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.
-------
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
-------
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.
-------
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.
Part / - A Planning Guide for Construction and Development i http://www.cicacenter.org/links
-------
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.
Part I - A Planning Guide for Construction and Development ii http://wwfw.cicacenter.org/Iinks
-------
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
Part / - A Planning Guide for Construction and Development iii http://www.cicacenter.org/links
-------
Managing Your Environmental Responsibilities Document Contents
Part I - A Planning Guide for Construction and Development iv http://wwfw.cicacenter.org/Iinks
-------
Part I
A for Construction
Part I - A Planning Guide for Construction and Development v http://www.cicacenter.org/Iinks
-------
Managing Your Environmental Responsibilities Section I - Introduction
This Page Is Intentionally Left Blank
Port I - A Planning Guide for Construction and Development vi http://wwfw.cicacenter.org/Iinks
-------
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
-------
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
-------
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
Part I - A Planning Guide for Construction and Development ix http://www.cicacenter.org/Iinks
-------
Managing Your Environmental Responsibilities Section I - Introduction
This Page Is Intentionally Left Blank
Port I - A Planning Guide for Construction and Development x http://wwfw.cicacenter.org/Iinks
-------
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.
Part / - A Planning Guide for Construction and Development 1 http://www.cicacenter.org/links
-------
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
Part I - A Planning Guide for Construction and Development 2 http://wwrw.cicacenter.org/Iiriks
-------
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
Part / - A Planning Guide for Construction and Development
http://www.cicacenter.org/links
-------
Managing Your Environmental Responsibilities Section II - List of Questions for Owners and Contractors
This Page Is Intentionally Left Blank
Port I - A Planning Guide for Construction and Development 4 http://wwfw.cicacenter.org/Iinks
-------
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.
Part / - A Planning Guide for Construction and Development 5 http://www.cicacenter.org/links
-------
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?
Part I - A Planning Guide for Construction and Development 6 http://wwfw.cicacenter.org/Iinks
-------
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?
Part I - A Planning Guide for Construction and Development 7 http://www.cicacenter.org/Iinks
-------
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?
Part I - A Planning Guide for Construction and Development 8 http://wwfw.cicacenter.org/Iinks
-------
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?
Part I - A Planning Guide for Construction and Development 9 http://www.cicacenter.org/Iinks
-------
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?
Part I - A Planning Guide for Construction and Development 1 0 http://wwfw.cicacenter.org/Iinks
-------
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?
Part I - A Planning Guide for Construction and Development 11 http://www.cicacenter.org/Iinks
-------
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?
Part I - A Planning Guide for Construction and Development 1 2 http://wwfw.cicacenter.org/Iinks
-------
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?
Part I - A Planning Guide for Construction and Development 1 3 http://www.cicacenter.org/Iinks
-------
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?
Part I - A Planning Guide for Construction and Development 14 http://wwfw.cicacenter.org/Iinks
-------
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?
Part I - A Planning Guide for Construction and Development 1 5 http://www.cicacenter.org/Iinks
-------
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?
Part I - A Planning Guide for Construction and Development 1 6 http://wwfw.cicacenter.org/Iinks
-------
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.
Part / - A Planning Guide for Construction and Development
17
http://www.cicacenter.org/links
-------
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
Part / - A Planning Guide for Construction and Development
18
http://www.cicacenter.org/links
-------
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.
Part / - A Planning Guide for Construction and Development
19
http://www.cicacenter.org/links
-------
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;
Part I - A Planning Guide for Construction and Development 20 http://wwfw.cicacenter.org/Iinks
-------
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.
Part / - A Planning Guide for Construction and Development 21 http://www.cicacenter.org/links
-------
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.
Part I - A Planning Guide for Construction and Development 22 http://wwfw.cicacenter.org/Iinks
-------
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;
Part I - A Planning Guide for Construction and Development 23 http://www.cicacenter.org/Iinks
-------
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.
