United States
Environmental Protection
Agency	
Enforcement and
Compliance Assurance
(2224-A)	
EPA 305-B-01-002
March 2001
Protocol for Conducting
Environmental Compliance
Audits under the Emergency
Planning and Community
Right-to-Know Act and
CERCLA Section 103
          EPA Office of Compliance

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Protocol for Conducting Environmental Compliance Audits under EPCRA and CERCLA Section 103
Notice

U.S. EPA's Office of Compliance  prepared this  document to aid  regulated entities in developing programs  at
individual facilities to evaluate their compliance with environmental requirements arising under federal law.  The
statements  in this document are intended  solely  as  guidance to you in  this effort.   Among other  things, the
information provided in this document describes existing requirements for regulated entities under the Emergency
Planning and Community Right -to-Know Act (EPCRA) and under CERCLA Section 103 and their implementing
regulations at 40 CFR 355 through  372  under EPCRA and 40 CFR 302 under CERCLA While the Agency has
made every effort to ensure the accuracy of the statements in this document, the regulated entity's legal obligations
are determined by the terms of its applicable environmental facility-specific  permits, and underlying statutes and
applicable state and local law.   Nothing in this document alters any statutory,  regulatory or permit requirement.  In
the event of a conflict between statements in this document and either the permit or the  regulations, the document
would not be controlling.  U.S.  EPA may decide to revise this document without notice to reflect changes in EPA's
regulations or to  clarify and update the text. To determine whether U.S. EPA has revised this document and/or  to
obtain additional copies, contact U.S. EPA's National Center for Environmental Publications at (1-800-490-9198).
The contents of this document reflect regulations issued as of January 31, 2001.


Acknowledgments

U.S. EPA would like to gratefully acknowledge the support of the U.S. Army Corps of Engineers Construction
Engineering Research Laboratory (CERL) for providing suggestions for overall format of this document. The Office
of Compliance at U.S. EPA gratefully acknowledges the contribution of U.S. EPA's program offices and the U.S.
EPA's Office of Counsel in reviewing and providing comment on this document.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.

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Protocol for Conducting Environmental Compliance Audits under EPCRA and CERCLA Section 103
Table of Contents

Notice	inside cover
Acknowledgment	inside cover

Section 1: Introduction
Background	ii
Who Should Use These Protocols?	ii
U.S. EPA's Public Policies that Support Environmental Auditing	iii
How To Use the Protocols	iv
The Relationship of Auditing to Environmental Management Systems	vi

Section II: Audit Protocol
Applicability	1
Review of Federal Legislation	1
State and Local Regulations	1
Key Compliance Requirements	2
Key Terms and Definitions	4
Typical Records to Review	 10
Typical Physical Features to Inspect	 10
List of Acronyms and Abbreviations	 10
Index for Checklist Users	 13
Checklist	 15

Appendices
Appendix A: Lower Thresholds for Chemicals of Special Concern	Al
Appendix B: User Satisfaction Questionnaire and Comment Form	Bl
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.

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Protocol for Conducting Environmental Compliance Audits under EPCRA and CERCLA Section 103


                                              Section I
                                           Introduction


Background

The Environmental Protection Agency (U.S. EPA) is responsible for ensuring that businesses and organizations
comply with federal laws that protect the public health and the environment. U.S. EPA's Office of Enforcement and
Compliance Assurance (OECA) has begun combining traditional enforcement activities with more innovative
compliance approaches including the provision of compliance assistance to the general public. U.S. EPA's Office of
Compliance Assistance was established in 1994 to focus on compliance assistance-related activities. U.S. EPA is
also encouraging the development of serf-assessment programs at individual facilities.  Voluntary audit programs
play an important role in helping companies meet their obligation to comply with environmental requirements. Such
assessments can be a critical link, not only to improved compliance, but also to improvements in other aspects of an
organization's performance.  For example, environmental audits may identify pollution prevention opportunities that
can substantially reduce an organization's operating costs. Environmental audits can also serve as an important
diagnostic tool in evaluating a facility's overall environmental management system or EMS.

U.S. EPA is developing 13 multi-media Environmental Audit Protocols to assist and encourage businesses and
organizations to perform environmental audits and disclose violations in accordance with OECA's Audit and Small
Business Policies. The audit protocols are also intended to promote consistency among regulated entities when
conducting environmental audits and to ensure that audits are conducted in a thorough and comprehensive manner.
The protocols provide detailed regulatory checklists that can be customized to meet specific needs under the
following primary environmental management areas:
      Generation of RCRA
      Hazardous Waste
     CERCLA

     Safe Drinking Water Act

     Managing Nonhazardous
      Solid Waste
   Treatment Storage and
    Disposal of RCRA
    Hazardous Waste

   Clean Air Act

   TSCA

   Pesticides Management
    (FIFRA)
                                        RCRA Regulated Storage
                                         Tanks
   EPCRA
   Clean Water Act

   Universal Waste and Used Oil

   Management of Toxic
    Substances (e.g., PCBs,
    lead-based paint,
    and asbestos)
Who Should Use These Protocols?

U.S. EPA has developed these audit protocols to provide regulated entities with specific guidance in periodically
evaluating their compliance with federal environmental requirements. The specific application of this particular
protocol, in terms of which media or functional area it applies to, is described in Section II under "Applicability".
The Audit Protocols are designed for use by individuals who are already familiar with the federal regulations but
require an updated comprehensive regulatory  checklist to conduct environmental compliance audits at regulated
facilities. Typically, compliance audits are performed by persons who are not necessarily media or legal experts but
instead possess a working knowledge of the regulations and a familiarity with the operations and practices of the
facility to be audited. These two basic skills are a prerequisite for adequately identifying areas at the facility subject
to environmental regulations and potential regulatory violations that subtract from the organizations environmental
performance. With these basic skills, audits can be successfully conducted by persons with various educational
backgrounds (e.g., engineers, scientists, lawyers, business owners or operators). These protocols are not intended to

This document is intended solely for guidance. No statutory or regulatory                                    ii
requirements are in any way altered by any statement(s) contained herein.

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Protocol for Conducting Environmental Compliance Audits under EPCRA and CERCLA Section 103
be a substitute for the regulations nor are they intended to be instructional to an audience seeking a primer on the
requirements under Title 40; however, they are designed to be sufficiently detailed to support the auditor's efforts.

The term "Protocol" has evolved over the years as a term of art among the professional practices of auditing and
refers to the actual working document used by auditors to evaluate facility conditions against a given set of criteria
(in this case the federal regulations).  Therefore these documents describe "what" to audit a facility for rather than
"how" to conduct an audit. To optimize the effective use of these documents, you should become familiar with basic
environmental auditing practices.  For more guidance on how to conduct environmental audits, U.S. EPA refers
interested parties to two well-known organizations: The Environmental Auditing Roundtable (EAR) and the Institute
for Environmental Auditing (IEA).

