a
a
a
a
a
a
a
a
a
a
a
1. If a spill resulting in a discharge to navigable waters or adjoining shorelines of
the United States has occurred, did the site notify the following?
Site Emergency Coordinator and any client representatives.
National Response Center (1-800-424-8802) - if oil discharge meets the
"sheen rule" (see Appendix A).
State Emergency Response Commission - if spill may potentially harm
people off site.
Local Emergency Planning Committee or local fire department - if spill
may potentially harm people off site.
2. If a spill has occurred, were the necessary response actions, as outlined in the
SPCC Plan, performed?
3. Was EPA notified of any spills over 1,000 gallons or of any two spills over 42
gallons within a 12-month period?
4. For any reportable oil spills, did the site add a copy of the report with oil spill
details to the SPCC Plan documentation? The oil spill details should include
corrective actions taken, cause of discharge, and additional preventive measures
taken.
NOTES /ACTIONS NEEDED TO BRING SITE INTO COMPLIANCE:
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Managing Your Environmental Responsibilities                       Section III - Oil Spill Prevention Checklist
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Managing Your Environmental Responsibilities                    Section III - Oil Spill Prevention Checklist

        BACKGROUND ON OIL SPILL PREVENTION REQUIREMENTS FOR
                             CONSTRUCTION ACTIVITIES

DEFINITIONS

       •      Bulk Storage Container. Any container used to store oil. These containers are
              used for purposes including, but not limited to, the storage of oil prior to use,
              while being used, or prior to further distribution in commerce. Oil-filled
              electrical, operating, or manufacturing equipment is not a bulk storage container.
              Bulk storage containers include items such as tanks, containers, drums, and
              mobile or portable totes.

       •      Oil. Oil of any kind or in any form, including, but not limited to: petroleum; fuel
              oil; sludge; oil refuse; oil mixed with wastes other than dredged spoil; fats, oils or
              greases of animal, fish, or marine mammal origin; vegetable oils, including oil
              from seeds, nuts, fruits, or kernels; and other oils and greases, including synthetic
              oils and mineral oils.

       •      Storage Capacity. The shell capacity of the container (i.e., the maximum volume
              of the storage container used to store oil, not the actual amount of product stored
              in the container).

APPLICABILITY

       The construction project must adhere to SPCC program requirements if it meets the
following three criteria:

       1.     Stores, uses, transfers, or otherwise handles oil;

       2.     Has a maximum aboveground storage capacity greater than 1,320 gallons of oil
              (which includes both bulk and operational storage volumes) OR total
              underground storage capacity greater than 42,000 gallons of oil; AND

       3.     There is a reasonable expectation (based on location of the site) that an oil spill
              would reach navigable waters or adjoining shorelines of the United States.
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Managing Your Environmental Responsibilities                    Section III - Oil Spill Prevention Checklist

CALCULATING STORAGE CAPACITY

       To calculate the maximum aboveground storage capacity at the site, add together the
capacity of the following:

       •      Aboveground oil storage tanks;

       •      Fuel/fluid tanks on mobile equipment; and

       •      Fuel/fluid tanks on other operation/construction equipment (e.g., fuel tanks on
              bulldozers, cranes, and backhoes).

       For storage capacity calculations, do not include the following oil tanks: completely
buried tanks subject to all the technical requirements of the underground storage regulation,
tanks (aboveground or underground, including mobile and operation/construction equipment
tanks) with storage capacity less than 55 gallons, and permanently closed tanks.

       If the site's storage capacity exceeds 1,320 gallons, it must meet the SPCC requirements.

OIL SPILL REQUIREMENTS

       If the site meets the storage capacity criteria, it must prepare and follow spill prevention
plans to avoid oil spills into navigable waters or adjoining shorelines of the United States. The
plan must identify operating procedures in place and control measures installed to prevent oil
spills, and countermeasures to contain, clean up, or mitigate the effects of any oil spills that
occur. The plan must be updated  as conditions change at the construction site. Specific items in
the SPCC plan include the following:

       •      Professional Engineer certification;

       •      For plans not following the format listed in the rule (e.g., plans developed for a
              combined Stormwater Pollution Prevention Plan and SPCC Plan), cross-
              references to the requirements in 40 CFR Part 112.7;

       •      Site diagram that identifies the location and contents of each container (including
              completely buried  tanks that are otherwise exempted from the SPCC
              requirements);

       •      For each container, the type of oil stored and the storage capacity;

       •      Discharge prevention measures, including  procedures for oil handling;


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Managing Your Environmental Responsibilities                     Section III - Oil Spill Prevention Checklist

       •      Predictions of direction, flow rate, and total quantity of oil that could be
              discharged from the site as a result of a major equipment failure;

       •      Site drainage;

       •      Site inspections;

       •      Site security;

       •      Five-year plan review (if construction lasts five years);

       •      Management approval;

       •      Requirements for mobile, portable containers (e.g., totes, drums, or fuel vehicles
              that remain on the construction site);

       •      Appropriate secondary containment or diversionary structures;

       •      Secondary containment for fuel transfer;

       •      Personnel training and oil  spill prevention briefings;

       •      Tank integrity testing;

       •      Bulk storage container compliance; and

       •      Transfer procedures and equipment (including piping).

       Spill Response Requirements

       If a spill occurs, the site must follow the spill response procedures outlined in the SPCC
Plan. These procedures should include identifying the spilled material, preventing (or
restricting) additional leaks from the container, confining the spill area with absorbent materials
or dikes, beginning cleanup (remediation and decontamination) of the spill areas, and notifying
all of the appropriate parties.

       In the event of an  oil  spill, the construction site Emergency Coordinator and any client
representatives should be notified. If the oil spill results in a discharge, the National Response
Center must be notified at 1-800-424-8802. 40 CFR Part 110 defines an oil discharge as a
quantity that:



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Managing Your Environmental Responsibilities                     Section III - Oil Spill Prevention Checklist

       •      Violates applicable water quality standards;

       •      Causes a film or "sheen" upon, or discoloration of, the surface water or adjoining
              shorelines; or

       •      Causes a sludge or emulsion to be deposited beneath the surface of the water or
              upon adjoining shorelines.

This is referred to as the "sheen rule." If the oil spill has the potential to harm people off site, the
State Emergency Response Commission and Local Emergency Planning Committee (or local fire
department) must also be  notified.

       Facility Response Plans

       In addition to SPCC requirements, the Clean Water Act/Oil Pollution Act (CWA/OPA)
requires Facility Response Plans for "substantial harm" sites. Substantial harm sites include:

       •      Sites that transfer oil over water AND have a total oil storage capacity of 42,000
              gallons or more; or

       •      Sites with a total oil storage capacity greater than one million gallons.

Construction sites are not expected to meet the definition of "substantial harm"; however, if the
site does meet one of the definitions above, the Facility Response Plan requirements should be
reviewed at http://www.epa.gov/oilspill/frps/index.htm.
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Managing Your Environmental Responsibilities                    Section III - Oil Spill Prevention Checklist

                  Attachment A. August 2002 Update of the SPCC Rule

       This attachment highlights how the August 2002 update of the SPCC rule may affect the
construction site.

What Are the Major Changes to the SPCC Rule?

       •      Individual aboveground tanks with storage capacity greater than 660 gallons of
              oil are no longer regulated unless the total site capacity is greater than 1,320
              gallons of oil.

       •      The following are exempt from the storage capacity calculations and SPCC
              requirements:

              —     Completely buried storage tanks subject to all of the technical
                     requirements of the underground storage tank (UST) regulations (40 CFR
                     Parts 280 or 281), and

              —     Tanks with a storage capacity of 55 gallons or less.

       •      Sites do not need to report oil spills to EPA unless the site has:

              —     Two discharges (over 42  gallons) in any 12-month period, or
              —     A single discharge of more than 1,000 gallons.

       •      The rule allows deviations from most provisions (with the exception of secondary
              containment requirements) when equivalent environmental  protection is provided.

       •      The rule provides for a flexible plan format, but requires a cross-reference
              showing that all regulatory requirements are met.

       •      The rule clarifies applicability to the storage and operational use of oil.

When Do I Need to Meet the New SPCC Rule Requirements?

       On July 16, 2002, EPA promulgated a revised final SPCC regulation, which became
effective August 17, 2002. EPA subsequently extended the regulatory compliance schedule
included in the new SPCC rule.
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Managing Your Environmental Responsibilities                    Section III - Oil Spill Prevention Checklist

       The current compliance dates for the new rule are as follows:

       •      February 17, 2006: Facilities must prepare and certify (using a Professional
              Engineer, or P.E.) an SPCC Plan in accordance with the new SPCC rule.

       •      August 18, 2006: The revised SPCC Plan must be implemented.

       Affected facilities that start operations between August  16, 2002 and August 18, 2006
must prepare and implement an SPCC Plan by August 18, 2006. Affected facilities that become
operational after August 18, 2006 must prepare and implement an SPCC Plan before starting
operations.
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Managing Your Environmental Responsibilities              Section IV - Hazardous Waste Self-Audit Checklist

IV.    HAZARDOUS WASTE SELF-AUDIT CHECKLIST

       This section contains a checklist and associated background information on the U.S.
Environmental Protection Agency's (EPA) hazardous waste requirements for construction
projects. Hazardous wastes are regulated under Subtitle C of the Resource Conservation and
Recovery Act (RCRA), 40 CFR Parts 260 - 279. EPA may authorize states to take the lead on
RCRA Subtitle C programs.  EPA also authorizes states  to establish regulatory programs for
solid wastes, using federal guidelines provided in Subtitle D of RCRA.  In addition, states
regulate construction and demolition (C&D) debris.

       This document includes a checklist for Subtitle C requirements for generators of
hazardous waste. Operators of construction projects can use the checklist to identify who will
be responsible for addressing each requirement, and to conduct a self-audit of their construction
site. The checklist also can be used by compliance inspectors to conduct an inspection of a
construction project.

       Construction projects may be subject to state or local regulations under RCRA Subtitle C.
Check with the EPA Region  or state in which the construction project is located to determine the
hazardous and non-hazardous solid waste handling requirements  that apply to the site.

       Background information on federal hazardous waste requirements follows the checklist.
Attachment A provides a list of materials at construction sites that may be covered by the RCRA
Subtitle C requirements.  Attachment B lists exclusions for hazardous wastes.  Attachment C
includes a list of the hazardous wastes regulated by RCRA  Subtitle C.

       This checklist applies to hazardous waste requirements only. For non-hazardous solid
waste and construction and demolition waste requirements, check with the state or local
regulatory agency.

       Section VI in Part I of this guide contains a more detailed discussion on hazardous and
non-hazardous solid waste requirements.
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Managing Your Environmental Responsibilities
Section IV- Hazardous Waste Self-Audit Checklist
           CHECKLIST FOR HAZARDOUS WASTE REQUIREMENTS FOR
                             CONSTRUCTION PROJECTS

BACKGROUND INFORMATION
Name of Auditor:
Date of Audit:
Name of Project/Site:
There are three parts to this checklist. The first part covers identifying hazardous waste,
determining generator size, and meeting the hazardous waste storage requirements. The second
part is a field checklist for inspecting hazardous waste storage areas.  The last part is a field
checklist for transporting hazardous waste.

A "notes" area is provided at the end of each section of this checklist. For every "No" answer,
enter a description of the missing information and the action required to bring the site into
compliance in the "notes" area.

IDENTIFYING HAZARDOUS WASTES (40 CFR Part 261)
Photocopy this page as many times as necessary to capture information on each of the hazardous
wastes present at the site.

Name of Material/Waste: 	
 Yes   No
a a
a a
a a
a a
1 . Is the material a solid waste (for RCRA Subtitle C purposes) - see the
definition in Background (following the checklist)?
2. Is the material excluded from the definition of solid waste or hazardous waste -
see Attachment B? If yes, the state should be contacted for any applicable
requirements.
State Contact:
Applicable Requirements:
3. Is the material a listed or characteristic hazardous waste - see Attachment C?
4. Is the waste a universal waste (i.e., hazardous waste batteries, hazardous waste
pesticides (either recalled or collected through waste pesticide collection
programs), hazardous waste thermostats, and hazardous waste lamps)? Specific
RCRA requirements apply to these wastes.
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Managing Your Environmental Responsibilities              Section IV - Hazardous Waste Self-Audit Checklist

REQUIREMENTS FOR HAZARDOUS WASTE GENERATORS (40 CFR Part 262)
 Yes   No
 a     a
 a     a
 a     a
5. Does the site generate <100 kilograms (220 pounds) of hazardous waste per
month and store < 1,000 kilograms (2,200 pounds) of hazardous waste? If yes,
the site is a Conditionally Exempt Small Quantity Generator (CESQG) and
should answer the applicable questions below. Note: Some state hazardous waste
management regulations do not recognize this generator status.
6. Does the site generate between 100 and 1,000 kilograms (220 - 2,200 pounds)
of hazardous waste per month and store <6,000 kilograms (13,200 pounds) of
hazardous waste?  If yes, the site is a Small Quantity Generator (SQG) and
should answer the applicable questions below.
7. Does the site generate 1,000 kilograms (2,200 pounds) or more of hazardous
waste per month OR store more than 6,000 kilograms (13,200 pounds) of
hazardous waste?  If yes, the site is a Large Quantity Generator (LQG) and
should answer the applicable questions below.
               Conditionally Exempt Small Quantity Generators (CESQG)
 CESQGs are exempt from requirements listed in 40 CFR Parts 262 through 270 if they meet
 the requirements in 40 CFR Part 261.5.
a


a
a

a
a
a

a

a


a
a

a
a
a

a

8. Did the site get an EPA Identification Number (i.e., a RCRA Hazardous Waste
Generator Number)1?
EPA Identification Number (if applicable) :


9. Is the waste properly accumulated in containers or tanks1?
10. Are the hazardous waste containers closed, marked as "Hazardous Waste,
and marked with the date when accumulation began1?
•)•>

1 1 . Does the site have specified emergency responses1?
12. Is the site's basic safety information readily accessible1?
13. Are site personnel familiar with proper handing of hazardous waste and site
emergency procedures1?
14. Does the site store greater than 2,200 pounds of hazardous waste? If yes,
site must start meeting the requirements for SQGs (see the checklist below).

the

'This is an optional federal requirement (40 CFR Part 261.5), but may be required by the state.