Part I - A Planning Guide for Construction and Development 24 http://wwfw.cicacenter.org/Iinks
-------
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.
Part / - A Planning Guide for Construction and Development
25
http://www.cicacenter.org/links
-------
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
Part / - A Planning Guide for Construction and Development
26
http://www.cicacenter.org/links
-------
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;
Part / - A Planning Guide for Construction and Development 27 http://www.cicacenter.org/links
-------
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
Part / - A Planning Guide for Construction and Development 28 http://www.cicacenter.org/links
-------
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
Part / - A Planning Guide for Construction and Development
29
http://www.cicacenter.org/links
-------
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).
Part I - A Planning Guide for Construction and Development 30 http://wwfw.cicacenter.org/Iinks
-------
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.
Part I - A Planning Guide for Construction and Development 31 http://www.cicacenter.org/Iinks
-------
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.
Part I - A Planning Guide for Construction and Development 32 http://wwfw.cicacenter.org/Iinks
-------
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
Part / - A Planning Guide for Construction and Development
33
http://www.cicacenter.org/links
-------
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.
Part / - A Planning Guide for Construction and Development 34 http://www.cicacenter.org/links
-------
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.
Part I - A Planning Guide for Construction and Development 35 http://www.cicacenter.org/Iinks
-------
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.
Part / - A Planning Guide for Construction and Development 36 http://www.cicacenter.org/links
-------
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.
Part / - A Planning Guide for Construction and Development
37
http://www.cicacenter.org/links
-------
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/.
Part I - A Planning Guide for Construction and Development 38 http://wwfw.cicacenter.org/Iinks
-------
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.
Part / - A Planning Guide for Construction and Development
39
http://www.cicacenter.org/links
-------
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.
Part / - A Planning Guide for Construction and Development
40
http://www.cicacenter.org/links
-------
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.
Part / - A Planning Guide for Construction and Development
41
http://www.cicacenter.org/links
-------
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.
Part / - A Planning Guide for Construction and Development 42 http://www.cicacenter.org/links
-------
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
Part / - A Planning Guide for Construction and Development
43
http://www.cicacenter.org/links
-------
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.
Part / - A Planning Guide for Construction and Development
44
http://www.cicacenter.org/links
-------
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-
Part I - A Planning Guide for Construction and Development 45 http://www.cicacenter.org/Iinks
-------
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).
Part / - A Planning Guide for Construction and Development 46 http://www.cicacenter.org/links
-------
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/;
Part I - A Planning Guide for Construction and Development 47 http://www.cicacenter.org/Iinks
-------
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/.
Part I - A Planning Guide for Construction and Development 48 http://wwfw.cicacenter.org/Iinks
-------
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.
Part / - A Planning Guide for Construction and Development
49
http://www.cicacenter.org/links
-------
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
Part / - A Planning Guide for Construction and Development
50
http://www.cicacenter.org/links
-------
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.
Part / - A Planning Guide for Construction and Development 51 http://www.cicacenter.org/links
-------
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.
Part / - A Planning Guide for Construction and Development
52
http://www.cicacenter.org/links
-------
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;
Part I - A Planning Guide for Construction and Development 53 http://www.cicacenter.org/Iinks
-------
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/.
Part I - A Planning Guide for Construction and Development 54 http://wwfw.cicacenter.org/Iinks
-------
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
Part / - A Planning Guide for Construction and Development
55
http://www.cicacenter.org/links
-------
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
Part / - A Planning Guide for Construction and Development
56
http://www.cicacenter.org/links
-------
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.
Part / - A Planning Guide for Construction and Development 57 http://www.cicacenter.org/links
-------
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
Part / - A Planning Guide for Construction and Development 58 http://www.cicacenter.org/links
-------
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;
Part / - A Planning Guide for Construction and Development
59
http://www.cicacenter.org/links
-------
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.
Part / - A Planning Guide for Construction and Development
60
http://www.cicacenter.org/links
-------
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.