Environmental Health and Safety Auditing Roundtable       The Institute for Environmental Auditing
35888 Mildred Avenue                                   Box 23686
North Ridgeville, Ohio 44039                             L'Enfant Plaza Station
(216) 327-6605                                          Washington, DC 20026-3686

U.S. EPA's Public Policies that Support Environmental Auditing

In 1986, in an effort to encourage the use of environmental auditing, EPA published its "Environmental Auditing
Policy Statement" (see 51 FR 25004). The 1986 audit policy states that "it is EPA policy to encourage the use of
environmental auditing by regulated industries to help achieve and maintain compliance with environmental laws and
regulation, as well as to help identify and correct unregulated environmental hazards."  In addition, EPA defined
environmental auditing as "a systematic, documented, periodic, and objective review of facility operations and
practices related to meeting environmental requirements."  The policy also identified several objectives for
environmental audits:
             verifying compliance with environmental requirements,
             evaluating the effectiveness of in-place environmental management systems, and
             assessing risks from regulated and unregulated materials and practices.

In 1995, EPA published "Incentives for Serf-Policing: Discovery, Disclosure, Correction and Prevention of
Violations" - commonly known as the EPA Audit Policy - which both reaffirmed and expanded the Agency's 1986
audit policy (see  60 FR 66706 December 22, 1995). The 1995 audit policy offered major incentives for entities to
discover, disclose and correct environmental violations.  On April 11, 2000, EPA issued a revised final Audit Policy
that replaces the  1995 Audit Policy (65 FR 19,617). The April 11, 2000 revision maintains the basic structure and
terms of the 1995 Audit Policy while lengthening the prompt disclosure period to 21 days, clarifying some of its
language (including the applicability of the Policy in the  acquisitions  context), and conforming its provisions to
actual EPA practices. The revised audit policy continues the Agency's general practice of waiving or substantially
mitigating gravity-based civil penalties for violations discovered through an environmental audit or through a
compliance management system, provided the violations are promptly disclosed and corrected and that all of the
Policy conditions are met. On the criminal side, the revised policy continues the Agency's general practice of not
recommending that criminal charges be brought against entities that disclose violations that are potentially criminal
in nature, provided the entity meets all of the policy's conditions.  The policy safeguards human  health and the
environment by precluding relief for violations that cause serious  environmental harm or may have presented an
imminent and substantial endangerment. The audit policy is available on the Internet at www.epa.gov/auditpol.html.

In 1996, EPA issued its "Policy on Compliance Incentives for Small Businesses" which is commonly called the
"Small Business Policy" (see 61 FR 27984 June 3,  1996). The Small Business Policy was intended to promote
environmental compliance among small businesses by providing them with special incentives to  participate in
government sponsored on-site compliance assistance programs or conduct environmental audits. EPA will eliminate
or reduce penalties for small businesses that voluntarily discover,  promptly disclose, and correct violations in a
timely manner.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.

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Protocol for Conducting Environmental Compliance Audits under EPCRA and CERCLA Section 103
On April 11, 2000, EPA issued its revised final Small Business Policy (see 65 FR 19630) to expand the options
allowed under the 1996 policy for discovering violations and to establish a time period for disclosure. The major
changes contained in the April 11, 2000 Small Business Policy revision include lengthening the prompt disclosure
period from 10 to 21 calendar days and broadening the applicability of the Policy to violations uncovered by small
businesses through any means of voluntary discovery. This broadening of the Policy takes advantage of the wide
range of training, checklists, mentoring, and other activities now available to small businesses through regulatory
agencies, private organizations, and the Internet.

More information on EPA's Small Business and Audit/Self-Disclosure Policies are available by contacting
EPA's Enforcement and Compliance Docket and Information Center at (202) 564-2614 or visiting the EPA
web site at: http://www.epa.gov/oeca/ccsmd/profile.html.

How to Use The Protocols

Each protocol provides guidance on key requirements, defines regulatory terms, and gives an overview of the federal
laws affecting a particular environmental management area.  They also include a checklist containing detailed
procedures for conducting a review of facility conditions.  The audit protocols are designed to support a wide range
of environmental auditing needs; therefore several of the protocols in this  set or sections of an individual protocol
may not be applicable to a particular facility. To provide greater flexibility, each audit protocol can be obtained
electronically from the U.S. EPA Website (www.EPA.gov/oeca/ccsmd/profile.html). The U.S. EPA Website offers
the protocols in a word processing format which allows the user to custom-tailor the checklists to more specific
environmental aspects associated with the facility to be audited.

The protocols are not intended to be an exhaustive set of procedures;  rather they are meant to inform the auditor,
about the degree and quality of evaluation essential to a thorough environmental audit. U.S. EPA is aware that other
audit approaches may also provide an effective means of identifying and assessing facility environmental status and
in developing corrective actions.

It is important to understand that there can be significant overlap  within the realm of the federal regulations.  For
example, the Department of Transportation (DOT) has established regulations governing the transportation of
hazardous materials.  Similarly, the Occupational Safety and Health Administration (OSHA) under the U.S.
Department of Labor has promulgated regulations governing the protection of workers who are exposed to hazardous
chemicals.  There can also be significant overlap between federal and state environmental regulations.  In fact, state
programs that implement federally mandated programs may contain more  stringent requirements that are not
included in these protocols. There can also be multiple state agencies regulating the areas covered in these
protocols. The auditor also should determine which regulatory agency has authority for implementing an
environmental program so that the proper set of regulations is consulted. Prior to conducting the audit, the auditor
should review federal, state and local environmental requirements and expand the protocol, as required, to include
other applicable requirements not included in these documents.


 Review of Federal Legislation and Key Compliance Requirements:

These sections are intended to provide only supplementary information or a "thumbnail sketch" of the regulations
and statutes.  These sections are not intended to function as the main tool of the protocol (this is the purpose of the
checklist).  Instead, they serve to remind the auditor of the general thrust of the regulation and to scope out facility
requirements covered by that particular regulation.  For example, a brief paragraph describing record keeping and
reporting requirements and the associated subpart citations will identify and remind the auditor of a specific area of
focus at the facility. This allows the auditor to plan the audit properly and to identify key areas and documents
requiring review and analysis.
This document is intended solely for guidance. No statutory or regulatory                                    jv
requirements are in any way altered by any statement(s) contained herein.