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Managing Your Environmental Responsibilities
                                     Section IV- Hazardous Waste Self-Audit Checklist
 Yes   No
                            Small Quantity Generators (SQG)
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
15. Did the site get an EPA Identification Number (i.e., a RCRA Hazardous
Waste Generator Number)?
EPA Identification Number (if applicable) :
16. Is the waste properly accumulated in containers or tanks (also see the Self-
Audit Field Checklist: RCRA Waste Storage Areas)!
17. Are the hazardous waste containers closed, marked as "Hazardous Waste,"
and marked with the date when accumulation began (also see the Self-Audit Field
Checklist: RCRA Waste Storage Areas)!
18. Does the site have specified emergency responses? (Note: a written
contingency plan is not required.)
19. Is the site's basic safety information readily accessible?
20. Are site personnel familiar with proper handing of hazardous waste and site
emergency procedures?
21. Does the site store hazardous waste for longer than 180 days? If yes, a
RCRA permit is required (see 40 CFR Part 270).
22. If stored for less than 180 days, does the site have documentation showing the
waste was shipped off site within 180 days?
                            Large Quantity Generators (LQG)
 a     a
 a     a
 a     a
23. Did the site get an EPA Identification Number (i.e., a RCRA Hazardous
Waste Generator Number)?

EPA Identification Number (if applicable): 	
24. Is the waste properly accumulated in containers, tanks, drip pads, or
containment buildings (also see the Self-Audit Field Checklist: RCRA Waste
Storage Areas)!
25. Are the hazardous waste containers closed, marked as "Hazardous Waste,"
and marked with the date when accumulation began (also see the Self-Audit Field
Checklist: RCRA Waste Storage Areas)!
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Managing Your Environmental Responsibilities
Section IV- Hazardous Waste Self-Audit Checklist
  Yes    No
a a
a a
a a
a a

a a
a a
a a
a a
a a
a a
26. Does the site store hazardous waste for longer than 90 days? If yes, a RCRA
permit is required (see 40 CFR Part 270).
27. If stored for less than 90 days, does the site have documentation showing the
waste was shipped off site within 90 days?
28. Does the site have an established personnel training program to educate
workers on the proper handling of hazardous waste?
29. Were the state and local authorities contacted to identify any additional
requirements for LQGs?
Contact Name /Department:
Date Contacted:
RCRA Waste Storage Requirements (LQG & SQG)
30. Is there a secure location to store the hazardous waste containers?
Location (s):
31. Do site personnel perform weekly inspections of the hazardous waste
containers?
32. Does the site have secondary containment around the hazardous waste
storage area (also see the Self-Audit Field Checklist: RCRA Waste Storage
Areas)!
33. Does the site have fire suppression equipment in the hazardous waste storage
area (also see the Self-Audit Field Checklist: RCRA Waste Storage Areas)!
34. Does the site have radio or telephone communication available in the
hazardous waste storage area (also see the Self-Audit Field Checklist: RCRA
Waste Storage Areas)!
35. Is an emergency coordinator on site or on call at all times?
Emergency Coordinator (s) :

How to Contact:
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Managing Your Environmental Responsibilities                Section IV - Hazardous Waste Self-Audit Checklist




NOTES /ACTIONS NEEDED TO BRING SITE INTO COMPLIANCE:  	
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Managing Your Environmental Responsibilities              Section IV - Hazardous Waste Self-Audit Checklist

        SELF-AUDIT FIELD CHECKLIST: RCRA WASTE STORAGE AREAS

Date of Audit/Self-Audit: 	
Auditor (name, title, qualifications): 	
Name & Location of Project/Site: 	
Name of Hazardous Waste Storage Area:
1. Is the waste properly accumulated in containers, tanks, drip pads, or containment buildings?

Accumulation Areas and Observations:	
Corrective Actions Needed/Expected Completion Date:.
2. Are the hazardous waste containers closed, marked as "Hazardous Waste, " and marked with
the date when accumulation began?

Accumulation Areas and Observations:	
Corrective Actions Needed/Expected Completion Date:.
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Managing Your Environmental Responsibilities              Section IV - Hazardous Waste Self-Audit Checklist




3. Is adequate secondary containment in place?




Accumulation Areas and Observations:	
Corrective Actions Needed/Expected Completion Date:.
4. Is fire suppression equipment available and working in the storage area?




Accumulation Areas and Observations:	
Corrective Actions Needed/Expected Completion Date:.
5. Is the radio or telephone communication available and working in the storage area?







Accumulation Areas and Observations:	
Corrective Actions Needed/Expected Completion Date:.
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Managing Your Environmental Responsibilities              Section IV - Hazardous Waste Self-Audit Checklist

    SELF-AUDIT FIELD CHECKLIST: TRANSPORTING HAZARDOUS WASTES

Date of Transport:  	
Auditor (name, title, qualifications): 	
Name & Location of Project/Site: 	
Type/Name Hazardous Waste:  	
 Yes    No
                  Preparation for Transport (LQG, SQG, & CESQG)
a
a
a
a
a
a
a
a
a
a
1 . Is the site using a licensed hazardous waste hauler for transport?
Hauler Name:
License Information:
2. Has the site properly packaged the hazardous waste to prevent leakage by
following Department of Transportation (DOT) requirements?
3. Is the hazardous waste properly labeled and marked?
4. Does the transporter have the proper placards to identify the characteristics and
dangers associated with the waste?
5. Has the site completed and signed the Uniform Hazardous Waste Manifest?
(See checklist below.)
                   Uniform Hazardous Waste Manifest Requirements
                   (EPA Form 8700-22, Appendix to 40 CFR Part 262)
   Note this is an optional federal requirement for CESQGs, but may be required by the state.
a
a
a
a
a
a
a
a
6. Does the manifest include the name, address, and EPA ID number of the
hazardous waste generator (the site), transporter, and designated treatment,
storage, and disposal facility (TSDF)?
7. Does the manifest include a description of the waste's hazards as required by
DOT rules?
8. Did the site provide the quantities of the waste being transported and the types
of containers?
9. Did the site complete the certification?
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Managing Your Environmental Responsibilities
                                      Section IV- Hazardous Waste Self-Audit Checklist
 Yes   No
 a     a
10. Did the site receive a copy of the signed and dated manifest from the
designated TSDF (within 45 days of shipment for LQG or within 60 days for
SQG)?  If no, did the site submit an "exception report" to EPA and the state?

Date of Exception Report Submittal (if applicable):	
NOTES /ACTIONS NEEDED TO BRING SITE INTO COMPLIANCE:
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Managing Your Environmental Responsibilities              Section IV - Hazardous Waste Self-Audit Checklist

            BACKGROUND ON HAZARDOUS WASTE REQUIREMENTS
                          FOR CONSTRUCTION PROJECTS

DEFINITIONS

       •      Construction and Demolition (C&D) Debris  Waste material that is produced
              in the process of construction, renovation, or demolition of structures. Structures
              include buildings of all types (both residential and nonresidential), roads, and
              bridges. Materials considered C&D debris include concrete, asphalt, wood,
              metals, gypsum wall board, and roofing.

       •      Disposal.  The discharge, deposit, injection, dumping, spilling, leaking, or placing
              of any solid waste or hazardous waste into or on any land or water so that such
              solid waste or hazardous waste or any constituent may enter the environment
              (e.g., emitted into the air or discharged into any waters, including ground water).

       •      Generator.  Any person, by site, whose act or process produces hazardous waste
              identified or listed in Part 261 (i.e., RCRA Subtitle C) or whose act first causes a
              hazardous waste to become subject to regulation. Note that the generator may not
              necessarily produce the waste. Generators fall under three size classes: 1) large
              quantity generators (LQG); 2) small quantity generators (SQG); and 3)
              conditionally exempt small quantity generators (CESQG). Most construction
              activities are considered  conditionally exempt small  quantity generators.

              CESQGs generate:

              —     < 220 pounds of hazardous waste  per month,
              —     < 2.2 pounds of acute hazardous waste, or
              —     < 220 pounds of contaminated soil, waste, or debris from the cleanup of an
                     acute hazardous waste spill.

              Acute hazardous wastes are denoted with the hazard code "H" or are P-listed
              wastes.

              SQGs generate between 220 and 2,200 pounds of hazardous waste per month.

              LQGs generate:

              —     > 2,200 pounds of hazardous waste per month,

              —     > 2.2 pounds of acute hazardous waste per month, or


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Managing Your Environmental Responsibilities              Section IV - Hazardous Waste Self-Audit Checklist

              —     > 220 pounds of contaminated soil, waste, or debris from the cleanup of an
                     acute hazardous waste spill.

       •      Hazardous Waste. A solid waste, or combination of solid wastes, which because
              of its quantity, concentration, or physical, chemical, or infectious characteristics
              may either cause, or significantly contribute to an increase in mortality or an
              increase in serious irreversible or incapacitating reversible illness; or pose a
              substantial present or potential hazard to human health or the environment when
              improperly treated, stored, transported, or disposed of, or otherwise managed.

       •      Hazardous Waste Management. The systematic control of the collection,
              source separation, storage, transportation, processing, treatment, recovery, and
              disposal of hazardous wastes.

       •      Solid Waste under RCRA Subtitle C. Discarded material by being either:

              —     Abandoned (i.e., disposed of, burned, or incinerated),

              —     Inherently waste-like (i.e., materials that pose a threat to human health and
                     the environment, such as certain dioxin-containing wastes),

              —     Military munition, or

              —     Recycled  (e.g.,  accumulated for speculative recycle).

       •      Solid Waste under RCRA Subtitle D.  Any garbage; refuse; sludge from a
              waste treatment plant, water supply treatment plant, or air pollution control
              facility; nonhazardous industrial wastes; and other discarded material including
              solid, liquid, semisolid, or contained gaseous material resulting from industrial,
              commercial, mining, agricultural, and community activities.

       •      Storage. When used in connection with hazardous waste, means the containment
              of hazardous waste, either on a temporary basis or for a period of years, in such a
              manner as not to constitute disposal of such hazardous waste.

       •      Treatment. When used in connection with hazardous waste, means any method,
              technique, or process, including neutralization, designed to change the physical,
              chemical, or biological character or composition of any hazardous waste so as to
              neutralize such waste or to render such waste nonhazardous, safer for transport,
              amenable for recovery, amenable for storage, or reduced in volume.  This includes
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Managing Your Environmental Responsibilities               Section IV - Hazardous Waste Self-Audit Checklist

              any activity or processing designed to change the physical form or chemical
              composition of hazardous waste so as to render it nonhazardous.

APPLICABILITY

       RCRA Subtitle C applies to:

       •      Generators of hazardous waste;

       •      Transporters of hazardous waste; and

       •      Treatment, storage, and disposal facilities for hazardous waste (typically not
              applicable to construction sites).

       RCRA Subtitle C requirements do not apply to CESQGs except for ensuring proper
disposal of hazardous wastes and getting a RCRA permit for storage of more than 2,200 pounds
of hazardous wastes. Note that states may regulate hazardous wastes differently. For example,
some states require CESQGs to meet the same requirements as small quantity generators.
Therefore, the state environmental department should be contacted to determine the site's
hazardous waste requirements.

       RCRA Subtitle D provides guidelines for states to develop their own solid waste
programs.  These can vary from state to state; therefore, the state should be contacted for the
applicable requirements (e.g., recycling standards, types of wastes prohibited from disposal in
RCRA Subtitle D landfills).

RCRA  SUBTITLE  C REQUIREMENTS

RCRA Subtitle C has several requirements:

       •      Preliminary notification to EPA of the generation, transportation, treatment,
              storage, or disposal of hazardous waste. Notify EPA within 90 days of this
              activity.  The notification includes site location, description of construction
              activity, and the hazardous waste being handled. The notification form and
              instructions can be found on line at: http://www.epa. gov/epaoswer/
              hazwaste/notify/notiform.pdf and http://www.epa.gov/epaoswer/hazwaste/
              notify/noti-ins.pdf.

       •      EPA may require  owners/operators of a construction site to perform monitoring,
              analysis,  and testing if there is a substantial hazard to human health or the
              environment. For example, if waste containers are uncovered during construction


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Managing Your Environmental Responsibilities              Section IV - Hazardous Waste Self-Audit Checklist

              activities, the site may need to analyze the waste to determine the extent of the
              hazard.

       •      Large and small quantity generators must perform the following:

              —     Identify and determine the amount of hazardous waste generated each
                     month (this determines generator status),

              —     Get an EPA identification (ID) number,

              —     Comply with accumulation and storage requirements (including training,
                     contingency planning, and emergency arrangements),

              —     Prepare waste for transportation,

              —     Track the shipment and receipt of such waste, and

              —     Meet recordkeeping and reporting requirements.

       •      A treatment, storage, and disposal facility (TSDF) permit is required if the site
              stores hazardous waste:

              —     Greater than 90 days for large quantity generators,

              —     Greater than 180 days for small quantity generators, and

              —     In quantities of 2,200 pounds or more for conditionally exempt small
                     quantity generators.

       •      Conditionally exempt small quantity generators are only required to perform the
              following:

              —     Identify hazardous waste,
              —     Comply with storage limit requirements, and
              —     Ensure proper hazardous waste treatment or disposal (on site or off site).

       •      Transporters of hazardous waste must follow recordkeeping, labeling, manifest,
              and transportation requirements.

       •      Sites cannot apply waste, used oil,  or any other contaminated material as a dust
              suppressant.


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Managing Your Environmental Responsibilities                 Section IV - Hazardous Waste Self-Audit Checklist

        •       Sites cannot perform underground injection of hazardous wastes into any drinking
                water source.
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Managing Your Environmental Responsibilities              Section IV - Hazardous Waste Self-Audit Checklist

   Attachment A.  Potential Hazardous Wastes at Construction Sites (RCRA Subtitle C)

       •      Ignitable wastes (flashpoint of less than 140 degrees) such as paint thinners,
              paints, paint and varnish strippers, epoxy resins, adhesives degreasers, and spent
              cleaning solvents.

       •      Corrosive wastes (acids with pH less than 2 or bases with pH greater than 12.5)
              such as rust removers, cleaning fluids, and battery acids.