Part I - A Planning Guide for Construction and Development 61 http://www.cicacenter.org/Iinks
-------
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.
Part I - A Planning Guide for Construction and Development 62 http://MnMW.cicacenter.org/Iinks
-------
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
Part / - A Planning Guide for Construction and Development
63
http://www.cicacenter.org/links
-------
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);
Part I - A Planning Guide for Construction and Development 64 http://wwfw.cicacenter.org/Iinks
-------
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;
Part / - A Planning Guide for Construction and Development 65 http://www.cicacenter.org/links
-------
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.
Part / - A Planning Guide for Construction and Development 66 http://www.cicacenter.org/links
-------
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.
Part I - A Planning Guide for Construction and Development 67 http://www.cicacenter.org/Iinks
-------
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.
Part I - A Planning Guide for Construction and Development 68 http://wwfw.cicacenter.org/Iinks
-------
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.
Part / - A Planning Guide for Construction and Development
69
http://www.cicacenter.org/links
-------
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.
Part / - A Planning Guide for Construction and Development
70
http://www.cicacenter.org/links
-------
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/.
Part / - A Planning Guide for Construction and Development
71
http://www.cicacenter.org/links
-------
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.
Part I - A Planning Guide for Construction and Development 72 http://wwfw.cicacenter.org/Iinks
-------
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.
Part / - A Planning Guide for Construction and Development
73
http://www.cicacenter.org/links
-------
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.
Part I - A Planning Guide for Construction and Development 74 http://wwfw.cicacenter.org/Iinks
-------
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).
Part / - A Planning Guide for Construction and Development
75
http://www.cicacenter.org/links
-------
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.
Part / - A Planning Guide for Construction and Development
76
http://www.cicacenter.org/links
-------
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.
Part I - A Planning Guide for Construction and Development 77 http://www.cicacenter.org/Iinks
-------
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.
Part I - A Planning Guide for Construction and Development 78 http://wwfw.cicacenter.org/Iinks
-------
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.
Part I - A Planning Guide for Construction and Development 79 http://www.cicacenter.org/Iinks
-------
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.
Part I - A Planning Guide for Construction and Development 80 http://wwfw.cicacenter.org/Iinks
-------
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.
Part I - A Planning Guide for Construction and Development 81 http://www.cicacenter.org/Iinks
-------
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.
Part I - A Planning Guide for Construction and Development 82 http://wwfw.cicacenter.org/Iinks
-------
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.
Part I - A Planning Guide for Construction and Development 83 http://www.cicacenter.org/Iinks
-------
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.
Part I - A Planning Guide for Construction and Development 84 http://wwfw.cicacenter.org/Iinks
-------
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
Part / - A Planning Guide for Construction and Development
85
http://www.cicacenter.org/links
-------
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/.
Part I - A Planning Guide for Construction and Development 86 http://wwfw.cicacenter.org/Iinks
-------
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
Part / - A Planning Guide for Construction and Development 87 http://www.cicacenter.org/links
-------
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/.
Part I - A Planning Guide for Construction and Development 88 http://wwfw.cicacenter.org/Iinks
-------
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.
Part / - A Planning Guide for Construction and Development
89
http://www.cicacenter.org/links
-------
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.
Part / - A Planning Guide for Construction and Development 90
http://www.cicacenter.org/links
-------
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.
Part I - A Planning Guide for Construction and Development 91 http://www.cicacenter.org/Iinks
-------
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.
Part I - A Planning Guide for Construction and Development 92 http://wwrw.cicacenter.org/Iiriks
-------
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.
Part I - A Planning Guide for Construction and Development 93 http://www.cicacenter.org/Iinks
-------
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.
Part I - A Planning Guide for Construction and Development 94 http://wwrw.cicacenter.org/Iiriks
-------
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.
Part I - A Planning Guide for Construction and Development 95 http://www.cicacenter.org/Iinks
-------
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.