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Protocol for Conducting Environmental Compliance Audits under EPCRA and CERCLA Section 103
State and Local Regulations:

Each U.S. EPA Audit Protocol contains a section alerting the auditor to typical issues addressed in state and local
regulations concerning a given topic area (e.g., RCRA and used oil).  From a practical standpoint, U.S. EPA cannot
present individual state and local requirements in the protocols. However, this section does provide general
guidance to the auditor regarding the division of statutory authority between U.S. EPA and the states over a specific
media. This section also describes circumstances where states and local governments may enact more stringent
requirements that go beyond the federal requirements.

U.S. EPA cannot overemphasize how important it is for the auditor to take under consideration the impact of state
and local regulations on facility compliance.  U.S. EPA has delegated various levels of authority to a majority of the
states for most of the federal regulatory programs including enforcement. For example, most facilities regulated
under RCRA, and/or CWA have been issued permits written by the states to ensure compliance with federal and state
regulations. In turn, many states may have delegated various levels of authority to local jurisdictions.  Similarly,
local governments (e.g., counties, townships) may issue permits for air emissions from the facility. Therefore,
auditors are advised to review local and state regulations in addition to the federal regulations in order to perform a
comprehensive audit.


Key Terms and Definitions:

This section of the protocol identifies terms of art used in the regulations and the  checklists that are listed in the
"Definitions" sections of the Code of Federal Regulations (CFR). It is important to note that not alldefinitions from
the CFR may be contained in this section, however; those definitions, which are commonly repeated in the checklists
or are otherwise critical to an audit process are included. Wherever possible, we  have attempted to list these
definitions as they are written in the CFR and not to interpret their meaning outside of the regulations.
The Checklists:

The checklists delineate what should be evaluated during an audit. The left column states either a requirement
mandated by regulation or a good management practice that exceeds the requirements of the federal regulations.
The right column gives instructions to help conduct the evaluation.  These instructions are performance objectives
that should be accomplished by the auditor. Some of the performance objectives may be simple documentation
checks that take only a few minutes; others may require a time-intensive physical inspection of a facility. The
checklists contained in these protocols are (and must be) sufficiently detailed to identify any area of the company or
organization that would potentially receive a notice of violation if compliance is not achieved. For this reason, the
checklists often get to a level of detail such that a specific paragraph of the subpart (e.g., 40 CFR262.34(a)(l)(i))
contained in the CFR is identified for verification by the auditor.  The checklists contain the following components:

       "Regulatory Requirement or Management Practice Column"
        The "Regulatory Requirement or Management Practice Column" states either a requirement mandated by
        regulation or a good management practice that exceeds the requirements of the federal regulations. The
        regulatory citation is given in parentheses after the stated requirement.  Good management practices are
        distinguished from regulatory requirements in the  checklist by the acronym (MP) and are printed in italics.

       "Reviewer Checks" Column:
        The items under the "Reviewer Checks:"  column identify requirements that must be verified to accomplish
        the auditor's performance objectives.  (The key to successful compliance auditing is to verify and document
        site observations and other data.) The checklists follow very closely with the text in the CFR in order to
        provide the service they are intended to fulfill (i.e., to be used for compliance auditing).  However, they are
        not a direct recitation of the CFR. Instead they are organized into more of a functional arrangement (e.g.,
        record keeping and reporting requirements vs. technical controls) to accommodate an auditor's likely
        sequence of review during the site visit. Wherever possible, the statements or items under the "Reviewer
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.

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Protocol for Conducting Environmental Compliance Audits under EPCRA and CERCLA Section 103
        Checks" column, will follow the same sequence or order of the citations listed at the end of the statement in
        the "Regulatory Requirement" column.

        "NOTE:" Statements
        "Note:" statements contained in the checklists serve several purposes. They usually are distinguished from
        "Verify" statements to alert the auditor to exceptions or conditions that may affect requirements or to
        referenced standards that are not part of Title 40 (e.g., American Society for Testing and Materials (ASTM)
        standards).  They also may be used to identify options that the regulatory agency may choose in interacting
        with the facility (e.g., permit reviews) or options the facility may employ to comply with a given
        requirement.

        Checklist Numbering System:
        The checklists also have a unique numbering system that allows the protocols to be more easily updated by
        topic area (e.g., RCRA Small Quantity Generator). Each topic area in turn is divided into control breaks to
        allow the protocol to be divided and assigned to different teams during the audit.  This is why blank pages
        may appear in the middle of the checklists. Because of these control breaks, there is intentional repetition
        of text (particularly "Note" Statements) under the "Reviewer Checks" column to prevent oversight of key
        items by the audit team members who may be using only a portion of the checklist for their assigned area.
Environmental regulations are continually changing both at the federal and state level. For this reason, it is
important for environmental auditors to determine if any new regulations have been issued since the publication of
each protocol document and, if so, amend the checklists to reflect the new regulations. Auditors may become aware
of new federal regulations through periodic review of Federal Register notices as well as public information bulletins
from trade associations and other compliance assistance providers. In addition, U.S. EPA offers information on new
regulations, policies and compliance incentives through several Agency Websites.  Each protocol provides specific
information regarding U.S. EPA program office websites and hotlines that can be accessed for regulatory and policy
updates.

U.S. EPA will periodically update these audit protocols to ensure their accuracy and quality. Future updates of the
protocols will reflect not only the changes in federal regulations but also public opinion regarding the usefulness of
these documents. Accordingly, the Agency would like to obtain feedback from the public regarding the format, style
and general approach used for the audit protocols.  The last appendix in each protocol document contains a user
satisfaction survey and comment form.  This form is to be used by U.S. EPA to measure the success of this tool and
future needs for regulatory checklists and auditing materials.

The Relationship of Auditing to Environmental Management Systems

An environmental auditing program is an integral part of any organization's environmental management system
(EMS). Audit findings generated from the use of these protocols can be used as a basis to implement, upgrade, or
benchmark environmental management systems.  Regular environmental auditing can be the key element to a high
quality environmental management program and will function best when an organization identifies the  "root causes"
of each audit finding. Root causes are the primary factors that lead to noncompliance events.  For example  a
violation of a facility's wastewater discharge permit may be traced back to breakdowns in management oversight,
information exchange, or inadequate evaluations by untrained facility personnel.

As shown in Figure 1, a typical approach to  auditing involves three basic steps:  conducting the audit, identifying
problems (audit findings), and fixing identified deficiencies. When the audit process is expanded, to identify and
correct root causes to noncompliance, the organization's corrective action part of its EMS becomes more effective.
In the expanded model, audit findings (exceptions) undergo a root cause analysis to identify underlying causes to
noncompliance events. Management actions are then taken to correct the underlying causes behind the audit findings
and improvements are made to the organizations overall EMS before another audit is conducted on the facility.


This document is intended solely for guidance. No  statutory or regulatory                                    vj
requirements are in any way altered by any statement(s) contained herein.