       •      Reactive wastes (can explode or violently react) such as cyanide, plating waste,
              bleaches, waste oxidizers.

       •      Toxic wastes (meeting certain concentrations) such as materials containing metals
              (e.g., mercury, cadmium, or lead) or solvents (e.g., carbon tetrachloride or methyl
              ethyl ketone). Materials may include adhesives, paints, coatings, polishes,
              varnishes, thinners, and treated woods.

       •      Spent solvents listed under RCRA (hazardous waste code F).

       •      Discarded commercial chemical products containing listed chemicals under
              RCRA (hazardous waste codes P and U).

       •      Mercury-containing wastes (e.g., fluorescent bulbs, broken mercury switches,
              batteries, or thermostats).

       •      Lead-based paints  (note that lead-based paint debris from homes and residences is
              not covered by hazardous waste requirements).

       •      Used oil and hydraulic fluid.

       •      Soil contaminated with toxic or hazardous pollutants.

              To identify hazardous wastes at the construction site:

              —     Refer to the RCRA regulations at 40 CFR Part 261,

              —     Review the list of commonly reported hazardous wastes in EPA's
                     Notification of Regulated Waste Activities: Instructions and Forms
                     (available on-line at http://www.epa.gov/epaoswer/hazwaste/data/
                     form8700/8700-12.pdf). and
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Managing Your Environmental Responsibilities                Section IV - Hazardous Waste Self-Audit Checklist

               —     Contact the state or EPA Region for assistance (EPA's Notification of
                       Regulated Waste Activities: Instructions and Forms includes a list of state
                       contacts).
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Managing Your Environmental Responsibilities              Section IV - Hazardous Waste Self-Audit Checklist

              Attachment B. RCRA Subtitle C Hazardous Waste Exclusions

RCRA Subtitle C hazardous waste exclusions applicable to the construction industry include:

Exclusions from the definition of solid waste. Hazardous wastes must meet the definition of
solid wastes.  Exclusions applicable to the construction industry include the following:

       •      Radioactive waste;
       •      Spent sulfuric acid;
       •      Spent wood preservatives;
       •      Fuels comparable to pure or virgin fuels;
       •      Processed scrap metal;
       •      Shredded circuit boards;  and
       •      Zinc fertilizers made from recycled hazardous secondary materials.

Exclusions from the definition of hazardous waste. Exclusions applicable to the construction
industry include the following:

       •      Household hazardous waste;
       •      Wood treated with  arsenic;
       •      Petroleum-contaminated media and debris from underground storage tanks;
       •      Spent chlorofluorocarbon refrigerants; and
       •      Used oil filters.

Exclusions for waste generated in raw material, product storage, or manufacturing units.
This exclusion applies while the waste remains in the unit (e.g., tanks, vehicles).  This exclusion
does not apply to surface impoundments. Once the unit temporarily or permanently ceases
operation for 90 days, the waste is considered generated and subject to RCRA Subtitle C
provisions.

Exclusions for laboratory samples and waste treatability study samples  These samples are
small, discrete amounts of hazardous waste that are essential to ensure accurate characterization
and proper treatment of hazardous wastes.

Exclusions for dredged material regulated under the Marine Protection Research and
Sanctuaries Act of the Clean Water Act (CWA). Dredge materials subject to Section 404 of
the CWA or Section 103 of the Marine Protection, Research, and Sanctuaries Act are  excluded
from the definition of hazardous waste.
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Managing Your Environmental Responsibilities               Section IV - Hazardous Waste Self-Audit Checklist

Exclusion for Lead-Based Paint Debris from Homes and Residences  EPA classifies lead-
based paint debris generated by contractors in households as "household waste" and excludes
this debris from RCRA Subtitle C hazardous waste regulations.
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Managing Your Environmental Responsibilities              Section IV - Hazardous Waste Self-Audit Checklist

          Attachment C. Hazardous Wastes Regulated Under RCRA Subtitle C

Characteristic Wastes

1.      Ignitable waste. Waste having one of the following properties:

       •      Liquid,  other than an aqueous solution containing less than 24 percent alcohol by
              volume, with a flash point of less than 60°C (140 °F);

       •      Not a liquid and is capable, under standard temperature and pressure, of causing
              fire through friction, absorption of moisture or spontaneous chemical changes
              and, when ignited, burns so vigorously and persistently that it creates a hazard;

       •      Ignitable compressed gas;  or

       •      An oxidizer.

2.      Corrosive waste.  Waste having one of the following properties:

       •      Aqueous solution with pH < 2 or pH >12.5; or

       •      Liquid that corrodes steel at a rate of > 6.35 millimeters (0.250 inch) per year at a
              test temperature of 55 °C (130 °F).

3.      Reactive waste. Waste having one of the following properties:

       •      Can explode or violently react when exposed to water or under normal handling
              conditions;

       •      Can create toxic fumes or gases when exposed to water or under normal handling
              conditions;

       •      Meets the criteria for classification  as an explosive under DOT rules; or

       •      Generates toxic levels of sulfide or cyanide gas when exposed to a pH range of 2
              through 12.5.

4.      Toxic waste. Waste where the listed toxic chemical concentration exceeds the regulatory
       level when sampled using the Toxicity Characteristic Leaching Procedure (TCLP).  The
       following table lists wastes (and potential toxic chemicals) that may be generated at



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Managing Your Environmental Responsibilities
Section IV- Hazardous Waste Self-Audit Checklist
       construction sites and the corresponding hazardous waste regulatory level.  See 40 CFR
       Part 261.24 for a complete list of toxic chemicals and their regulatory level.
Construction Waste
Painting operation
waste
Cleaning fluids
Contaminated soil
Potential Toxic Pollutant
Chromium
Lead
Carbon tetrachloride
Methyl ethyl ketone
(MEK)
depends on the site
Regulatory Level
(mg/L) (a)
5.0
5.0
0.5
200.0

EPA
Hazardous
Waste Number
D007
D008
D019
D035

       (a) If the waste generated has any toxic chemical exceeding the regulatory level, the
       waste must be handled as a RCRA Subtitle C regulated hazardous waste.

Listed Wastes

1.     The FList. Wastes from nonspecific sources. Potential F List wastes for construction
       sites are spent solvent wastes and dioxin-bearing wastes.

2.     The KList. Wastes from specific sources.  Not applicable to construction sites.

3.     The P List. Discarded commercial chemical products.  The waste must contain one of the
       chemicals on the P List and the chemical in the waste must be unused and in the form of
       a commercial chemical product (i.e., either 100 percent pure, technical (or commercial)
       grade, or the sole active ingredient in a chemical formulation).

4.     The UList. Discarded commercial chemical  products.  The waste must contain one of the
       chemicals on the U List and the chemical in the waste must be unused and in the form of
       a commercial chemical product (i.e., either 100 percent pure, technical (or commercial)
       grade, or the sole active ingredient in a chemical formulation).

The complete list of RCRA-listed wastes can be found in 40 CFR Part 261  Subpart D, which can
be found electronically at http://ecfr. gpoaccess. gov/ under "Title 40 - Protection of
Environment."
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Managing Your Environmental Responsibilities                  Section V - Hazardous Substances Checklist

V.     HAZARDOUS SUBSTANCES (SUPERFUND LIABILITY) SELF-AUDIT
       CHECKLIST

       This section contains a checklist and associated background information on the U.S.
Environmental Protection Agency's (EPA) hazardous substance requirements. These
requirements fall under the Comprehensive Environmental Response, Compensation, and
Liability Act (CERCLA, also known as "Superfund") and the Emergency Planning and
Community Right-to-Know Act (EPCRA). The requirements of Superfund and EPCRA include
emergency planning and release reporting requirements.

       The construction  site may be affected by Superfund if:

       •     The site is listed on the National Priorities List (NPL);

       •     The site is a brownfield site;

       •     Soil, surface water, or groundwater tests indicate the presence of a hazardous
             substance, as defined by CERCLA; or

       •     A hazardous substance, as defined by CERCLA, is discovered during
             construction or demolition activities.

       If the site meets any of the above, site personnel should work with EPA to clean up any
hazardous substances.  If site personnel discover a hazardous substance at the site, they must
notify the National Response Center (1-800-424-8802).

       If a CERCLA-listed hazardous substance is released, the site may be subject to reporting
requirements. Notify the National Response Center (1-800-424-8802) when there is a hazardous
substance release in an amount equal to or greater than the reportable quantity for that substance
(CERCLA Section 103(a)).

       The construction  site may be affected by EPCRA emergency planning requirements if it
stores an extremely hazardous substance (EHS) as defined by EPCRA, or any substance
regulated by state or local authorities, and stores the substance above the designated Threshold
Planning Quantity, which varies by substance.  Planning requirements include providing
information to State Emergency Response Commissions (SERC) and Local Emergency Planning
Committees (LERC).

       If a hazardous substance (defined by EPCRA) or an EHS release occurs, the site may be
subject to reporting requirements under EPCRA Section 304. However, EPA has found that
most construction sites do not produce, use, or store EPCRA-listed hazardous substances or EHS


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Managing Your Environmental Responsibilities                   Section V - Hazardous Substances Checklist

and are not subject to the requirements of EPCRA.  Therefore, this guide provides only a brief
discussion and checklist on EPCRA requirements.

       The list of hazardous substances subject to CERCLA and EPCRA reporting requirements
(and the respective reportable quantities) can be found in EPA's Consolidated List of Chemicals
Subject to the Emergency Planning and Community Right-To-Know Act (EPCRA) and Section
112(r) of the Clean Air Act (EPA 550-B-01-003,  http://yosemite.epa.gov/oswer/ceppoweb.nsf/
vwResourcesByFilename/titleS .pdf/$File/title3 .pdf).

       Section VII in Part 1 of this guide and the Background section following the checklist
provide more details on the Superfund and EPCRA program requirements.
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Managing Your Environmental Responsibilities
                                               Section V - Hazardous Substances Checklist
                 CHECKLIST OF SUPERFUND REQUIREMENTS FOR
                            CONSTRUCTION ACTIVITIES
BACKGROUND INFORMATION
Name of Auditor:
Date of Audit:
Name of Project/Site:
A "notes" area is provided at the end of each section of this checklist. For every "No" answer,
enter a description of the missing information and the action required to bring the site into
compliance in the "notes" area.
PRE-PLANNING ISSUES/APPLICABILITY
 Yes   No
 a     a
 a     a
 a     a
 a
 a
a
a
     1. Prior to bidding on a construction project, was the site researched to determine
     if it is a Superfund site or National Priorities List (NPL) site? EPA's database is
     located at: http://cfpub.epa.gov/supercpad/cursites/srchsites.cfm.
     2. Was a historical review of the construction site conducted to determine the
     possible presence of hazardous substances? The review should include the
     following:

            Historical records to determine site's previous uses.

            Historical aerial photographs to identify potential areas of contamination.

            State/local files to identify past environmental concerns.
     3. If the site is a Superfund or brownfield property, was it determined whether
     there are specific issues associated with the site (e.g., are there ongoing or
     remaining cleanup or long-term maintenance obligations associated with the
     site)?
4. Have any hazardous substances been discovered during construction or
demolition activities?
5. If hazardous substances are suspected, was the soil, surface water, or
groundwater sampled and analyzed?
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Managing Your Environmental Responsibilities                   Section V - Hazardous Substances Checklist

NOTES /ACTIONS NEEDED TO BRING SITE INTO COMPLIANCE:  	
SUPERFUND REQUIREMENTS
 Yes   No

a a
Brownfield Requirements
6. Did the site follow the steps of the Brownfields Program if the construction
site is a brownfield site? More information is available at the following web site:
http://www.epa.gov/swerosps/bf/index.html.
If a Hazardous Substance Is Found at the Site
a
a

a

a

a
a

a

a

7. Was the National Response Center (1-800-424-8802) contacted?
8. Did the site coordinate with EPA regarding any necessary site cleanup
activities?
9. Did the site properly handle, store, transport, and dispose of the discovered
(i.e., generated) waste?
10. Are the documents/records containing hazardous substance information
maintained?
                     If a Hazardous Substance Is Released at the Site
 a     a
11. Did the amount of hazardous substance released meet or exceed the
reportable quantity (RQ)?
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Managing Your Environmental Responsibilities
Section V - Hazardous Substances Checklist
 Yes    No

a
a

a

a
a
a


a
a

a

a
a
a

12. If the RQ has been met, did the site notify the:
National Response Center (1-800-424-8802)?
State Emergency Response Commission - if the release may potentially
affect off-site persons?
Local Emergency Planning Committee - if the release may potentially
affect off-site persons?
13. Did the site properly clean up the release (or arrange for proper cleanup)?
14. Did the site provide notice in local newspapers serving the affected area?
15. Are the documents/records about the hazardous substance release
maintained?
NOTES /ACTIONS NEEDED TO BRING SITE INTO COMPLIANCE:
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Managing Your Environmental Responsibilities                  Section V - Hazardous Substances Checklist

   CHECKLIST OF EPCRA REQUIREMENTS FOR CONSTRUCTION ACTIVITIES

BACKGROUND INFORMATION
Name of Auditor:
Date of Audit:
Name of Project/Site:
 Yes    No
a
a
a
a
a
a
a
a
a
a
1. Does the site produce, use, or store hazardous substances or extremely
hazardous substances (EHS), as defined by EPCRA?
2. If the site produces, uses, or stores hazardous substances or EHS, was the
information provided to the State Emergency Response Commission (SERC) and
Local Emergency Planning Committee (LEPC) for planning purposes?
3. If a hazardous substance release occurred, did the release meet the reportable
quantity and have the potential to affect off-site persons? If yes, were the SERC
and LEPC notified?
4. If a release has occurred, were the necessary response actions performed?
5. Are the documents/records about the hazardous substance release maintained?
NOTES /ACTIONS NEEDED TO BRING SITE INTO COMPLIANCE:
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Managing Your Environmental Responsibilities                   Section V - Hazardous Substances Checklist

      BACKGROUND ON HAZARDOUS SUBSTANCES REQUIREMENTS FOR
                           CONSTRUCTION ACTIVITIES

DEFINITIONS

       •     Brownfield.  A property where any expansion, redevelopment, or reuse may be
             complicated by the presence or potential presence of a hazardous substance,
             pollutant, or contaminant, not including sites that are part of a planned or ongoing
             removal action or are on the National Priorities List.