Part I - A Planning Guide for Construction and Development 96 http://wwfw.cicacenter.org/Iinks
-------
Part II
Managing Your Environmental Responsibilities:
Self-Audit Checklists
Part II - Self-Audit Checklists 1 http://www.cicacenter.org/links
-------
This Page Is Intentionally Left Blank
Part II - Self-Audit Checklists 11 http://www.cicacenter.org/links
-------
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
Part II - Self-Audit Checklists 111 http://www.cicacenter.org/links
-------
This Page Is Intentionally Left Blank
Part II - Self-Audit Checklists IV http://www.cicacenter.org/links
-------
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.
Part II - Self-Audit Checklists
1-1
http ://www.cicacenter. org/links
-------
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?
Part II - Self-Audit Checklists
1-2
http ://www.cicacenter. org/links
-------
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.
Part II - Self-Audit Checklists
1-3
http ://www.cicacenter. org/links
-------
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.
Part II - Self-Audit Checklists
1-4
http ://www.cicacenter. org/links
-------
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)?
Part II - Self-Audit Checklists
1-5
http ://www.cicacenter. org/links
-------
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?
Part II - Self-Audit Checklists
1-6
http ://www.cicacenter. org/links
-------
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?
Part II - Self-Audit Checklists
1-7
http ://www.cicacenter. org/links
-------
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).
Part II - Self-Audit Checklists
http ://www.cicacenter. org/links
-------
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:
Part II - Self-Audit Checklists
1-9
http ://www.cicacenter. org/links
-------
Managing Your Environmental Responsibilities Section I - Stormwater Checklist
This Page Is Intentionally Left Blank
Part II - Self-Audit Checklists 1-lU http://www.cicacenter.org/links
-------
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:.
Part II - Self-Audit Checklists 1-11 http://www.cicacenter.org/links
-------
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:
Part II - Self-Audit Checklists 1-1.2 http://www.cicacenter.org/links
-------
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:.
Part II - Self-Audit Checklists 1-1.3 http://www.cicacenter.org/links
-------
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:.
Part II - Self-Audit Checklists 1-14 http://www.cicacenter.org/links
-------
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
Part II - Self-Audit Checklists L-iJ http://www.cicacenter.org/links
-------
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
-------
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
I
3
a
to
o
o'
a
o
o
9
-------
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
I
3
a
o'
a
o
o
9
-------
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
3
a
to
to
o'
a
o
o
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
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
o'
a
o
o
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
o'
a
o
o
9
-------
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
o'
a
o
o
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'
a
o
o
9
-------
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.
Part II - Self-Audit Checklists
II-2
http ://www.cicacenter. org/links
-------
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?
Part II - Self-Audit Checklists
http ://www.cicacenter. org/links
-------
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?
Part II - Self-Audit Checklists
II-4
http ://www.cicacenter. org/links
-------
Managing Your Environmental Responsibilities Section II - Dredge and Fill/Wetlands Checklist
NOTES /ACTIONS NEEDED TO BRING SITE INTO COMPLIANCE:
F'art II - Self-Audit Checklists 11-j http://www.cicacenter.org/links
-------
Managing Your Environmental Responsibilities Section II - Dredge and Fill/Wetlands Checklist
This Page Is Intentionally Left Blank
F'art II - Self-Audit Checklists ll-O http://www.cicacenter.org/links
-------
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:
Part II - Self-Audit Checklists
II-7
http ://www.cicacenter. org/links
-------
Managing Your Environmental Responsibilities Section II - Dredge and Fill/Wetlands Checklist
This Page Is Intentionally Left Blank
F'art II - Self-Audit Checklists ll-o http://www.cicacenter.org/links
-------
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.
F'art II - Self-Audit Checklists 11-9 http://www.cicacenter.org/links
-------
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;
Part II - Self-Audit Checklists II-10 http://www.cicacenter.org/links
-------
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
Part II - Self-Audit Checklists 11-1 1 http://www.cicacenter.org/links
-------
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:
Part II - Self-Audit Checklists 11-12 http://www.cicacenter.org/links
-------
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.