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Protocol for Conducting Environmental Compliance Audits under EPCRA and CERCLA Section 103
Expanding the audit process allows the organization to successfully correct problems, sustain compliance, and
prevent discovery of the same findings again during subsequent audits.  Furthermore, identifying the root cause of an
audit finding can mean identifying not only the failures that require correction but also successful practices that
promote compliance and prevent violations. In each case a root cause analysis should uncover the failures while
promoting the successes so that an organization can make continual progress toward environmental excellence.
                           Figure 1 - Expanded Corrective Action Model
                            Improve
                            Environmental
                            Mgmt. System
                            Effectiveness
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
VII

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Protocol for Conducting Environmental Compliance Audits under EPCRA and CERCLA Section 103
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This document is intended solely for guidance. No statutory or regulatory                                  vjjj
requirements are in any way altered by any statement(s) contained herein.

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Protocol for Conducting Environmental Compliance Audits under EPCRA and CERCLA Section 103


                                                 Section II
                                             Audit Protocol

Applicability

This audit protocol addresses facilities that manufacture, process, store, or otherwise use hazardous substances defined in 40
CFR Part 302, extremely hazardous substances (EHSs) defined in 40 CFR Part 355, and toxic chemicals defined in 40 CFR
Part 372.  This document is an update to the previous U.S. EPA document titled Protocol for Conducting Environmental
Compliance Audits under the Emergency Planning and Community Right-to-Know Act (EPA Document No. 305-B-98-007)
that was published by EPA in December 1998.  This updated version clarifies and refines sections of the first version of the
audit protocol and incorporates changes in the federal regulations that have occurred since December 1998.

There are numerous environmental regulatory requirements administered by federal, state, and local governments. Each level
of government may have a major impact on areas at the facility that are subject to the audit. Therefore, auditors are advised to
review federal, state, and local regulations in order to perform a comprehensive assessment.

Review of Federal Legislation

The Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA)
CERCLA, known commonly as Superfund, became law in 1980 and authorizes U.S. EPA to respond to releases or threatened
releases of hazardous  substances that may endanger public health, welfare, or the  environment.   The basic purpose of
CERCLA  is to provide  funding and  enforcement authority to  U.S.  EPA for overseeing  the clean up of environmental
contamination caused by responsible parties.  The Superfund Amendments and Reauthorization Act (SARA) of 1986 revised
various sections of CERCLA, and created a free-standing law, SARA Title  III, also known as the Emergency Planning  and
Community Right-to-Know Act (EPCRA).  The CERCLA hazardous substance release reporting regulations (Section 103; 40
CFR Part 302) direct the person in charge of a facility to report to the National Response Center any environmental release of
a listed hazardous substance that equals or exceeds a reportable quantity. Reportable quantities are listed in 40  CFR Section
302.4.   A release  report may trigger a response by  U.S. EPA or by one or more  federal or state emergency response
authorities.

Emergency Planning and Community Right-to-Know Act of 1986 (EPCRA)
This act, also known as SARA Title III, was designed to promote emergency planning and preparedness at both the state and
local level. It provides citizens, local governments, and local response authorities with information regarding the potential
hazards in their community. EPCRA requires the use of emergency planning and designates state and local governments as
recipients of information regarding certain chemicals used in the community. EPCRA has four major components:
   Emergency planning (Sections 301-303)
   Emergency release notification (Section 304)
   Community right-to-know reporting (Sections 311-312)
   Toxic chemical release reporting (Section 313)

Pollution Prevention Act of 1990 (PPA)
The goals of PPA were the following: preventing or reducing pollution at the  source whenever feasible; pollution that cannot
be prevented should be recycled in an environmentally safe manner whenever feasible; pollution that cannot be prevented or
recycled should be treated in an environmentally safe manner whenever feasible; and disposal or other release into the
environment should be employed only as a last resort and conducted in an environmentally safe manner. Section 6607 of the
PPA requires owners or operators of facilities who have to file an annual toxic chemical release form (Form R) under EPCRA
Section 313 to include a toxic chemical source reduction and recycling report for the preceding calendar year that has been
incorporated into the Form R.

State/Local Regulations

State and local emergency response agencies may establish additional and/or more stringent reporting requirements under
Section 312 of EPCRA and may require the use of state-specific reporting forms.


This document is intended solely for guidance. No statutory or regulatory                                       \
requirements are in any way altered by any statement(s) contained herein.

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Protocol for Conducting Environmental Compliance Audits under EPCRA and CERCLA Section 103


Key Compliance Requirements

Emergency Planning (40 CFR 355.30) (EPCRA Section 302)
A facility with quantities of extremely hazardous substances equal to or greater than the limits found in 40 CFR Part 355,
Appendix A is required to notify the state emergency response commission within 60 days that the facility is subject to
emergency planning requirements. The facility must designate a representative to participate in local emergency planning as a
facility emergency response coordinator. The facility must also submit additional information to the local emergency planning
committee upon request and notify them of any changes at the facility which might be relevant to emergency planning (i.e.,
designation of the emergency response coordinator, material changes in inventory) (40 CFR 355.10 through 355.30 and 40
CFR 355 Appendices A and B).

Emergency Release Notification (40 CFR 355.40) (EPCRA Section 304)
Under Section 304 of EPCRA, a facility that produces, uses, or stores a hazardous chemical must immediately notify the
designated state and local emergency response authorities if there is a release of a listed EHS or a hazardous substance that
equals or exceeds the reportable quantity for that substance. Refer to 40 CFR 355, Appendices A and B for the EHSs.  The
hazardous substances are designated under CERCLA (see 40 CFR 302.4). If the release is a CERCLA-listed hazardous
substance, the National Response Center (NRC) in Washington, DC, must also be notified (1-800-424-8802). If the release is
transportation-related, a 911 call will meet the requirement of notification to the state and local authorities. The NRC must
always be contacted for reportable transportation-related releases.

The initial notice should give as much information as possible about the release as long as notification is not delayed. The
initial notification of a release can be made by telephone, radio, or in person, but must be followed by a written notice to the
state and local emergency response authorities as soon as practicable (40 CFR 355.40(b)(3)).

Community Right-to-Know Requirements

   MSDS Reporting (40 CFR 370.21)
    Under Section 311 of EPCRA, those facilities which are required under OSHA's Hazard Communication Standard
    regulations to prepare or  have Material Safety Data Sheets (MSDSs) available are also required to submit copies of the
    MSDSs (or corresponding lists as described below) to the state  emergency response commission (SERC), local
    emergency planning committee (LEPC), and the fire department with jurisdiction over the facility. MSDSs (or
    corresponding lists) must be submitted for each hazardous chemical present at the facility according to the following
    thresholds:

       All hazardous chemicals present at the facility at any one time in amounts equal to or greater than 10,000 Ib. (4540
        kg) (Note: Hazardous chemicals requiring an MSDS are chemicals designated by OSHA under 29 CFR 1910.1200),
        and
       All extremely hazardous substances present at the  facility in amounts equal to or greater than 500 Ib. (227 kg -
        approximately 55 gal) or the threshold planning quantity, whichever is lower.