       •     Extremely Hazardous Substances (EHSs). Chemicals that most likely induce
             serious acute reactions following short-term airborne exposure (defined at 40
             CFR Part 355). The list of extremely hazardous substances subject to EPCRA
             reporting requirements can be found in EPA's Consolidated List of Chemicals
             Subject to the Emergency Planning and Community Right-To-Know Act (EPCRA)
             and Section 112(r) of the Clean Air Act (EPA 550-B-01-003). Note that an
             extremely hazardous  substance may also be included in the CERCLA list of
             hazardous substances.

       •     Hazardous Substances. Defined in CERCLA Section 101(14) and includes
             hazardous air pollutants (designated in Section 112(b) of the Clean Air Act),
             radionuclides, toxic pollutants (designated in Section 307(a) of the Clean Water
             Act), elements and compounds that present an imminent danger to public health
             when discharged into waters of the United States (designated in Section
             31 l(b)(2)(A) of the Clean Water Act), TSCA substance that EPA has taken action
             against (currently none), RCRA-listed hazardous wastes and characteristic wastes.
             The list of hazardous substances subject to CERCLA and EPCRA reporting
             requirements can be found in EPA's Consolidated List of Chemicals Subject to
             the Emergency Planning and Community Right-To-Know Act (EPCRA) and
             Section 112(r) of the Clean Air Act (EPA 550-B-01-003). Certain substances are
             excluded from CERCLA and/or EPCRA reporting requirements.

       •     National Priorities List (NPL). The list of national priorities among the known
             releases or threatened releases of hazardous substances, pollutants, or
             contaminants throughout the United States and its territories. The NPL is intended
             primarily to guide EPA in determining which sites warrant further investigation.

       •     Release.  Any spilling, leaking, pumping, pouring, emitting, emptying,
             discharging, injecting, escaping, leaching, dumping, or disposing into the
             environment, including abandonment or discarding of barrels, containers, and
             other closed receptacles containing any hazardous substance.


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Managing Your Environmental Responsibilities                   Section V - Hazardous Substances Checklist

       •      Reportable Quantity. Amount of hazardous substance (or extremely hazardous
              substance) released into the environment within a 24-hour period that must be met
              or exceeded before emergency release notification requirements are triggered.
              Reportable quantities are listed in EPA's Consolidated List of Chemicals Subject
              to the Emergency Planning and Community Right-To-Know Act (EPCRA) and
              Section 112(r) of the Clean Air Act (EPA 550-B-01-003).

SUPERFUND APPLICABILITY

       The construction site may be affected by  Superfund and federal cleanup activities if it is a
brownfield site, listed on the NPL, or CERCLA-defined hazardous substances are present at the
site. If a CERCLA-listed hazardous substance is discovered during construction/demolition
activities or based on soil, air, or water test results, the National Response Center (1-800-424-
8802) must be notified.

       If a hazardous substance is released into the environment, the site may be subject to
reporting requirements.  Notify the National Response Center (1-800-424-8802) when there is a
hazardous substance release in an amount equal to or greater than the reportable quantity for that
substance (CERCLA Section 103(a)). Depending on the substance, the reportable quantity may
be 1, 10, 100, 1,000, or 5,000 pounds within a 24-hour period.

       EPA uses these notifications to identify sites that require federal response (i.e., cleanup).
CERCLA was originally enacted to address hazardous substances at inactive or abandoned sites.
The Superfund program is administered by EPA  in cooperation with individual states and tribal
governments. The program includes a revolving  Trust Fund used by EPA and other agencies to
clean up hazardous waste sites where no responsible party can be identified. Site personnel
should work with EPA to clean up any discovered or released hazardous substances.

       Responsibility for the cleanup of hazardous waste usually falls on the "generator" (i.e.,
person whose activity first produces the waste).  However, if soils containing a hazardous
substance (e.g., waste pesticides) are excavated or spread, site personnel may be responsible
under CERCLA  as an operator, arranger, or transporter. For example:

       •      Site personnel may be an operator if they spread soil that contains a hazardous
              substance on the land.

       •      Site personnel may be an arranger if they dispose of a hazardous substance or
              arrange to have it removed from the construction site. For example, if soil that
              contains pollutants buried by  a previous owner is excavated and spread, the
              person who spread the soil may be liable for disposal of a hazardous substance.
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Managing Your Environmental Responsibilities                   Section V - Hazardous Substances Checklist

       •      Site personnel may be a transporter if they move a hazardous substance from one
              location to another. For example, they may be liable if they transport dioxin-
              contaminated soil even if they did not know the  soil contained dioxin.

SUPERFUND REQUIREMENTS

       Hazardous Substance Discoveries

       If hazardous materials or contaminated soil, surface water, or groundwater are discovered
at the construction site, the National Response Center must be notified at 1-800-424-8802. The
site may be entered into the Comprehensive Environmental Response, Compensation, and
Liability Information System (CERCLIS), EPA's computerized inventory of potential hazardous
substance release sites. When this happens, the responsible parties should work with EPA to
evaluate the severity of the problem  and develop remedies. The evaluation includes determining
the potential for a release of hazardous substances from the site through these steps in the
Superfund cleanup process:

       •      Preliminary Assessment/Site Inspection (PA/SI) - Investigate the site conditions;

       •      Hazard Ranking System (HRS) Scoring - Based on the results of the PA/SI, rate
              the site and determine if it should be placed on the NPL; and

       •      NPL Site Listing Process - Based on the HRS score, EPA lists the most serious of
              the sites for further investigation and possible long-term cleanup.

       If the construction site is placed on the NPL, the responsible parties must work with EPA
to conduct several steps to clean up the site, including:

       •      Remedial Investigation/Feasibility Study (RI/FS) - Investigate the NPL site to
              determine the nature and extent of contamination as well as the potential
              treatment options;

       •      Records of Decision (ROD) - Use the results of the RI/FS to explain which
              cleanup alternatives will be used at the NPL site;

       •      Remedial Design/Remedial Action (RD/RA) - Design the cleanup technology and
              begin the site cleanup process;

       •      Construction Completion - Complete any required construction activities or
              remove the site from the NPL; and
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Managing Your Environmental Responsibilities                  Section V - Hazardous Substances Checklist

       •      Postconstruction Completion - Once construction is complete, begin cleanup and
              maintenance programs that will provide for the long-term protection of human
              health and the environment.

       Superfund Release Reporting

       If there is a hazardous substance release exceeding the reportable quantity for CERCLA
at the site, the National Response Center must be notified immediately at 1-800-424-8802. The
State Emergency Response Commission (SERC) and Local Emergency Planning Committee
(LEPC) should also be notified if the release may affect off-site persons. In addition to these
notifications, a notice must be published to potentially injured parties in local newspapers
serving the affected area.

       The CERCLA definition of release specifically excludes emissions from engine exhaust
of a motor vehicle, rolling stock, aircraft, vessel, or pipeline pumping station engines; certain
releases of nuclear materials; the normal application of fertilizers in  accordance with product
instructions; and application of pesticide products registered under the Federal Insecticide,
Fungicide, and Rodenticide Act (FIFRA).

       Federally permitted releases are also excluded from the CERCLA (and EPCRA)
notification requirements, including releases regulated by National Pollutant Discharge
Elimination System (NPDES) permits, Dredge and Fill (Clean Water Act Section 404) permits,
RCRA-permitted units, clean dumping and incineration permits, Clean Air Act permits, publicly
owned treatment works (POTW) pretreatment agreements, and nuclear materials under the
Atomic Energy Act.

EPCRA PLANNING AND REPORTING APPLICABILITY

       The construction site may be affected by EPCRA emergency planning requirements if it
stores an extremely hazardous substance (EHS), or any substance regulated by the state or local
authority, and  stores the  substance above the designated Threshold Planning Quantity, which
varies by substance.  Planning requirements include providing information to SERCs and
LERCs. EHSs are defined at http://yosemite.epa. gov/oswer/ceppoweb.nsf/content/
chemicalinfo.htm. Threshold Planning Quantities can be found at http://yosemite.epa.gov/oswer/
ceppoweb.nsf/vwResourcesByFilename/title3.pdf/$File/ti tle3.pdf

       To trigger EPCRA Section 304 reporting requirements, the construction site must:

       •      Release a hazardous substance or EHS (as defined by EPCRA) with the potential
              to affect off-site persons; AND
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Managing Your Environmental Responsibilities                   Section V - Hazardous Substances Checklist

       •     Release the hazardous substance or EHS in an amount that meets or exceeds the
             reportable quantity within a 24-hour period; AND

       •     Produce, use, or store the hazardous substance or EHS.

EPCRA PLANNING AND REPORTING REQUIREMENTS

       If EPCRA applies to the construction project, the SERC/LEPC may require information
on the presence of hazardous chemicals and their releases (accidental or routine).  In addition,
the SERC/LEPC may have additional requirements. EPA has found that most construction sites
are not subject to EPCRA requirements.

       If the site produces, uses, or stores a hazardous substance or EHS defined by EPCRA, it
may be  subject to reporting requirements. Notify the SERC and LEPC when there is a release in
an amount equal to or greater than the reportable quantity for that substance (EPCRA Section
304(a))  and the release may potentially affect off-site persons.  The notice to the SERC and
LEPC must include:

       •     The chemical name or identity of any released substance;

       •     Indication of whether the substance is an EHS;

       •     Estimate of amount released into the environment;

       •     Time and duration of the release;

       •     Medium or media into which the release occurred;

       •     Any known or anticipated acute or chronic health risks associated with the
             emergency, and, where appropriate, advice regarding medical attention necessary
             for exposed individuals;

       •     Proper precautions to take as a result of the release  (unless already readily
             available to the community emergency coordinator); and

       •     Contact names and numbers.

       Federally permitted releases are excluded from the EPCRA notification requirements,
including releases regulated by NPDES permits, Dredge and Fill (Clean Water Act Section 404)
permits, RCRA-permitted units, clean dumping and incineration permits, Clean Air Act permits,
POTW pretreatment agreements, and nuclear materials under the Atomic Energy Act.


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Managing Your Environmental Responsibilities                 Section VI - Poly chlorinated Biphenyl Checklist

VI.    POLYCHLORINATED BIPHENYL (PCB) SELF-AUDIT CHECKLIST

       This section contains a checklist and associated background information on the U.S.
Environmental Protection Agency's (EPA) PCB processing and use prohibitions for construction
projects. PCBs are regulated under 40 CFR Part 761 as a part of the Toxic Substances Control
Act (TSCA). The PCB regulations and requirements apply to both PCB waste materials and
PCBs still in use.  States and the Federal Government regulate the use, storage, and disposal of
equipment containing PCBs, depending upon the concentration of PCBs present. EPA's Office
of Prevention, Pesticides and Toxic Substances provides interpretive guidance on PCB waste
regulations including the PCB Questions and Answers Manual at
http ://www. epa. gov/pcb/guidance.html.

       Because they are regulated under TSCA, PCBs are not considered hazardous wastes
under Subtitle C of the Resource Conservation and Recovery Act (RCRA). PCB wastes can
become hazardous wastes if they are mixed with a listed hazardous waste (regulated under the
RCRA mixture rule) or they exhibit a characteristic of hazardous waste (regulated under RCRA).
Under 40 CFR Part 261.8, the disposal of PCB-containing dielectric fluids regulated under
TSCA, that are hazardous only for the toxicity characteristic, is exempt from RCRA. If
hazardous debris is also a waste PCB and covered by both RCRA and TSCA, the debris is
covered by the most stringent requirement. Refer to the Hazardous Solid Waste Self-Audit
Checklist (Section IV, Part II of this guide) for more information on RCRA Subtitle C
requirements.

       This section includes a checklist for TSCA requirements for generators of PCB waste.
Operators of construction projects  can use the checklist to identify who will be responsible for
addressing each requirement, and to conduct a self-audit of their construction site. The checklist
also can be used by compliance inspectors to conduct an inspection of a construction project.

       Construction projects may be subject to state or local regulations. Check with the EPA
Region or state in which the construction project is located to determine the PCB-handling
requirements that apply to the site.