Part II - Self-Audit Checklists 11-13 http://www.cicacenter.org/links
-------
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.
Part II - Self-Audit Checklists II-14 http://www.cicacenter.org/links
-------
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)
Part II - Self-Audit Checklists
11-15
http://www.cicacenter.org/links
-------
Managing Your Environmental Responsibilities
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.
Part II - Self-Audit Checklists
11-16
http://www.cicacenter.org/links
-------
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.
Part II - Self-Audit Checklists 11-1 / http://www.cicacenter.org/links
-------
Managing Your Environmental Responsibilities Section II - Dredge and Fill/Wetlands Checklist
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
Part II - Self-Audit Checklists II-18 http://www.cicacenter.org/links
-------
Managing Your Environmental Responsibilities Section II - Dredge and Fill/Wetlands Checklist
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.).
Part II - Self-Audit Checklists 11-1 y http://www.cicacenter.org/links
-------
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.
Part II - Self-Audit Checklists 11-20 http://www.cicacenter.org/links
-------
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.
Part II - Self-Audit Checklists 111-1 http://www.cicacenter.org/links
-------
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.
Part II - Self-Audit Checklists
111-2
http ://www.cicacenter. org/links
-------
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?
Part II - Self-Audit Checklists
http ://www.cicacenter. org/links
-------
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.
Part II - Self-Audit Checklists
III-4
http ://www.cicacenter. org/links
-------
Managing Your Environmental Responsibilities Section III - Oil Spill Prevention Checklist
NOTES /ACTIONS NEEDED TO BRING SITE INTO COMPLIANCE:
Part II - Self-Audit Checklists 111-j http://www.cicacenter.org/links
-------
Managing Your Environmental Responsibilities Section III - Oil Spill Prevention Checklist
This Page Is Intentionally Left Blank
Part II - Self-Audit Checklists III-6 http://www.cicacenter.org/links
-------
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:.
Part II - Self-Audit Checklists 111- / http://www.cicacenter.org/links
-------
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:.
Part II - Self-Audit Checklists III-8 http://www.cicacenter.org/links
-------
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:
Part II - Self-Audit Checklists
m-9
http ://www.cicacenter. org/links
-------
Managing Your Environmental Responsibilities Section III - Oil Spill Prevention Checklist
This Page Is Intentionally Left Blank
Part II - Self-Audit Checklists III-10 http://www.cicacenter.org/links
-------
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.
Part II -Self-Audit Checklists III-l 1 http://www.cicacenter.org/links
-------
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;
Part II - Self-Audit Checklists III-12 http://www.cicacenter.org/links
-------
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:
Part II - Self-Audit Checklists III-13 http://www.cicacenter.org/links
-------
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.
Part II - Self-Audit Checklists III-14 http://www.cicacenter.org/links
-------
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.
Part II - Self-Audit Checklists III-1 5 http://www.cicacenter.org/links
-------
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.
Part II - Self-Audit Checklists III-16 http://www.cicacenter.org/links
-------
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.
F'artII- Self-Audit Checklists 1V-1 http://www.cicacenter.org/links
-------
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.
Part II - Self-Audit Checklists
IV-2
http ://www.cicacenter. org/links
-------
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.
Part II - Self-Audit Checklists IV-3 http://www.cicacenter.org/links
-------
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)!
Part II - Self-Audit Checklists
IV-4
http ://www.cicacenter. org/links
-------
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:
Part II - Self-Audit Checklists
IV-5
http ://www.cicacenter. org/links
-------
Managing Your Environmental Responsibilities Section IV - Hazardous Waste Self-Audit Checklist
NOTES /ACTIONS NEEDED TO BRING SITE INTO COMPLIANCE:
Part II-Self-Audit Checklists IV-6 http://www.cicacenter.org/links
-------
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:.