    If a hazardous chemical is present in a mixture, the facility can either provide information on the mixture or on each
    hazardous chemical component of the mixture.

    Instead of submitting the MSDSs, the facility can submit a list of hazardous chemicals for which MSDSs are required,
    grouped by hazard category (e.g., immediate health hazard, delayed health hazard, fire hazard, sudden release of pressure
    hazard, and reactive  hazard). The list must include the  chemical or common name of each substance. If the facility
    provides a list, it must provide a copy of the MSDS for any chemical on the list within 30 days of a request from the local
    emergency planning committee.

    If a new hazardous chemical exceeds the threshold limit or significant new information is discovered, the facility has 3
    months to submit the revised list of chemicals or new MSDS.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.

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Protocol for Conducting Environmental Compliance Audits under EPCRA and CERCLA Section 103


   Inventory Reporting (40 CFR 370.25, 370.40, 370.41)
    Under Section 312 of EPCRA, those facilities that are required under OSHA's Hazard Communication Standard
    regulations to prepare or have MSDSs available are also required to submit annual emergency and hazardous chemical
    inventory forms to the state emergency response commission, the local emergency planning committee, and the fire
    department that has jurisdiction over the facility.  The Tier I form includes chemical categories, quantities, and locations
    of hazardous chemicals on-site. More detailed information may be requested by emergency response organizations, in
    which case facilities must submit a Tier II form within 30 days. Facilities also can choose to submit the Tier II form
    instead of a Tier I report. Either report must be submitted on or before March 1 of each year.

    The information in these reports does not include  accidental releases or permitted discharges and is specifically targeted
    toward hazardous chemicals requiring MSDSs that are present on-site above the following threshold levels:
       All hazardous chemicals present at the facility at any one time in amounts equal to or greater than 10,000 Ib. (4540
        kg), and
       All extremely hazardous substances present at the facility in amounts equal to or greater than 500 Ib. (227 kg -
        approximately 55 gal) or the threshold planning quantity, whichever is lower.

     Facilities who submit inventory forms must allow the fire department to inspect the site upon request and must provide
    specific location information about hazardous chemicals at the facility.

Toxic Chemical Release Reporting (40 CFR 372)
Section 313  of EPCRA and Section 6607 of the PPA require certain facilities to report to the federal and state governments
the annual quantity of toxic chemicals (listed in 40 CFR 372.65) entering each environmental medium, either through normal
operations or as the result of an accident, quantities transferred offsite in waste, as well as other information. Facilities
subject to this requirement must submit to EPA and state officials a toxic chemical release form (Form R) for each toxic
chemical manufactured, processed, or otherwise used in quantities exceeding minimum threshold values during the preceding
calendar year. Facilities that have a "reportable waste quantity" of 500 Ib of a listed toxic chemical may take advantage of an
alternate threshold of one million pounds. If the facility does not manufacture, process or otherwise use more than one million
pounds, it may certify by filing a Form A certification statement rather than a Form R. Releases that must be reported include
those to air, water, and land (including land disposal and underground injection). In addition,  discharges to a POTW and
transfers to off-site locations for treatment, disposal, energy recovery, and recycling must also be reported. Facilities must also
report on the quantities of the chemicals treated, recycled, or combusted for energy recovery on-site.

Form R/Form A reports must be submitted to both the EPA and the  state on or before July 1. Copies of Form R/Form A
reports and related documentation must be kept at the facility for three years after the report is submitted.

The Pollution Prevention Act requires facilities subject  to Form R/Form A reporting to also submit information on
source reduction.
For further information regarding the EPCRA regulations, contact U.S. EPA's EPCRA, RCRA/UST, and Superfund Hotline
at 800-424-9346 (or 703-412-9810 in the D.C. area) from 9 a.m. to 6 p.m., Monday through Friday.

This U.S. EPA hotline provides up-to-date information on regulations developed under EPCRA, as well as RCRA, CERCLA
(Superfund), and the Oil Pollution Act. The hotline can assist with Section 112(r) of the Clean Air Act (CAA) and Spill
Prevention, Control and Countermeasures (SPCC) regulations. The hotline also responds to requests for relevant documents
and can direct the caller to additional tools that provide a more detailed discussion of specific regulatory requirements.

In addition, the U.S. EPA, as the chair of the National Response Team (NRT), has developed the NRT's Integrated
Contingency Plan Guidance ("one plan"). This guidance is intended to be used by facilities to prepare emergency response
plans. The guidance provides a mechanism for consolidating multiple plans that facilities may have prepared to comply with
various regulations into one functional emergency response plan or integrated contingency plan (ICP).  Copies of the
guidance can be obtained by calling the Superfund Hotline number listed above. In addition, this guidance is available
electronically at the home page of U.S. EPA's Chemical Emergency Preparedness and Prevention Office
(www.epa.gov/swercepp/)


This document is intended solely for guidance. No statutory or regulatory                                       3
requirements are in any way altered by any statement(s) contained herein.

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Protocol for Conducting Environmental Compliance Audits under EPCRA and CERCLA Section 103
Key Terms and Definitions

Act
The Superfund Amendments and Reauthorization Act of 1986 (40 CFR 355.20).

Acts
Title III (40 CFR 372.3).

Article
A manufactured item which (40 CFR 372.3):
1.  is formed to a specific shape or design during manufacture;
2.  has end use functions dependent in whole or in part upon its shape or design during end use;
3.  does not release a toxic chemical under normal conditions of processing or use of that item at the facility or
    establishments.

Beneficiation
The preparation of ores to regulate the  size (including crushing and grinding) of the product, to remove unwanted
constituents, or to improve the quality,  purity, or grade of a desired product (40 CFR 372.3).