       More information on PCB waste requirements can be found in Section VIII in Part I of
this guide and in the Background section following the checklist. Attachment A provides a list
of potential PCB-containing wastes at construction sites.  Attachment B lists PCB trade names
and other synonyms to help the site identify PCB-containing equipment.  Attachment C includes
PCB concentration assumptions for use (for equipment manufactured prior to July 2, 1979).
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Managing Your Environmental Responsibilities                Section VI - Poly chlorinated Biphenyl Checklist

    CHECKLIST FOR PCB REQUIREMENTS FOR CONSTRUCTION PROJECTS

BACKGROUND INFORMATION
Name of Auditor:
Date of Audit:
Name of Project/Site:
A "notes" area is provided at the end of each section of this checklist. For every "No" answer,
enter a description of the missing information and the action required to bring the site into
compliance in the "notes" area.
IDENTIFYING PCB MATERIALS
 Yes   No
                                   Prior to Demolition
a
a
a
a
a
a
a
a
a
a
1 . Do the construction activities involve demolition of a building or structure
constructed prior to July 2, 1979? If so, PCB -containing materials may be
present.
2. Were the building and structures inspected to determine if any materials
containing PCBs are present at the site prior to demolition? (See Attachments A
and B for additional information to use in identifying PCBs.)
3. Are there any PCB transformers registered for this structure? PCB
transformers located within a commercial building, including those in storage for
reuse, and any PCB transformer within 30 meters of a commercial building must
be registered with the building owner.
4. Are there any facility records such as annual records required by 40 CFR Part
761.180(a) for PCB articles in storage?
5. Are there any inspection logs for PCB transformers or PCB voltage regulators?
 PCB Wastes Identified:
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Managing Your Environmental Responsibilities Section VI - Polychlorinated Biphenyl Checklist
Yes No
During Demolition or Construction
a a
6. If unidentified, potentially hazardous, or PCB-containing materials were
discovered during construction or demolition, were the proper parties (e.g.,
construction manager and property owner) informed?
Material Identification
a a
a a
a a
7. If the contractor/developer/owner could not determine if materials containing
PCBs are present, was a company specializing in PCB identification and
remediation services hired?
8. If materials containing PCBs were found, were the concentrations of PCBs
determined? Concentrations can be estimated using the EPA assumptions
provided in Appendix C, through laboratory testing of the PCB-containing
material, or through use of the "worst case" assumption that the materials are
above the regulated concentration of 50 ppm.
9. Was a record kept of all regulated PCB-containing materials found at the site
and was a Notification of PCB Activity Form completed prior to storage or
disposal? (A copy of the form can be found at
http://www.epa.gov/pcb/data.html.)
NOTES /ACTIONS NEEDED TO BRING SITE INTO COMPLIANCE:
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Managing Your Environmental Responsibilities                  Section VI - Poly chlorinated Biphenyl Checklist

PCB MATERIAL LABELING. STORAGE. AND TRANSFER
 Yes    No
a
a
a
a
a
a
a
a
a
a
a
a
a
a
10. Is the PCB -containing material labeled as required1?
1 1 . Is the material labeled with either a large mark (ML) label (square from 6 inch
by 6 inch to 2 inch by 2 inch) or a small mark (Ms) label (rectangular from 1 inch
by 2 inch to 0.4 inch by 0.8 inch) that has letters and striping on a white or
yellow background and is sufficiently durable to exceed the life of the PCB item
it is marking?
12. Is the site inspected for old spills or leaks from PCB-containing equipment?
13. Are materials prepared properly for storage or disposal?
14. Are nonleaking and structurally undamaged large PCB capacitors and PCB-
contaminated electrical equipment containing free flowing dielectric fluid stored
on pallets in a storage facility? This is only allowed if the storage facility
contains available storage equivalent to 10 percent of the volume of equipment
stored on the pallet. If the equipment is drained of dielectric fluid, there is no
available storage requirement.
15. Is PCB waste in storage for disposal marked with the date removed from
service?
16. Is a permanent storage facility used for materials stored for more than 30
days?
1 The following items must be labeled: PCB containers; large PCB transformers, PCB low and high voltage
capacitors, and equipment containing these transformers or capacitors at the time of removal from use if not already
marked; large PCB high voltage capacitors at the time of manufacture, at the time of distribution in commerce if not
already marked, and at the time of removal from use if not already marked; electric motors using PCB coolants;
hydraulic systems using PCB hydraulic fluid; heat transfer systems (other than PCB transformers) using PCBs; PCB
article containers containing articles or equipment that must be marked; and each storage area used to store PCBs
and PCB items for disposal.
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Managing Your Environmental Responsibilities
                                       Section VI - Poly chlorinated Biphenyl Checklist
 Yes   No
                                   Temporary Storage
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
17. Does the temporary storage for disposal area meet the following
requirements?
Marked with a PCB ML label.
Have a roof and walls to protect the materials from rain or snow.
Have impermeable floor with six-inch curbing and no drains.
Have containment volume equal to at least two times the volume of the
largest PCB article or 25 percent of the total volume of all PCB articles,
whichever is greater.
Not located in a 100-year flood plain.
Have all leaking equipment stored in a nonleaking PCB container with
absorbents and have nonleaking equipment on pallets.
18. If PCB material is stored in a RCRA-permitted facility, has a Notification of
PCB Activity Form been completed?
19. Is the waste storage area inspected every 30 days and records of the
inspections maintained?
                               Transportation and Disposal
 a     a
20. Is the manifest complete and signed? The manifest is complete if it contains
the following information:

       For each bulk load of PCB s, the identity of the PCB waste, the earliest
       date of removal from service for disposal, and the weight in kilograms of
       the PCB waste.

       For each PCB article container or PCB container, the unique identifying
       number, type of PCB waste, earliest date of removal from service for
       disposal, and weight in kilograms of the PCB waste contained.
       For each PCB article not in a PCB container or PCB article container, the
       serial number if available or other identification if there is no serial
       number, the  date of removal from service for disposal, and weight in
       kilograms of the PCB waste in each PCB article.
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Managing Your Environmental Responsibilities
                                             Section VI - Poly chlorinated Biphenyl Checklist
 Yes   No
 a     a
 a
 a
 a
a
a
a
 a     a
 a     a
     21. Are all of the records including the activity form, the manifest, the
     certification of disposal, and any on-site inspection reports being kept? A copy
     of each signed manifest must be kept until the generator receives a signed copy
     from the designated commercial storage or disposal facility that received the
     PCB waste. The copy signed by the commercial storer or disposer shall be
     retained for at least three years from the date the PCB waste was accepted by the
     initial transporter.
22. Did the site hire an approved PCB waste disposal company?
23. Will the transporter properly dispose of PCB waste?
24. Were the labeled items and transport vehicles inspected to ensure that the
markings are visible and contain all of the necessary information?
     25. Was a signed copy of the manifest received from the operator of the
     designated disposal site within 35 days of the date the waste was accepted by the
     initial transporter? If not, was the transporter and/or the owner or operator of the
     designated disposal site contacted to determine the status of the waste shipment?
     26. Was a copy of the waste shipment record, signed by the owner or operator of
     the designated waste disposal site, received within 45 days of the date the waste
     was accepted by the initial transporter? If not, was an Exception Report
     submitted to the EPA Regional Administrator? If not, did this report include a
     copy of the manifest for which a confirmation of delivery was not received and a
     cover letter signed by the waste generator explaining the efforts taken to locate
     the PCB waste shipment and the results of those efforts?
NOTES /ACTIONS NEEDED TO BRING SITE INTO COMPLIANCE:
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Managing Your Environmental Responsibilities




PCB REMEDIATION WASTES






 Yes    No
Section VI - Poly chlorinated Biphenyl Checklist
a a
a a
a a
a a
a a
a a
27. Did the person in charge of the cleanup or the owner of the property where
the PCB remediation waste is located notify, in writing, the proper agencies 30
days prior to startup of remediation? The notice is complete if it contains the
following:
The nature of the contamination, including kinds of materials
contaminated.
A summary of the procedures used to sample contaminated and adjacent
areas and a table or cleanup site map showing PCB concentrations
measured in all precleanup characterization samples.
The location and extent of the identified contaminated area, including
topographic maps with sample collection sites cross-referenced to the
sample identification numbers in the data summary.
A cleanup plan for the site, including schedule, disposal technology, and
approach.
A written certification signed by the owner of the property where the
cleanup site is located and the party conducting the cleanup. The
certification must state that all sampling plans, sample collection
procedures, sample preparation procedures, extraction procedures, and
instrumental/chemical analysis procedures used to assess or characterize
the PCB contamination at the cleanup site, are on file at the location
designated in the certificate, and are available for EPA inspection.
Notice Submittal Date (s) :
28. Does the area meet the cleanup levels specified in 40 CFR Part 761
Subpart61?
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Managing Your Environmental Responsibilities                 Section VI - Poly chlorinated Biphenyl Checklist

NOTES /ACTIONS NEEDED TO BRING SITE INTO COMPLIANCE: 	
PCS SPILLS
Date of Spill: 	
Name & Location of Project/Site:
PCB Waste/Material: 	
 Yes   No
 a     a
 a     a
 a     a
 a     a
29. Did the site contact the EPA Regional Administrator, the Director of the state
or tribal environmental protection agency, and the Director of the county or local
environmental protection agency as soon as possible once a spill is discovered, as
required?
30. Did the site call a PCB waste remediation company to clean up any existing
(more than 72 hours old) spills? (If the sites chose to cleanup the remediation
waste,  see the Remediation Waste section above.)
31. Where a spill directly contaminates surface water, sewers, drinking water
supplies, grazing lands, or vegetable gardens, or for releases more than 10
pounds of PCBs, did the site notify the appropriate EPA Regional office and the
Office of Prevention, Pesticides and Toxic Substances Branch and obtain
guidance for appropriate cleanup measures in the shortest possible time after
discovery, but in no case later than 24 hours after discovery?
32. Did the site contact the National Response Center [(800) 424-8802] and the
state and local agencies if the spill involved 10 pounds or more by weight of
PCBs as required?
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Managing Your Environmental Responsibilities
Section VI - Poly chlorinated Biphenyl Checklist
  Yes    No
a a
a a
a a
a a
a a
a a
a a
a a
a a
33. For high concentration spills (defined as 500 ppm or greater of PCBs, or low
concentration spills involving more than one pound of PCBs by weight, or more
than 270 gallons of untested material) within 24 hours of the spill or within 48
hours for spills involving PCB transformers did the site:
Notify the National Response Center at (800) 424-8802 if the spill
involved 10 pounds or more by weight of PCBs?
Notify local environmental agencies?
Notify local authorities immediately if there was a fire?
Restrict and label the visible spill area?
Record and document the extent of PCB contamination of the estimated
spill area?
Immediately begin cleanup of the visible spill area and then, once the
concentration level of the PCB spill was determined, begin the
appropriate cleanup depending upon the release location, exposure risk,
PCB concentration, and future use of the site?
Test the area to confirm that the PCB concentration met EPA-specified
levels?
34. For low concentration spills (defined as less than 500 ppm PCB, or less than
one pound of PCBs by weight, or less than 270 gallons of untested material) did
the site:
Double wash/rinse all contaminated surfaces within 48 hours of the spill?
Collect a standard wipe test sample from smooth surfaces, using hexane
wipe samples to detect PCB contamination and confirm that the
concentration is not more than 10 micrograms per 100 square
centimeters?
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Managing Your Environmental Responsibilities
Section VI - Poly chlorinated Biphenyl Checklist
 Yes    No
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
35. At the completion of cleanup, did the site properly document the cleanup
with records and certification of decontamination? The records and certification
must be maintained for a period of five years. The records are complete if they
contain the following:
Identification of the source of the spill (e.g., type of equipment).
Estimated or actual date and time of the spill.
The date and time cleanup was completed or terminated (if cleanup was
delayed by emergency or adverse weather: the nature and duration of the
delay).
A brief description of the spill location.
Precleanup sampling data used to establish the spill boundaries if
required.
A brief description of the sampling methodology used to establish the
spill boundaries.
A brief description of the solid surfaces cleaned and of the double
wash/rinse method used.
Approximate depth of soil excavation and the amount of soil removed.
A certification statement signed by the responsible party stating that the
cleanup requirements have been met and that the information contained in
the record is true to the best of his/her knowledge.
NOTES /ACTIONS NEEDED TO BRING SITE INTO COMPLIANCE:
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Managing Your Environmental Responsibilities                Section VI - Poly chlorinated Biphenyl Checklist

               BACKGROUND ON PCB WASTE REQUIREMENTS FOR
                             CONSTRUCTION PROJECTS

DEFINITIONS

       •      Capacitor. Device for accumulating and holding a charge of electricity and
              consisting of conducting surfaces separated by a dielectric. Types of capacitors
              are as follows:

              —     Small capacitor means a capacitor which contains less than 1.36 kg (3 Ibs)
                     of dielectric fluid. The following assumptions may be used if the actual
                     weight of the dielectric fluid is unknown. A capacitor whose total volume
                     is less than 1,639 cubic centimeters (100 cubic inches) may be considered
                     to contain less than 1.36 kgs (3 Ibs) of dielectric fluid and a capacitor
                     whose total volume is more than 3,278 cubic centimeters (200 cubic
                     inches) must be considered to contain more than 1.36 kg (3 Ibs) of
                     dielectric fluid. A capacitor whose volume is between 1,639 and 3,278
                     cubic centimeters may be considered to contain less then 1.36 kg (3 Ibs) of
                     dielectric fluid if the total weight of the capacitor is less than 4.08 kg (9
                     Ibs).

              —     Large high voltage capacitor means a capacitor which contains 1.36 kg (3
                     Ibs) or more of dielectric fluid and which operates at 2,000 volts (a.c. or
                     d.c.) or above.

              —     Large low voltage capacitor means a capacitor which contains 1.36 kg (3
                     Ibs) or more of dielectric fluid and which operates below 2,000 volts (a.c.
                     or d.c.).

       •      Chemical Waste Landfill. Landfill at which protection against risk of injury to
              health or the environment from migration of PCBs to land, water, or the
              atmosphere is provided from PCBs and PCB items  deposited therein by locating,
              engineering, and operating the landfill as specified in 40 CFR Part 761.75.

       •      Commercial Storer of PCB Waste. Owner or operator of each facility that is
              subject to the PCB storage unit standards of 40 CFR Part 761.65(b)(l) or (c)(7) or
              meets the alternate storage criteria of 40 CFR Part 761.65(b)(2), and who engages
              in storage activities involving either PCB waste generated by others or that was
              removed while servicing the equipment owned by others and brokered for
              disposal. The receipt of a fee or any other form of compensation for storage
              services is not necessary to qualify as a commercial storer of PCB waste.  A


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Managing Your Environmental Responsibilities                Section VI - Poly chlorinated Biphenyl Checklist

              generator who only stores its own waste is subject to the storage requirements of
              40 CFR Part 761.65, but is not required to obtain approval as a commercial storer.
              If a facility's storage of PCB waste generated by others at no time exceeds a total
              of 500 gallons of liquid and/or nonliquid material containing PCBs at regulated
              levels, the owner or operator is a commercial storer but is not required to seek
              EPA approval as a commercial storer of PCB waste. Storage of one company's
              PCB waste by a related company is not considered commercial  storage. A
              "related company" includes, but is not limited to: a parent company and its
              subsidiaries; sibling companies owned by the same parent company; companies
              owned by a common holding company; members of electric cooperatives; entities
              within the same executive agency as defined at 5 U.S.C. 105; and a company
              having a joint ownership interest in a facility from which PCB waste is generated
              (such as a jointly owned electric power generating station) where the PCB waste
              is stored by one of the co-owners of the facility. A "related company" does not
              include another voluntary  member of the same trade association. Change in
              ownership or title of a generator's facility, where the generator is storing PCB
              waste, does not make the new owner of the facility a commercial storer of PCB
              waste.

       •      Disposal. Intentionally or  accidentally to discard, throw away, or otherwise
              complete or terminate the  useful life of PCBs and PCB items. Disposal includes
              spills, leaks, and other uncontrolled discharges of PCBs  as well  as actions related
              to containing, transporting, destroying, degrading, decontaminating, or confining
              PCBs and PCB items.