PartII- Self-Audit Checklists 1V-/ http://www.cicacenter.org/links
-------
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:.
Part II-Self-Audit Checklists IV-8 http://www.cicacenter.org/links
-------
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?
Part II - Self-Audit Checklists
IV-9
http ://www.cicacenter. org/links
-------
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:
Part II - Self-Audit Checklists
IV-10
http ://www.cicacenter. org/links
-------
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
Part II-Self-Audit Checklists IV-11 http://www.cicacenter.org/links
-------
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
Part II - Self-Audit Checklists IV-12 http://www.cicacenter.org/links
-------
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
Part II - Self-Audit Checklists IV-13 http://www.cicacenter.org/links
-------
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.
Part II - Self-Audit Checklists IV-14 http://www.cicacenter.org/links
-------
Managing Your Environmental Responsibilities Section IV - Hazardous Waste Self-Audit Checklist
• Sites cannot perform underground injection of hazardous wastes into any drinking
water source.
Part II - Self-Audit Checklists IV-15 http://www.cicacenter.org/links
-------
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
Part II - Self-Audit Checklists IV-16 http://www.cicacenter.org/links
-------
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).
Part II - Self-Audit Checklists IV-17 http://www.cicacenter.org/links
-------
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.
Part II - Self-Audit Checklists IV-18 http://www.cicacenter.org/links
-------
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.
Part II - Self-Audit Checklists IV-19 http://www.cicacenter.org/links
-------
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
Part II - Self-Audit Checklists IV-20 http://www.cicacenter.org/links
-------
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."
Part II - Self-Audit Checklists
IV-21
http ://www.cicacenter. org/links
-------
Managing Your Environmental Responsibilities Section IV - Hazardous Waste Self-Audit Checklist
This Page Is Intentionally Left Blank
Part II - Self-Audit Checklists IV-22 http://www.cicacenter.org/links
-------
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
Part II - Self-Audit Checklists V-l http://www.cicacenter.org/links
-------
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.
Part II - Self-Audit Checklists \-2. http://www.cicacenter.org/links
-------
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?
Part II - Self-Audit Checklists
V-3
http ://www.cicacenter. org/links
-------
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)?
Part II - Self-Audit Checklists
V-4
http ://www.cicacenter. org/links
-------
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:
Part II - Self-Audit Checklists
V-5
http ://www.cicacenter. org/links
-------
Managing Your Environmental Responsibilities Section V - Hazardous Substances Checklist
This Page Is Intentionally Left Blank
PartII - Self-Audit Checklists V-O http://www.cicacenter.org/links
-------
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:
Part II - Self-Audit Checklists
V-7
http ://www.cicacenter. org/links
-------
Managing Your Environmental Responsibilities Section V - Hazardous Substances Checklist
This Page Is Intentionally Left Blank
PartII - Self-Audit Checklists V-o http://www.cicacenter.org/links
-------
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.
Part II - Self-Audit Checklists V-;7 http://www.cicacenter.org/links
-------
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.
Part II-Self-Audit Checklists V-10 http://www.cicacenter.org/links
-------
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
PartII- Self-Audit Checklists V-ll http://www.cicacenter.org/links
-------
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
PartII - Self-Audit Checklists V-12 http://www.cicacenter.org/links
-------
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.
PartII - Self-Audit Checklists V-1J http://www.cicacenter.org/links
-------
Managing Your Environmental Responsibilities Section V - Hazardous Substances Checklist
This Page Is Intentionally Left Blank
Part II-Self-Audit Checklists V-14 http://www.cicacenter.org/links
-------
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).
PartII - Self-Audit Checklists VI-1 http://www.cicacenter.org/links
-------
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:
Part II - Self-Audit Checklists
VI-2
http ://www.cicacenter. org/links
-------
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:
Part II - Self-Audit Checklists
VI-3
http ://www.cicacenter. org/links
-------
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.