Boiler
An enclosed device using controlled flame combustion and having the following characteristics (40 CFR 372.3):
1.  all of the following:
    a)   the unit must have physical provisions for recovering and exporting thermal energy in the form of steam, heated
        fluids, or heated gases; and
    b)   the unit's combustion chamber and primary energy recovery section(s) must be of integral design. To be of integral
        design, the chamber and the primary energy recovery section(s)  (such as waterwalls and superheaters) must be
        physically formed into  one manufactured or assembled unit. A unit in which the combustion chamber and the
        primary energy recovery section(s) are joined only by ducts or connections carrying flue gas is not integrally
        designed; however, secondary energy recovery equipment (such as economizers or air preheaters) need not be
        physically formed into  the same unit as the combustion chamber and the primary energy recovery section.  The
        following units are not precluded from being boilers solely because they are not of integral design: process heaters
        (units that transfer energy directly to a process stream), and fluidized bed combustion units; and
    c)   while in operation, the  unit must maintain a thermal energy recovery efficiency of at least 60 percent, calculated in
        terms of the recovered  energy compared with the thermal value of the fuel; and
    d)   the unit must export and utilize at least 75 percent of the recovered energy, calculated on an annual basis.  In this
        calculation, no credit shall be  given for recovered heat  used internally in the same unit. (Examples of internal use are
        the preheating of fuel or combustion air, and the driving of induced or forced draft fans or feedwater pumps); or
2.  the unit is one which the Regional  Administrator has determined, on a case-by-case basis, to be a boiler, after considering
    the standards in 40 CFR 260.32.

CERCLA
The Comprehensive Environmental Response, Compensation and Liability Act of 1980, as amended (40  CFR 355.20).

CERCLA Hazardous Substance
A substance on the list defined in section 101(14) of CERCLA.  (NOTE:  Listed CERCLA hazardous substances appear in
table 302.4 of 40 CFR Part 302) (40 CFR 355.20).

Chief Executive Officer of the Tribe
The person who is recognized by the Bureau of Indian Affairs as the chief elected administrative officer of the tribe (40 CFR
355.20, 370.2, and 372.3).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.

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Protocol for Conducting Environmental Compliance Audits under EPCRA and CERCLA Section 103


Coal Extraction
The physical removal or exposure of ore, coal, minerals, waste rock, or overburden prior to beneficiation, and encompasses
all extraction-related activities prior to beneficiation. Extraction does not include beneficiation (including coal preparation),
mineral processing, in situ leaching or any further activities (40 CFR 372.3).

Commission
The emergency response commission for the State in which the facility is located except where the facility is located in Indian
Country,  in which case, commission means the emergency response commission for the tribe under whose jurisdiction the
facility is located. In absence of an emergency response commission, the Governor and the chief executive officer,
respectively, shall be the commission.  Where there is a cooperative agreement between a State and a Tribe, the commission
shall be the entity identified in the agreement (40 CFR 355.20 and 370.2)

Committee or Local Emergency Planning Committee (LEPC)
The local emergency planning committee appointed by the state emergency response commission (40 CFR 355.20 and 370.2).

Continuous
A continuous release is a release that occurs without interruption or abatement or that is routine, anticipated, and intermittent
and incidental to normal operations or treatment processes (40 CFR 302.8(b))

Customs Territory of the United States
The 50 states, the District of Columbia, and Puerto Rico (40 CFR 372.3).

Disposal
Any underground injection, placement in landfills/surface impoundments, land treatment, or other intentional land disposal
(40 CFR  372.3).

Environment
Water, air, and land and the interrelationship which exists among and between water, air, and land and all living things (40
CFR 355.20 and 370.2).

EPA
The United States Environmental Protection Agency (40 CFR 372.3).

Establishment
An economic unit, generally at a single physical location,  where business is conducted or where  services or industrial
operations are performed (40 CFR 372.3).

Extremely Hazardous Substance
A substance listed in Appendices A and B of 40 CFR 355 (40 CFR 355.20).

Extremely Hazardous Substance
A substance listed in the appendices to 40 CFR Part 355, Emergency Planning and Notification (40 CFR 370.2).

Facility
All buildings, equipment, structures, and other stationary items that are located on a single  site or on contiguous or adjacent
sites and  which are owned or operated by the same person (or by any person which controls, is controlled by, or under
common  control with, such person).  A facility may contain more than one establishment. Facility shall include manmade
structures as well as all natural structures in which chemicals are purposefully placed or removed through human means such
that it functions as a containment structure for human use. For purposes  of emergency release notification, the term includes
motor vehicles, rolling stock, and aircraft (40 CFR 355.20 and 370.2).

Facility
All buildings, equipment, structures, and other stationary items which are located on a single site or on contiguous or adjacent
sites and  which are owned or operated by the same person (or by any person which controls, is controlled by, or under
common  control with such person). A facility may contain more than one establishment (40 CFR 372.3).

This document is intended solely for guidance. No statutory or regulatory                                        5
requirements are in any way altered by any statement(s) contained herein.

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Protocol for Conducting Environmental Compliance Audits under EPCRA and CERCLA Section 103
Full-time Employee
2000 hours per year of full-time equivalent employment. To calculate the number of full-time employees, total the hours
worked during the calendar year by all employees, including contract employees, and divide the total by 2000 hours (40 CFR
372.3).

Hazard Category
Any of the following (40 CFR 370.2):
1.  immediate (acute) health hazard, including highly toxic, toxic, irritant, sensitizer, corrosive, (as defined under Sec.
    1910.1200 of Title 29 of the Code of Federal Regulations) and other hazardous chemicals that cause an adverse effect to
    a target organ and which effect usually occurs rapidly as a result of short term exposure and is of short duration;
2.  delayed (chronic) health hazard, including carcinogens (as defined under Sec. 1910.1200 of Title 29 of the Code of
    Federal Regulations) and other hazardous chemicals that cause an adverse effect to a target organ and which effect
    generally occurs as a result of long term exposure and is of long duration;
3.  fire hazard, including flammable, combustible liquid, pyrophoric, and oxidizer (as defined under Sec. 1910.1200 of Title
    29 of the Code of Federal Regulations);
4.  sudden release of pressure, including explosive and compressed gas (as defined under Sec. 1910.1200 of Title 29 of the
    Code of Federal Regulations); and
5.  reactive, including unstable reactive, organic peroxide, and water reactive (as defined under Sec. 1910.1200 of Title 29
    of the Code of Federal Regulations).

Hazardous Chemical
Any hazardous chemical as defined under Sec. 1910.1200(c) of Title 29 of the Code of Federal Regulations, except for the
following substances (40 CFR 355.20 and 370.2):
1.   any food, food additive, color additive, drug, or cosmetic regulated by the Food and Drug Administration.
2.   any substance present as a solid in any manufactured item to the extent that exposure to the substance does not occur
     under normal conditions of use.
3.   any substance to the extent it is used for personal, family, or household purposes, or is present in the same form and
     concentration as a product packaged for distribution and use by the general public.
4.   any substance to the extent it is used in a research laboratory or a hospital or other medical facility under the direct
     supervision of a technically qualified individual.
5.   any substance to the extent it is used in routine agricultural operations or is fertilizer held for sale by a retailer to the
     ultimate customer.

Hazardous Substance
Any substance designated pursuant to 40 CFR 302 (40 CFR 302.3).

Import
To intend a chemical to be imported into the customs territory of the United States and to control the identity of the imported
chemical and the amount to be imported (40  CFR 372.3).