       •      Distribute in Commerce  and Distribution in Commerce. When used to
              describe an action taken with respect to a chemical substance, mixture, or article
              containing a substance or mixture means to sell, or the sale of, the substance,
              mixture, or article in commerce; to introduce or deliver for introduction into
              commerce, or the introduction or delivery for introduction into commerce of the
              substance, mixture, or article; or to hold or the holding of, the substance, mixture,
              or article after its introduction  into commerce.

       •      Double Wash/Rinse. Solid surfaces must be cleaned two times with an
              appropriate solvent or other material in which PCBs are at least 5 percent soluble
              by weight. The cleanser must cover the contaminated surface completely in both
              wash/rinses. The runoff must be contained and disposed of properly.

       •      EPA Identification Number. 12-digit number assigned to a facility by EPA upon
              notification of PCB waste activity under 40 CFR Part 761.205.
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Managing Your Environmental Responsibilities                Section VI - Poly chlorinated Biphenyl Checklist

       •      Generator of PCB Waste. Any person whose act or process produces PCBs that
              are regulated for disposal under Subpart D of this part, or whose act first causes
              PCBs or PCB items to become subject to the disposal requirements of Subpart D
              of this part, or who has physical control over the PCBs when a decision is made
              that the use of the PCBs has been terminated and therefore is subject to the
              disposal requirements of Subpart D of this part. Unless another provision of this
              part specifically requires a site-specific meaning, "generator of PCB waste"
              includes all of the sites of PCB waste generation owned  or operated by the person
              who generates PCB waste.

       •      In or Near Commercial Buildings. Within the interior  of, on the roof of,
              attached to the exterior wall of, in the parking area serving, or within 30 meters of
              a nonindustrial nonsubstation building.  Commercial buildings are typically
              accessible to both members of the general public and employees, and include: (1)
              public assembly properties, (2) educational properties, (3) institutional properties,
              (4) residential properties, (5) stores, (6) office buildings, and (7) transportation
              centers (e.g., airport terminal buildings, subway stations, bus stations, or train
              stations).

       •      Leak or Leaking. Any instance in which a PCB article, PCB container, or PCB
              equipment has any PCBs on any portion of its external surface.

       •      Manifest. Shipping document EPA Form 8700-22 and any continuation sheet
              attached to EPA Form 8700-22, originated and signed by the generator of PCB
              waste in accordance with the instructions included with the form and Subpart K of
              this part.

       •      Mineral Oil PCB Transformer. Any transformer originally designed to contain
              mineral oil as the dielectric fluid and which has been tested and found to contain
              500 ppm or greater PCBs.

       •      PCB and PCBs.  Any chemical substance that is limited to the biphenyl molecule
              that has been chlorinated to varying degrees or any combination of substances
              which contains such substance. Refer to 40 CFR Part 761. l(b) for applicable
              concentrations of PCBs. PCB and PCBs as contained in  PCB items are defined in
              40 CFR Part 761.3. For any purposes under this part, inadvertently  generated non-
              Aroclor PCBs are defined as the total PCBs calculated following division of the
              quantity of monochlorinated biphenyls by 50 and dichlorinated biphenyls by 5.
              PCB article means any manufactured article, other than a PCB container, that
              contains PCBs and whose surface(s) has been in direct contact with PCBs. "PCB
              article'' includes capacitors, transformers, electric motors, pumps, pipes and any
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Managing Your Environmental Responsibilities                Section VI - Poly chlorinated Biphenyl Checklist

              other manufactured item (1) which is formed to a specific shape or design during
              manufacture, (2) which has end use function(s) dependent in whole or in part
              upon its shape or design during end use, and (3) which has either no change of
              chemical composition during its end use or only those changes of composition
              which have no commercial purpose separate from that of the PCB article.

       •      PCB Bulk Product Waste. Waste derived from manufactured products
              containing PCBs in a nonliquid state, at any concentration where the
              concentration at the time of designation for disposal was =50 ppm PCBs. PCB
              bulk product waste does not include PCBs or PCB items regulated for disposal
              under 40 CFR Part 761.60(a) through (c), 40 CFR Part 761.61, 40 CFR Part
              761.63, or 40 CFR Part 761.64. PCB bulk product waste includes, but is not
              limited to:

              (1)    Nonliquid bulk wastes or debris from the demolition of buildings and
                     other manmade structures manufactured, coated, or serviced with PCBs.
                    PCB bulk product waste does not include debris  from the demolition of
                    buildings or other manmade structures that is contaminated by spills from
                    regulated PCBs which have not been disposed of, decontaminated, or
                     otherwise cleaned up in accordance with Subpart D of this part.

              (2)    PCB-containing wastes from the shredding of automobiles, household
                     appliances, or industrial appliances.

              (3)    Plastics (such as plastic  insulation from wire or cable; radio, television and
                     computer casings; vehicle parts; or furniture laminates); preformed or
                    molded rubber parts and components; applied dried paints, varnishes,
                    waxes or other similar coatings or sealants; caulking; adhesives; paper;
                     Galbestos; sound deadening or other types of insulation; and felt or fabric
                    products such as gaskets.

              (4)    Fluorescent light ballasts containing PCBs in the potting material.

APPLICABILITY

       The PCB waste regulation applies to:

       •      Generators of PCB waste;

       •      Transporters of PCB waste; and
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Managing Your Environmental Responsibilities                Section VI - Poly chlorinated Biphenyl Checklist

       •      Treatment, storage, and disposal facilities for PCB waste (typically  not applicable
              to construction sites).

       In these situations, the contractor or subcontractor who first discovers the PCB-
containing material typically is responsible for notifying the general contractor, developer,
and/or owner.  Because the PCB-containing material was present on the site prior to construction
activities, the developer or owner typically is responsible for ensuring that all PCB wastes are
handled and disposed of properly.

       In a typical construction project, PCB wastes are generated in one of two ways:

       •      PCB-contaminated soils and materials are discovered during grading or digging
              (i.e., remediation wastes); or

       •      PCB-contaminated buildings or equipment are discovered during demolition.

       Items with a concentration of 50 ppm or greater PCBs are regulated by TSCA. Note that
states may regulate PCBs differently.  Therefore, the state environmental department should be
contacted to determine the site PCB waste requirements.

PCB WASTE HANDLING AND DISPOSAL REQUIREMENTS

       When handling or disposing of PCB wastes, these requirements must be followed:

       •      Identify and Label. Identify and label all PCB-containing equipment or material
              that will be disturbed.  There are two approved PCB labels that can be found in 40
              CFR Part 761.45; "ML" is the larger, preferred label and "Ms" is the smaller label
              that should be used only on items that will not accommodate the ML.

       •      Label Location. Transport and storage areas should be marked on all sides.  Any
              equipment or container containing PCB materials should be marked at a minimum
              on the side where access is  available.

       •      Determine the PCB Concentrations. Determine the concentration of any items
              that will be removed either  for storage or disposal. To do this either:

              —    Assume "worst case" (greater than or equal to 50 ppm) and  remove the
                    suspect item(s), or

              —    Analyze samples of the items for PCB concentration.
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Managing Your Environmental Responsibilities                Section VI - Poly chlorinated Biphenyl Checklist

       •      Get an EPA Identification Number and Notification of PCB Activity Form.
              If the site is storing or disposing of PCB waste, a Notification of PCB Activity
              Form must be completed (see http://www.epa.gov/pcb/data.html)  and mailed to
              the Fibers and Organics Branch of EPA's Office of Pollution Prevention and
              Toxic Substances (OPPTS).  EPA will assign an ID number to the construction
              site for the handling of PCBs. This ID number is for activities involving PCBs
              and may not be used for any other waste activities. If the construction site has
              already received an ID number for other regulated wastes (e.g., RCRA), EPA will
              verify the number and assign the same ID number for the site's PCB activities. It
              is not necessary to have a RCRA ID number to receive a PCB ID  number.

       •      Storage and Disposal. Materials can be stored for reuse for up to five years in an
              approved, permanent, PCB storage area.  (Note - The storage-for-reuse provisions
              at 40 CFR Part 761.35 are meant to capture equipment such as transformers, and
              natural gas systems.  The equipment must be manufactured for a particular use.  It
              is not meant for any item or material containing PCBs. See the definition of PCB
              Article at 40 CFR Part 761.30.) The site can store materials for disposal for up to
              30  days in a temporary storage area or for up to one year in a permanent PCB
              storage location. In all cases, the items must be marked with the date they were
              removed from service and the area must be inspected every 30 days for any  spills
              or leaks.

              A temporary storage area must meet the following requirements:

              —      Be marked with a PCB ML label,
              —      Have a roof and walls to protect the materials from rain or snow,
              —      Have impermeable floor with six-inch curbing  and no drains,
              —      Not be located in the 100-year flood plain, and
              —      Have a Spill Prevention Control and Countermeasure (SPCC) Plan.

              In temporary storage place all leaking equipment in a nonleaking  PCB container
              with absorbents. Nonleaking equipment may be stored on pallets.

              For more specific details on PCB storage, see 40 CFR Part 761.65. For
              information specific to fluorescent light ballast disposal, see EPA's summary
              guidance table located at http://www.epa.gov/pcb/Ballastchart.pdf.

If the site plans to install or use a permanent PCB waste storage area, a Notification of PCB
Activity Form must be completed and submitted prior to handling any waste. If  the site plans
only to temporarily store materials (<30 days) prior to disposal, the form does not need to be
completed. If the  storage plans change or the 30-day temporary storage limit is exceeded, the


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Managing Your Environmental Responsibilities                Section VI - Poly chlorinated Biphenyl Checklist

form must then be completed. The Activity Form requests general information about the site and
related activities and is designed to inform EPA of site activities. For more specific details on
PCB storage, see 40 CFR Part 761.65.

       For PCB waste disposal, an approved PCB waste disposer must be used. (Note -
transporters do not need to be approved, but the generator or whoever is offering the waste for
shipment must ensure that the transporter has submitted a Notification of PCB Activity Form and
received an ID number for their PCB activities. In addition to the waste going to an approved
disposer, that disposer must also have notified and received an ID number for their PCB
activities.)  To transport the waste for either commercial storage or disposal, complete a
hazardous waste manifest. If the site is exempt from having an EPA identification number, it
can use the generic identification number "40 CFR Part 761" on manifests, records, and reports.
A hazardous waste manifest can be obtained from either the hazardous waste transporter or from
the state hazardous waste coordinator. A copy of the completed, signed manifest should be kept
in the site records. Once the waste has reached its final destination, the hazardous waste
storer/disposer will sign the manifest and return a copy to the site.

       An  annual documentation log must also be kept for certain storage and disposal activities.
For details  on  the specific requirements of the annual documentation log, see 40 CFR Part
761.180.

       Disposal Requirements

       The PCB waste transporter must dispose of the waste using the following criteria:

       •      Proper disposal of PCB-containing liquids:

              —     PCB liquids at concentrations of > 50 ppm must be disposed of in an
                     incinerator, OR

              —     Mineral oil  and other liquid dielectric fluids with PCB liquid
                     concentrations of between > 50 ppm  and < 500 ppm can be disposed of in
                     a high efficiency boiler.

       •      Proper disposal of PCB containers and large PCB capacitors containing PCBs
              with concentrations of > 500 ppm or transformers:

              —     Disposed of in an incinerator, OR
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Managing Your Environmental Responsibilities                Section VI - Poly chlorinated Biphenyl Checklist

              —    Disposed of in a chemical waste landfill  after being properly treated.
                    Proper treatment usually includes removal of free flowing liquids and
                    treatment with a solvent.

       •      Nonliquid PCB remediation waste, soil, rags, debris, sludges, and sediment can
              also be disposed of in this manner. Small PCB capacitors or containers storing
              PCBs with concentrations of < 500 ppm may be disposed of as municipal solid
              waste.

       •      Proper disposal of PCB-contaminated electrical  equipment, PCB hydraulic
              machine, or large PCB capacitors containing PCBs with concentrations of > 50
              ppm and < 500:

              —    Disposed of in an incinerator, OR

              —    Disposed of in a chemical waste landfill  after being properly treated;
                    proper treatment usually includes removing free flowing liquids and
                    treating with a solvent, OR

              —    Decontaminated in accordance to 40 CFR Part 761.79, OR

              —    In a scrap metal recovery oven, OR

              —    A licensed municipal solid waste or nonmunicipal nonhazardous waste
                    management or other approved facility.

       •      Small PCB capacitors may be disposed of as municipal solid waste.

       •      If the PCBs are being transported, is the transport vehicle properly marked? A
              transport vehicle requires marking on all sides with the ML mark (Appendix A) if
              it meets  the following requirements:

              —    Loaded with PCB containers that contain more than 45 kilograms (kg) of
                    liquid PCBs at concentrations of >50 ppm,  OR

              —    Loaded with one or more PCB transformer.
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Managing Your Environmental Responsibilities                Section VI - Poly chlorinated Biphenyl Checklist

       Spills and Remediation Waste

       If at any time during site inspection or material handling a spill or leak is discovered, it
must be cleaned up within 72 hours of discovery. EPA has provided a detailed spill cleanup
policy in 40 CFR Part 761, Subpart G. The requirements of this plan vary depending on the size
and concentration of the spill but can include spill testing to determine the concentration of
PCBs that were spilled, double wash/rinsing of the contaminated surfaces, soil excavating, and
even contacting the National Response Center.  If during construction activities any preexisting
PCB spills or disposals are discovered, the local EPA Administrator should be contacted to
determine the best way to handle these "remediation" wastes.

       Self-implementing on-site cleanup and disposal of remediation waste is allowed for
moderately sized sites since there should be low residual environmental impact.  It is not allowed
to clean up the following:

       •      Surface or ground waters;
       •      Sediments in marine and freshwater ecosystems;
       •      Sewers or sewage treatment systems;
       •      Any private or public drinking water sources or distribution systems;
       •      Grazing lands; or
       •      Vegetable gardens.