Part II - Self-Audit Checklists
VI-4
http ://www.cicacenter. org/links
-------
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.
Part II - Self-Audit Checklists
VI-5
http ://www.cicacenter. org/links
-------
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:
Part II - Self-Audit Checklists
VI-6
http ://www.cicacenter. org/links
-------
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?
Part II - Self-Audit Checklists
VI-7
http ://www.cicacenter. org/links
-------
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?
Part II - Self-Audit Checklists
VI-8
http ://www.cicacenter. org/links
-------
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?
Part II - Self-Audit Checklists
VI-9
http ://www.cicacenter. org/links
-------
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:
Part II - Self-Audit Checklists
VI-10
http ://www.cicacenter. org/links
-------
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
Part II -Self-Audit Checklists VI-11 http://www.cicacenter.org/links
-------
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.
Part II - Self-Audit Checklists VI-12 http://www.cicacenter.org/links
-------
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
Part II - Self-Audit Checklists VI-13 http://www.cicacenter.org/links
-------
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
Part II - Self-Audit Checklists VI-14 http://www.cicacenter.org/links
-------
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.
Part II - Self-Audit Checklists VI-15 http://www.cicacenter.org/links
-------
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
Part II - Self-Audit Checklists VI-16 http://www.cicacenter.org/links
-------
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
Part II - Self-Audit Checklists VI-17 http://www.cicacenter.org/links
-------
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.
Part II - Self-Audit Checklists VI-18 http://www.cicacenter.org/links
-------
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.
Part II - Self-Audit Checklists VI-19 http://www.cicacenter.org/links
-------
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.
Part II - Self-Audit Checklists VI-20 http://www.cicacenter.org/links
-------
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.
Part II - Self-Audit Checklists VI-21 http://www.cicacenter.org/links
-------
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
Part II - Self-Audit Checklists
VI-22
http ://www.cicacenter. org/links
-------
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.
Part II - Self-Audit Checklists
VI-23
http ://www.cicacenter. org/links
-------
Managing Your Environmental Responsibilities Section VI - Poly chlorinated Biphenyl Checklist
This Page Is Intentionally Left Blank
Part II - Self-Audit Checklists VI-24 http://www.cicacenter.org/links
-------
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.
Part II - Self-Audit Checklists VII-1 http://www.cicacenter.org/links
-------
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?
Part II - Self-Audit Checklists
VII-2
http ://www.cicacenter. org/links
-------
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.
Part II - Self-Audit Checklists
vii-:
http ://www.cicacenter. org/links
-------
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.
Part II - Self-Audit Checklists
VII-4
http ://www.cicacenter. org/links
-------
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:
Part II - Self-Audit Checklists
VII-5
http ://www.cicacenter. org/links
-------
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
Part II - Self-Audit Checklists
VII-6
http ://www.cicacenter. org/links
-------
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?
Part II - Self-Audit Checklists
VII-7
http ://www.cicacenter. org/links
-------
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?
Part II - Self-Audit Checklists
VII-8
http ://www.cicacenter. org/links
-------
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.
Part II - Self-Audit Checklists
VII-9
http ://www.cicacenter. org/links
-------
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:
Part II - Self-Audit Checklists
VII-10
http ://www.cicacenter. org/links
-------
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:
Part II - Self-Audit Checklists
VII-11
http ://www.cicacenter. org/links
-------
Managing Your Environmental Responsibilities Section VII - Asbestos Checklist
This Page Is Intentionally Left Blank
Part II - Self-Audit Checklists VII-12 http://www.cicacenter.org/links
-------
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.
Part II - Self-Audit Checklists VII-13 http://www.cicacenter.org/links
-------
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:
Part II - Self-Audit Checklists VII-14 http://www.cicacenter.org/links
-------
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.
Part II - Self-Audit Checklists VII-15 http://www.cicacenter.org/links
-------
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
Part II - Self-Audit Checklists
VII-16
http ://www.cicacenter. org/links
-------
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
------- |