Indian Country
Indian country as defined in 18 U.S.C. 1151  (40 CFR 355.20, 370.2 and 372.3):
1.  all land within the limits of any Indian reservation under the jurisdiction of the United States government,
    notwithstanding the issuance of any patent, and including rights-of-way running through the reservation;
2.  all dependent Indian communities within the borders of the United States whether within the original or subsequently
    acquired territory thereof, and whether within or without the limits of a state;
3.  all Indian allotments, the Indian titles to  which have not been extinguished, including rights-of-way running through the
    same.

Indian Tribe
Those tribes federally recognized by the Secretary of the Interior (40 CFR 355.20, 370.2 and 372.3).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.

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Protocol for Conducting Environmental Compliance Audits under EPCRA and CERCLA Section 103
Industrial Furnace
Any of the following enclosed devices that are integral components of manufacturing processes and that use thermal treatment
to accomplish recovery of materials or energy (40 CFR 372.3):
1.  cement kilns
2.  lime kilns
3.  aggregate kilns
4.  phosphate kilns
5.  coke ovens
6.  blast furnaces
7.  smelting, melting and refining furnaces (including pyrometallurgical devices such as cupolas, reverberator furnaces,
    sintering machines, roasters, and foundry furnaces)
8.  titanium dioxide chloride process oxidation reactors
9.  methane reforming furnaces
10.  pulping liquor recovery furnaces
11.  combustion devices used in the recovery of sulfur values from spent sulfuric acid
12.  halogen acid furnaces (HAFs) for the production of acid from halogenated hazardous waste generated by chemical
    production facilities where the furnace is located on the site of a chemical production facility, the acid product has a
    halogen acid content of at least 3%, the acid product is used in a manufacturing process, and, except for hazardous waste
    burned as fuel, hazardous  waste fed to the furnace has a  minimum halogen content of 20% as-generated
13.  such other devices as the Administrator may, after notice and comment, add to this list on the basis of one or more of the
    following factors:
    a)  the design and use of the device primarily to accomplish recovery of material products;
    b)  the use of the device to burn or reduce raw materials to make a material product;
    c)  the use of the device to burn or reduce secondary  materials as effective substitutes for raw materials, in processes
        using raw materials as principal feedstocks;
    d)  the use of the device to burn or reduce secondary  materials as ingredients in an industrial process to make a material
        product;
    e)  the use of the device in common industrial practice to produce a material product; and
    f)  other factors,  as appropriate.

Inventory Form
The Tier I and Tier II emergency and hazardous chemical inventory forms set forth in Subpart D of 40 CFR 370 (40 CFR
370.2).

Land Disturbance Incidental to Extraction
This includes: land clearing; overburden removal and stockpiling; excavating, handling, transporting, and storing ores and
other raw materials;  and replacing materials in mined-out areas as long as such materials have  not been beneficiated or
processed and do not contain elevated radionuclide concentrations (greater than 7.6 picocuries per gram or pCi/g of Uranium-
238, 6.8 pCi/g of Thorium-232, or 8.4 pCi/g of Radium-226) (40 CFR 355.40)

Material Safety Data Sheet or MSDS
The sheet required to be developed under 29 CFR  1910.1200(g) (40 CFR 370.2).

Manufacture
To produce, prepare, import, or compound a toxic chemical.  Manufacture also includes coincidental production of a toxic
chemical during the  manufacture, processing, use, or treatment of another chemical or mixture of chemicals, including a toxic
chemical that is separated from that other chemical or mixture of chemicals as a byproduct, and a toxic chemical that remains
in that other chemical or mixture as an impurity (>0.1% for carcinogens; otherwise >1%) (40 CFR 372.3).

Management Practice
Practice that, although not mandated by law, is  encouraged to promote safe operating procedures.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.

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Protocol for Conducting Environmental Compliance Audits under EPCRA and CERCLA Section 103


Mixture (EPCRA 311,312, and 313)
Any combination of two or more chemicals, if the combination is not, in whole or in part, the result of a chemical reaction.
However, if the combination was produced by a chemical reaction but could have been produced without a chemical reaction,
it is also treated as a mixture. A mixture also includes any combination that consists of a chemical and associated impurities
(40 CFR 372.3).

Mixture (EPCRA 304)
A heterogeneous association of substances where the various individual substances retain their identities and can usually be
separated by mechanical means. Includes solutions or compounds but does not include alloys or amalgams (40 CFR 355.20).

Normal Range
The normal range of a release is all releases (in pounds or kilograms) of a hazardous substance reported or occurring over any
24-hour period under normal operating conditions during the preceding year. Only releases that are both continuous and
stable in quantity and rate may be included in the normal range (40 CFR 302.8(b)).

Otherwise Use
Any use of a toxic chemical that is not covered by the terms "manufacture" or "process" and includes use of a toxic chemical
contained in a mixture, trade name product or waste. Otherwise use of a toxic chemical does not include disposal,
stabilization (without subsequent distribution in commerce), or treatment for destruction unless (40 CFR 372.3):
1.  the toxic chemical that was disposed, stabilized, or treated for destruction was received from off-site for the purposes of
    further waste management; or
2.  the toxic chemical that was disposed, stabilized, or treated for destruction was manufactured as a result of waste
    management activities on materials received from off-site for the purposes of further waste management activities.
    Relabeling or redistributing of the toxic chemical where no repackaging of the toxic chemical occurs does not constitute
    otherwise use or processing of the toxic chemical.

Overburden
The unconsolidated material that overlies a deposit of useful materials or ores.  It does not include any portion of ore or waste
rock (40 CFR 372.3).

Person
Any individual, trust,  firm, joint stock company,  corporation (including a government corporation), partnership, association,
state, municipality, commission, political subdivision of a state, or interstate body (40 CFR 355.20 and 370.2).

Present in the Same  Form and Concentration as a Product Packaged for Distribution and Use by the General Public
A substance packaged in a similar manner and present in the same concentration as the substance when packaged for use by
the general public, whether or not it is intended for distribution to the general public or used for the same purpose as when it
is packaged for use by the general public (40 CFR 370.2).

Process
The preparation of a listed toxic chemical, after its manufacture, for distribution in commerce (40 CFR 372.3):
1.  in the same or different form or physical state from which it was received by the person preparing such substance, or
2.  as part of an article containing the toxic chemical.  Process also applies to the processing of a toxic chemical contained in
    a mixture or trade name product.

RCRA Approved Test Method
Includes Test Method 9095 (Paint Filter Liquids Test) in "Test Methods for Evaluating Solid Waste, Physical/Chemical
Methods," EPA Publication No. SW-846, Third Edition, September 1986, as amended by Update I, November 15,  1992 (40
CFR 372.3).