At least 30 days prior to the date that the cleanup of a site begins, the person in charge of the
cleanup or the owner of the property where the PCB remediation waste is located shall notify, in
writing, the EPA Regional Administrator, the Director of the state or tribal environmental
protection agency, and the Director of the county or local environmental protection agency
where the cleanup will be conducted. Within 30 calendar days of receiving the notification, the
EPA Regional Administrator will respond in  writing to the request. If the EPA Regional
Administrator does not respond within 30 calendar days of receiving the notice, the site may
assume that it is complete and acceptable and proceed with the cleanup.  Once cleanup is
underway,  the site must notify the EPA Regional Administrator, in writing, within  14 calendar
days of any proposed changes.

       Remediation Cleanup Requirements

       The area must meet specific cleanup levels based on the occupancy levels in the area.  A
more detailed procedure for remediating the site is provided in 40 CFR Part  761, Subpart 61.
The  requirements for disposing of the remediated waste are described in 40 CFR Part 761,
Subpart 62.
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Managing Your Environmental Responsibilities                 Section VI - Poly chlorinated Biphenyl Checklist

       •      For high-occupancy areas, the remediation activity must meet the following
              cleanup levels:

              —     Bulk remediation wastes, porous surfaces, or liquids < 1 ppm, OR

              —     Bulk remediation wastes, porous surfaces, or liquids > 1 ppm and  < 10
                     ppm and covered with a cap, OR

              —     Nonporous surfaces < 10 jig/ 100 cm2.

       •      For low-occupancy areas, the remediation activity must meet the following
              cleanup levels:

              —     Bulk remediation wastes, porous surfaces, or liquids < 25 ppm, OR

              —     Bulk remediation wastes, porous surfaces, or liquids > 25 ppm and < 50
                     ppm and the area is secured with a fence and marked with the ML mark,
                     OR

              —     Bulk remediation wastes > 25 ppm and < 100 ppm and covered with a
                     cap, OR

              —     Non-porous surfaces <  100 jig/ 100 cm2.
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Managing Your Environmental Responsibilities                Section VI - Poly chlorinated Biphenyl Checklist

          Attachment A.  Potential PCB-Containing Wastes at Construction Sites

       •      Mineral-oil filled electrical equipment such as motors or pumps manufactured
              prior to July 2, 1979;

       •      Capacitors or transformers manufactured prior to July 2, 1979;

       •      Plastics2, molded rubber parts, applied dried paints, coatings or sealants, caulking,
              adhesives, paper, Galbestos, sound-deadening materials, insulation, or felt or
              fabric products such as gaskets manufactured prior to July 2, 1979;

       •      Fluorescent light ballasts manufactured prior to July 2, 1979;

       •      Waste or debris from the demolition of buildings and equipment manufactured,
              serviced, or coated with PCBs; and

       •      PCB remediation waste such as materials disposed of prior to May 4, 1987, or
              waste containing PCBs from spills, such as floors or walls contaminated by a
              leaking transformer.

       Excluded PCB products are materials with PCB concentrations below 50 ppm.  The PCB
       concentration can not be a result of dilution, leaks, or spills of PCBs with concentrations
       greater than 50 ppm. These products are exempt from TSCA regulations. These
       materials may include the following:

       •      Products contaminated with PCB materials;

       •      Recycled fluids or equipment contaminated during use of PCB-containing
              products; and

       •      Used oils.

       To identify PCB wastes, contact the state or EPA Region for assistance (EPA's
Notification of Regulated Waste Activities: Instructions and Forms includes a list of state
contacts).
2Plastics can include a variety of products including insulation from wire or cable; radio, television, and computer
casings; vehicle parts; or furniture laminates.

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Managing Your Environmental Responsibilities
                    Section VI - Poly chlorinated Biphenyl Checklist
            Attachment B. PCB Trade Names and Other Synonyms To Help
                          Identify PCB-Containing Equipment
Aceclor
Adkarel
ALC
Apirolio
Apirorlio
Arochlor
Arochlors
Aroclor
Aroclors
Arubren
Asbestol
ASK
Askael
Askarel
Auxol
Bakola
Biphenyl, chlorinated
Chlophen
Chloretol
Chi or extol
Chlorinated biphenyl
Chlorinated diphenyl
Chlorinol
Chlorobiphenyl
Chlorodiphenyl
Chlorphen
Chorextol
Chorinol
Clophen
Clophenharz
Cloresil
Clorinal
Clorphen
Decachlorodiphenyl
Delor
Delorene Diaclor
Dicolor
Diconal
Diphenyl, chlorinated
DK
Duconal
Dykanol
Educarel
EEC-18
Elaol
Electrophenyl
Elemex
Elinol
Eucarel
Fenchlor
Fenclor
Fenocloro
Gilotherm
Hydol
Hyrol
Hyvol
Inclor
Inerteen
Inertenn
Kanechlor
Kaneclor
Kennechlor
Kenneclor
Leromoll
Magyar
MCS 1489
Montar
Nepolin
No-Flamol
NoFlamol
Non-Flamol
Olex-sf-d
Orophene PCB
PCB's
PCBs
Pheaoclor
Phenochlor
Phenoclor
Plastivar
Polychlorinated biphenyl
Polychlorinated biphenyls
Polychlorinated diphenyl
Polychlorinated diphenyls
Poly chlorobiphenyl
Poly chlorodiphenyl
Prodelec
Pydraul
Pyraclor
Pyralene
Pyranol
Pyroclor
Pyronol
Saf-T-Kuhl
Saf-T-Kohl
Santosol
Santotherm
Santothern
Santovac
Solvol
Sorol
Soval
Sovol
Sovtol
Terphenychlore
Therminal
Therminol
Turbinol
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Managing Your Environmental Responsibilities
Section VI - Poly chlorinated Biphenyl Checklist
                Attachment C.  PCB Concentration Assumptions for Use
                   (for Equipment Manufactured Prior to July 2,1979)
Item
Transformers with <3 Ibs of fluid
Circuit breakers
Reclosers
Oil-filled cable
Rectifiers with unestablished PCB concentrations
Mineral-oil filled electrical equipment without any established
PCB concentration (pole-top and pad-mounted distribution
transformers are considered mineral -oil filled)
Transformers with >3 Ibs of fluid other than mineral oil
Capacitors
Concentration Assumption
<50 ppm PCB
(not regulated by TSCA)
>= 50 ppm and <500 ppm
>= 500 ppm
Any person may assume that mineral oil-filled electrical equipment, transformers, or circuit
breakers manufactured after July 2, 1979 are non-PCB and contain less than 50 ppm PCB.  If a
transformer contains more than 3 pounds of fluid and the date of manufacture as well as the type
of dielectric fluid for the transformer are unknown, one must assume the concentration of PCB in
the transformer is >= 500 ppm.  If the date of manufacture for a capacitor is unknown, one must
assume the concentration of PCB in the capacitor is >= 500 ppm.
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Managing Your Environmental Responsibilities                  Section VI - Poly chlorinated Biphenyl Checklist
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Managing Your Environmental Responsibilities                             Section VII - Asbestos Checklist

VII.   ASBESTOS SELF-AUDIT CHECKLIST

       This section contains a checklist and associated background information related to
asbestos requirements for construction activities.  Activities that could result in the release of
asbestos from asbestos-containing materials (ACM) are covered by the Asbestos National
Emissions Standards for Hazardous Air Pollutants (NESHAP), promulgated under the Clean Air
Act.

       Before beginning any demolition or renovation activities on existing buildings, the site
should evaluate the potential for releasing asbestos. This should include an inspection of the
affected facility to determine the presence and quantities of Category I and Category II ACM as
well as friable asbestos material. Owners, developers, architects, contractors, and subcontractors
can use the checklist to identify who will be responsible for addressing each requirement, and to
conduct a self-audit.  The checklist can also be used by compliance inspectors to conduct an
inspection of a construction site. Check with the state and local authorities to confirm the
appropriate Administrator for the site asbestos activities.

       More information on asbestos waste requirements can be found in Section X in Part I of
this guide and in the Background section following the checklist. Attachment A of this checklist
provides a list of common asbestos-containing materials.
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Managing Your Environmental Responsibilities
Section VII - Asbestos Checklist
                CHECKLIST FOR ASBESTOS REQUIREMENTS FOR
                            CONSTRUCTION PROJECTS
BACKGROUND INFORMATION
Name of Auditor:
Date of Audit:
Name of Project/Site:
A "notes" area is provided at the end of each section of this checklist. For every "No" answer,
enter a description of the missing information and the action required to bring the site into
compliance in the "notes" area.
ASBESTOS NESHAP
 Yes   No
Does the Asbestos NESHAP Apply to Site Activity?
The Asbestos NESHAP will apply to the site activity if any of the following questions are
answered "Yes. " Only the notification requirements apply if the demolition activities contain
Regulated Asbestos-Containing Material (RACM) below the following thresholds.
a
a
a
a
a
a
a
a
1 . Do the site renovations or demolitions include at least 80 linear meters (260
linear feet) of RACM on pipes?
2. Do the site renovations or demolitions include 15 square meters (160 square
feet) of RACM on other facility components?
3. Do the site renovations or demolitions include at least one cubic meter (35
cubic feet) of facility components where the amount of RACM previously
removed from pipes and other facility components could not be measured before
stripping?
4. Do the site renovations or demolitions occur at residential structures with five
or more dwellings (i.e., apartments or single family homes)?
Will Category I ACM Become RACM and Require Removal?
Category I ACM will become RACM if the answer to any of the following questions is "Yes. "
a
a
a
a
5. Is Category I material friable or in poor condition?
6. Has the Category I material been or will it be subjected to sanding, cutting,
grinding, or abrading?
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Managing Your Environmental Responsibilities
Section VII - Asbestos Checklist
 Yes    No
a
a
a
a
a
a
a
a
a
a
7. Has a floor tile removal process, such as using a shot-blaster, resulted in
extensive damage to the tiles?
8. Is debris from Category I roofing material created by sawing activities?
9. Will a building containing asbestos-cement products be demolished using
cranes, hydraulic excavaters, or implosion/explosion techniques?
10. Will jackhammers or other mechanical devices be used to break up asbestos-
containing concrete or other materials coated with Category I non-friable ACM?
1 1 . Will bulldozers, tree chippers, or other equipment be used to reduce the
volume of Category I materials?
               Will Category II ACM Become RACM and Require Removal?
 Category II ACM will become RACM if the answer to any of the following questions is "Yes. "
a

a

a

a
a

a

a

a
12. Has Category II material been or will it be subjected to sanding, cutting,
grinding, or abrading?
13. Will demolition activities be conducted using heavy equipment such as
bulldozers and hydraulic excavaters?
14. Will equipment such as wrecking balls or buckets be used in demolishing
asbestos-cement?
15. Will the building be demolished using explosion/implosion?
                                         Notification
  The following notification requirements apply if the renovation/demolition activities have
 RACM below the thresholds listed above.
a
a
a
a
a
a
a
a
16. Did the site provide the Administrator with a complete written notice of
intention to demolish or renovate?
The notification must be postmarked no later than 10 working days before any
stripping/removal activity begins and must contain the following:
Indication if this is the original or a revised notification.
Name, address, and telephone number of both the facility owner and
operator and the asbestos removal contractor owner or operator.
Type of operation: demolition or renovation.
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Managing Your Environmental Responsibilities
Section VII - Asbestos Checklist
  Yes    No
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
Description of the facility or affected part of the facility including the size
(square feet and number of floors), age, and present and prior use of the
facility.
The procedure, including analytical methods, used to detect the presence
of RACM and Category I and Category II non-friable ACM.
The approximate amount of RACM to be removed from the facility in
terms of length of pipe in linear meters (linear feet), surface area in square
meters (square feet) on other facility components, or volume in cubic
meters (cubic feet) if off the facility components.
Approximate amount of Category I and Category II non-friable ACM in
the affected part of the facility that will not be removed before
demolition.
Location and street address (including building number or name and floor
or room number, if appropriate), city, county, and state, of the facility
being demolished or renovated.
Scheduled start and completion dates of asbestos removal work for the
demolition or renovation.
Scheduled start and completion dates of demolition or renovation.
Description of work practices and engineering controls to be used to
comply with the requirements of this subpart, including asbestos removal
and waste-handling emission control procedures.
The name and location of the waste disposal site where the
asbestos-containing waste material will be deposited.
Certification that at least one person trained as required by the Asbestos
NESHAP will supervise the stripping and removal described by the
notification.
If the building is being demolished because it has been declared unsound,
the name, title, and authority of the state or local government
representative who has ordered the demolition, the date that the order was
issued, the date on which the demolition was ordered to begin, and a copy
of the order shall be attached to the notification.
For emergency renovations, the date and hour that the emergency
occurred; a description of the sudden, unexpected event; and an
explanation of how the event caused an unsafe condition, or would cause
equipment damage or an unreasonable financial burden.
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Managing Your Environmental Responsibilities
Section VII - Asbestos Checklist
 Yes    No
a
a
a
a
a
a
a
a
a
a
Description of procedures to be followed in the event that unexpected
RACM is found or Category II non-friable ACM becomes crumbled,
pulverized, or reduced to powder.
The name, address, and telephone number of the waste transporter.
17. If the amount of asbestos in the renovation/demolition changed by at least 20
percent, did the site update the notice?
18. If the actual start date is after the start date in the original notification, did the
site provide the Administrator with a written notification with the new start date?
19. If the actual start date is before the start date in the original notification, did
the site provide the Administrator with a written notification with the new start
date and notify by telephone as soon as possible before the original start date?
NOTES /ACTIONS NEEDED TO BRING SITE INTO COMPLIANCE:
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Managing Your Environmental Responsibilities

ASBESTOS EMISSION CONTROL
                                                    Section VII - Asbestos Checklist
If the answer is "Yes" to the following applicable questions below, the site is complying with the
procedures for asbestos emission control. No visible emissions are allowed under any
circumstances.
 Yes   No
 a     a
 a     a
 a     a
20. Has all RACM from the facility being demolished or renovated been
removed before any activity begins that would break up, dislodge, or similarly
disturb the material or preclude access to the material for subsequent removal?
OR

If the building is being demolished because it has been declared structurally
unsound and in danger of imminent collapse or RACM is discovered after
demolition, is the portion of the facility containing RACM kept adequately wet?
21. Is at least one on-site representative, such as a foreman or management-level
person or other authorized representative, trained in the provisions of the
Asbestos NESHAP and the means of complying with them present during the
demolition or renovation activities?
22. If the facility is being demolished by intentional burning, has all RACM
including all Category I and Category II non-friable ACM been removed?
  When a facility component that contains, is covered with, or is coated with RACM is being
  taken out of the facility as a unit or in sections:
 a     a
 a     a
23. Is the RACM that is exposed during cutting or disjoining operations
adequately wet?
24. Does the site carefully lower each unit or section to the floor and to ground
level to avoid damaging or disturbing the RACM?
  When RACM is stripped from a facility component but it remains temporarily in place in the
 facility:
a

a
a

a

a
a

25. Does the site adequately wet the RACM during the stripping operation? OR
26. If the site does not wet the RACM:
Does the site obtain prior written approval from the Administrator? OR
Does the site use a local exhaust ventilation and collection system to
capture the particulate asbestos material produced by the stripping? OR
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Managing Your Environmental Responsibilities
Section VII - Asbestos Checklist
Yes No
a a
a a
Does the site use a glove-bag system or use leak-tight wrapping to
contain the particulate asbestos material? OR
Will the site use an alternate control method (besides a local exhaust
ventilation and collection or a glove-bag system) and obtain written
approval from the Administrator?
After a facility component covered with, coated with, or containing RACM has been taken out
of the facility as a unit or in sections, it shall be stripped or contained in leak-tight wrapping.
a a
27. If the site does not wet the RACM, does it use a local exhaust ventilation
and collection system to capture the particulate asbestos material produced by
the stripping?
For large facility components such as reactor vessels or large tanks, the RACM is not
required to be stripped if the site meets the following requirements:
a a
a a
28. Is the component removed, transported, stored, disposed of, or reused
without disturbing or damaging the RACM?
29. Is the component encased in a leak-tight wrapping and properly labeled?
For all RACM, including material that has been removed or stripped:
a a
a a
a a
30. Is the material adequately wet and does it remain wet until collected and
contained or treated in preparation for disposal?
3 1 . Does the site carefully lower the material to the ground and floor, not
dropping, throwing, sliding, or otherwise damaging or disturbing the material?
32. If the material has been removed or stripped more than 50 feet above ground
level and was not removed as units or in sections, does the site transport the
material to the ground via leak-tight chutes or containers?
When the temperature at the point of wetting is below 0°C (32°F):
a a
a a
33. Does the site remove facility components containing, coated with, or
covered with RACM as units or in sections to the maximum extent possible?
34. During periods when wetting operations are suspended due to freezing
temperatures, does the site record the temperature in the area containing the
facility components at the beginning, middle, and end of each workday?
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Managing Your Environmental Responsibilities                             Section VII - Asbestos Checklist

NOTES /ACTIONS NEEDED TO BRING SITE INTO COMPLIANCE: 	
ASBESTOS WASTE DISPOSAL

Waste disposal requirements of the asbestos NESHAP do not apply to Category I and Category
II non-friable ACM waste that did not become crumbled, pulverized, or reduced to powder. If
the answer to the following applicable questions below is "Yes, " the site is complying with the
procedures for asbestos waste disposal.
 Yes   No
 a     a
35. Did the site properly mark vehicles used to transport asbestos-containing
waste material so that the signs are visible?
  To ensure no discharge of visible emissions to the outside air during the collection, processing
  (including incineration), packaging, or transporting of any asbestos-containing waste
  material generated by the source, the site must use all applicable emission control and waste
  treatment methods.
a
a

a
a

a

a
a

a
a

a

36. Does the site adequately wet asbestos-containing waste material?
37. Does the site seal all asbestos-containing waste material in leak-tight
containers while wet or put materials into leak-tight wrapping?
38. Does the site properly label the containers or wrapped materials?
39. Does the label contain the name of the waste generator and the location at
which the waste was generated?
40. Does the site process asbestos-containing waste material into non-friable
forms?
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Managing Your Environmental Responsibilities
                                                     Section VII - Asbestos Checklist
 Yes   No
 a     a
41. If the building is being demolished because it has been declared unsound:

       Does the site adequately wet asbestos-containing waste material at all
       times after demolition and keep wet during handling and loading for
       transport to a disposal site?  OR

       Does the site use an alternative emission control and waste treatment
       method that has received prior approval by the Administrator?
 All asbestos-containing waste material shall be disposed as soon as is practical by the waste
 generator.  This does not apply to Category I and Category II non-friable ACM that is not
 RACM.
a
a
a
a
42. Is the material sent to an active waste disposal site authorized to receive
asbestos-containing material?
43. Is the material sent to an EPA-approved site that converts asbestos-containing
waste material into asbestos-free material?
 For all asbestos-containing waste material transported off the facility site:
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
44. Does the site maintain waste shipment records using the required format?
Name, address, and telephone number of the waste generator.
Name and address of the local, state, or EPA Regional office responsible
for administering the asbestos NESHAP program.
Approximate quantity of waste in cubic meters.
Name and telephone number of the disposal site operator.
Name and physical site location of the disposal site.
Date the shipment was transported.
Name, address, and telephone number of the transporter.
Certification that the contents of this consignment are accurately
described by proper shipping name and are in proper condition for
transport by highway.
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Managing Your Environmental Responsibilities
                                                                Section VII - Asbestos Checklist
 Yes   No
a     a

a     a

a     a
 a     a
             45. Did the site provide a copy of the waste shipment record to the disposal site
             owners or operators as the asbestos-containing waste material was delivered to
             the disposal site?
             46. Has the site retained a copy of all waste shipment records for at least two
             years?
             47. If the site did not receive a copy of the waste shipment record signed by the
             owner or operator of the designated disposal site within 45 days of the date the
             waste was accepted by the initial transporter, was the transporter and/or the
             owner or operator of the designated disposal site contacted to determine the
             status of the waste shipment?
            48. If a copy of the waste shipment record, signed by the owner or operator of the
            designated waste disposal site, was not received within 45 days of the date the
            waste was accepted by the initial transporter, did the site report this in writing to
            the office responsible for administering the asbestos NESHAP program for waste
            generators?
NOTES /ACTIONS NEEDED TO BRING SITE INTO COMPLIANCE:
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Managing Your Environmental Responsibilities

AIR-CLEANING
Section VII - Asbestos Checklist
If the site chooses to use a local exhaust ventilation and collection system to capture particulate
asbestos material emissions, it must be designed and operated in accordance with the
requirements of 40 CFR Part 61 Subpart 152.  The site is complying with this Subpart if the
answer to all of the following applicable questions is "Yes. "
 Yes   No
If the site uses fabric filter devices:
a a
a a
a a
a a
49. Does the site ensure that the airflow permeability does not exceed 9
m3/min/m2 (30 ft3/min/ft2) for woven fabrics or 1 1 m2 (35 ft3/min/ft2) for felted
fabrics?
50. Does the site ensure that felted fabric weighs at least 475 grams per square
meter (14 ounces per square yard) and is at least 1.6 millimeters (one- sixteenth
inch) thick throughout?
5 1 . Does the site avoid the use of synthetic fabrics
than that which is spun?
52. Does the site properly install, use, operate, and
equipment?
that contain fill yarn other
maintain all air-cleaning
If the site does not use fabric filter devices:
a
a
a
a
a
a
53. Does the site utilize wet collectors designed to operate with a unit contacting
energy of at least 9.95 kilopascals (40 inches water gage pressure)? OR
Does the site use a HEPA filter that is certified to be at least 99.97 percent
efficient for 0.3 micron particles? OR
Is the site authorized to use alternative filtering equipment?
NOTES /ACTIONS NEEDED TO BRING SITE INTO COMPLIANCE:
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Managing Your Environmental Responsibilities                                Section VII - Asbestos Checklist
                           This Page  Is Intentionally Left Blank
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Managing Your Environmental Responsibilities                             Section VII - Asbestos Checklist

      BACKGROUND ON ASBESTOS REQUIREMENTS FOR CONSTRUCTION
                                      ACTIVITIES
DEFINITIONS
              Adequately Wet.  Sufficiently mixed with liquid to prevent the release of
              particulates. If visible particles or dust is observed coming from asbestos-
              containing material, then that material  has not been adequately wetted.

              Asbestos. The name given to a number of naturally occurring fibrous silicate
              minerals that have been mined for their useful properties such as thermal
              insulation, chemical and thermal  stability, and high tensile strength. The
              NESHAP defines asbestos to be the asbestiform varieties of serpentine
              (chrysotile), riebeckite (crocidolite), cummingtonite-grunerite, anthophyllite, and
              actinolite-tremolite.

              Demolition. The wrecking or taking out of any load-supporting structural
              member of a facility together with any related handling operations or the
              intentional burning of any facility.

              Friable.  Material containing more  than 1 percent asbestos that can be reduced to
              dust by hand pressure.

              Non-friable. Material containing more than  1 percent asbestos that is too hard to
              be reduced to dust by hand. Non-friable  asbestos is grouped as Category I or
              Category II.

              —     Category I - Asbestos-containing resilient floor covering, asphalt roofing
                     products, packings, and gaskets. Asbestos-containing mastic is also
                     considered a Category I material (EPA determination - April 9, 1991).

              —     Category II - All remaining  types of non-friable ACM not included in
                     Category I that, when dry, cannot be crumbled, pulverized, or reduced to
                     powder by hand pressure. Non-friable asbestos-cement products such as
                     transite are an example of Category II material.

              Owner or Operator of a Demolition  or Renovation Activity. Any person who
              owns, leases, operates, controls, or  supervises the facility being demolished or
              renovated or any person who owns, leases, operates, controls, or supervises the
              demolition or renovation operation, or both.
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Managing Your Environmental Responsibilities                            Section VII - Asbestos Checklist

       •      Regulated Asbestos-Containing Material (RACM). This includes:

              —    Friable asbestos material;

              —    Category I non-friable ACM that has become friable;

              —    Category I non-friable ACM that will be or has been subjected to sanding,
                    grinding, cutting, or abrading; and

              —    Category II non-friable ACM that has a high probability of becoming or
                    has become crumbled, pulverized, or reduced to powder by the forces
                    expected to act on the material in the course of demolition or renovation
                    operations.

       •      Remove. To take out RACM or facility components that contain or are covered
              with RACM from any facility.

       •      Renovation. Altering a facility or one or more facility components  in any way,
              including stripping or removing RACM from a facility component. Operations in
              which load-supporting structural members are wrecked or taken out are
              considered demolition.

ASBESTOS NESHAP REQUIREMENTS

       RACM must be removed before demolition of a building can begin.  Attachment A
provides a list of materials  that are considered RACM. If demolition will be by intentional
burning, then all Category I and Category II non-friable materials as well as RACM must be
removed from the building. If suspect ACM becomes exposed during demolition activities and
there was no prior knowledge  of its existence, compliance with the asbestos NESHAP is still
required.

       In order to avoid NESHAP requirements before and during demolition activities, some
groups have had buildings declared unsafe. The condition of a building should be confirmed
independently.  Even if a building is declared unsafe, it has no effect on requirements for
disposal of RACM after demolition activities.

       When preparing for any construction project, the site must determine if it is expected to
comply with the asbestos NESHAP.  The construction project must comply with the asbestos
NESHAP if renovations or demolitions meet the following criteria:
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Managing Your Environmental Responsibilities                            Section VII - Asbestos Checklist

       •      The renovations or demolitions include at least 80 linear meters (260 linear feet)
              ofRACMonpipes;

       •      The renovations or demolitions include 15 square meters (160 square feet) of
              RACM on other facility components; or

       •      The renovations or demolitions include at least one cubic meter (35 cubic feet) of
              facility components where the amount of RACM previously removed from pipes
              and other facility components could not be measured before stripping.

       The asbestos NESHAP only applies to renovations or demolitions that occur at
residential structures with five or more dwellings (i.e. apartments or single family homes).

       If a building is being demolished and the RACM being removed is less than the above-
stated threshold, then only the notification requirements of the asbestos NESHAP are required.

       If the building to be demolished is structurally unsound and in danger of imminent
collapse (such as may occur due to a tornado, hurricane or flood damage, cataclysmic event, or
extensive deterioration), the RACM are not required to be  removed first. However,  notification
requirements and emission control requirements still apply to the demolition operation (40 CFR
Part 61.145 (a)(3)).  A review of the structure and the work plan may be required by the
Administrator before this approach may be taken.

       The following materials are not exempt from the asbestos NESHAP requirements:

       •      Category I non-friable ACM that has become friable; and

       •      Category II non-friable ACM that has a high probability of becoming or has
              become crumbled, pulverized, or reduced to powder by the forces expected to act
              on the material in the course of demolition or renovation operations.
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Managing Your Environmental Responsibilities
          Section VII - Asbestos Checklist
                      Attachment A. Asbestos-Containing Materials
       Cement Pipes
       Cement Wallboard
       Cement Siding
       Asphalt Floor
       Vinyl Floor Tile
       Vinyl Sheet Flooring
       Flooring Backing
       Heating and Electrical Ducts
       Acoustical Plaster
       Electrical Cloth
       Electric Wiring Insulation
       Spray-Applied Insulation
       Blown-in Insulation
       Fireproofing Materials
       Taping Compounds (thermal)
       High Temperature Gaskets
       Laboratory Hoods/Table Tops
       Laboratory Gloves
       Fire Blankets
       Fire Curtains
       Elevator Equipment Panels
       Chalkboards
       Construction Mastics (floor tile,
       carpet, ceiling tile, etc.)
       Packing Materials (for wall/floor
penetrations)
Elevator Brake Shoes
HVAC Duct Insulation
Boiler Insulation
Tile Breaching Insulation
Ductwork Flexible Fabric
Connections
Cooling Towers
Pipe Insulation (corrugated air-cell,
block, etc.)
Electrical Panel Partitions
Decorative Plaster
Textured Paints/Coatings
Ceiling Tiles and Lay-in Panels
Roofing Shingles
Roofing Felt
Base Flashing
Thermal Paper Products
Caulking/Putties
Adhesives
Wallboard
Joint Compounds
Vinyl Wall Coverings
Spackling Compounds
Fire Doors
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         xvEPA
    U.S. Environmental Protection Agency
Office of Enforcement and Compliance Assurance
  1200 Pennsylvania Avenue, NW (MC 2224-A)
         Washington, D.C. 20460

           EPA/305-B-04-003
             April 2005

         www.epa.gov/compliance

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