Release
Any spilling, leaking, pumping, pouring, emitting, emptying, discharging, injecting, escaping, leaching, dumping, or disposing
into the environment (including the abandonment or discarding of barrels, containers,  and other closed receptacles) of any
hazardous chemical, extremely hazardous substance, or CERCLA hazardous substance (40 CFR 355.20).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.

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Protocol for Conducting Environmental Compliance Audits under EPCRA and CERCLA Section 103


Release
Any spilling, leaking, pumping, pouring, emitting, emptying, discharging, injecting, escaping, leaching, dumping, or disposing
into the environment (including the abandonment or discarding of barrels, containers, and other closed receptacles) of any
toxic chemical (40 CFR 372.3).

Reportable Quantity
For a CERCLA hazardous substance, the reportable quantity is the amount established in 40 CFR 302 Table 302.4. For an
extremely hazardous substance, the reportable quantity is the amount established in 40 CFR 355, Appendices A and B (40
CFR 355.20).

Routine
Routine release is a release that occurs during normal operating procedures or processes (40 CFR 302.8(b))

Senior Management Official
An official with management responsibility for the person or persons completing the report, or the manager of environmental
programs for the facility or establishments, or for the corporation owning or operating the facility or establishment responsible
for certifying similar reports under other environmental regulatory requirements (40 CFR 372.3).

Stable In Quantity and Rate
A release that is stable in quantity and rate is a release that is predictable and regular in amount and rate of emission (40 CFR
302.8(b))  [Added April 1999].

State
Any state of the United States, the District of Columbia, the Commonwealth of Puerto Rico, Guam, American Samoa, the
United States Virgin Islands, the Northern Mariana Islands, any other territory or possession over which the United States has
jurisdictions and Indian Country (40 CFR 355.20, 370.2 and 372.3).

Statistically Significant Increase
A statistically significant increase in a release is an increase in the quantity of the hazardous substance released above the
upper bound of the reported normal range of the release (40 CFR 302.8(b))

Threshold Planning Quantity
The threshold planning quantity for an extremely hazardous substance as listed in 40 CFR 355, Appendices A and B (40 CFR
355.20 and 370.2).

Title III
Title III of the  Superfund Amendments and Reauthorization Act of 1986, also titled the Emergency Planning and Community
Right-to-Know Act of 1986 (40 CFR 372.3).

Toxic Chemical
A chemical or chemical category listed in 40 CFR 372.65  (40 CFR 372.3).

Trade Name Product
A chemical or mixture of chemicals that is distributed to other persons and that incorporates a toxic chemical component that
is not identified by the applicable chemical name or Chemical  Abstracts Service Registry number listed in 40 CFR 372.65.

Treatment for Destruction
The destruction of a toxic chemical in waste such that the substance is no longer the toxic chemical subject to reporting under
EPCRA section 313.  Treatment for destruction does not include the destruction of a toxic chemical in waste where the toxic
chemical has a heat value greater than 5,000 Btu and is combusted in any device that is an industrial furnace or boiler (40
CFR 372.3).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.

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Protocol for Conducting Environmental Compliance Audits under EPCRA and CERCLA Section 103


Unlisted Hazardous Substances
A solid waste, as defined in 40 CFR 261.2, which is not excluded from regulation as a hazardous waste under 40 CFR
261.4(b), is a hazardous substance under section 101(14) of CERCLA if it exhibits any of the characteristics identified in 40
CFR 261.20 through 261.24 (40 CFR 302.4(b))

Waste Stabilization
Any physical or chemical process used to either reduce the mobility of hazardous constituents in a hazardous waste or
eliminate free liquid as determined by a RCRA approved test method for evaluating solid waste as defined in 40 CFR 372.3.
A waste stabilization process includes mixing the hazardous waste with binders or other materials, and curing the resulting
hazardous waste and binder mixture. Other synonymous terms used to refer to this process are "stabilization," "waste
fixation," or "waste solidification" (40 CFR 372.3).

Typical Records to Review

   Emergency response plan(s)
   Emergency Release Notification Reports
   Chemical inventory forms
   MSDSs
   Pollution prevention plan (optional)
   Tier I/Tier II reports
   Toxic chemical source reduction and recycling reports (for facilities subject to Form R reporting)
   Toxic release inventory (TRI) reports (Form R/Form A) and related documentation
   Hazardous communication plan
   Contingency plan.

Typical Physical Features to Inspect

   Chemical storage areas
   Chemical manufacturing or processing areas (generation sites)
   Recordkeeping system
   Shop activities
   Hazardous material/waste transfer areas
   Treatment units
   Recycling sites
   Disposal sites
   Surface impoundments

List of Acronyms and Abbreviations

Btu         British Thermal Units
CAA       Clean Air Act
CAS        Chemical Abstract Service
CERCLA    Comprehensive Environmental Response, Compensation, and Liability Act (or Superfund)
CFR        Code of Federal Regulations
CWA       Clean Water Act
CY         Calendar Year
EHS        Extremely hazardous substance
EPA        Environmental Protection Agency
EPCRA     Emergency Planning and Community Right-to-Know Act of 1986
FR         Federal Register
gal.         Gallon
h           Hour
kg          Kilogram


This document is intended solely for guidance. No statutory or regulatory                                       19
requirements are in any way altered by any statement(s) contained herein.

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Protocol for Conducting Environmental Compliance Audits under EPCRA and CERCLA Section 103
Ib.         Pound
Ib/yr       Pounds per year
LEPC      Local Emergency Planning Committee
Mi         Mile
MP        Management practice
MSDS     Material Data Safety Sheet
NOV      Notice of violation
NRC       National Response Center
OSHA     Occupational Health and Safety Act
PAC       Polycyclic aromatic compound
PBT       Persistent bioaccumulative toxic
POTW     Publicly owned treatment works
PPA       Pollution Prevention Act of 1990
RCRA     Resource Conservation and Recovery Act
RQ        Reportable quantity
SARA     Superfund Amendments and Reauthorization Act of 1986
SERC      State Emergency Response Commission
SIC        Standard Industrial Classification
SPCC      Spill Prevention, Control and Countermeasures
TPQ       Threshold planning quantity
TRI        Toxic release inventory
U.S.C.     United States Code
yr         Year
=/>        Equal to or greater than
=/<        Equal to or less than
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.

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This document is intended solely for guidance. No statutory or regulatory                                      12
requirements are in any way altered by any statement(s) contained herein.

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Protocol for Conducting Environmental Compliance Audits under EPCRA and CERCLA Section 103
Index for Checklist Users
                                       Compliance Category Index

Category
General
Planning
Release Notification/Reporting
Recordkeeping
Refer To:
Checklist Items:
EP.1.1 through EP.l. 3
EP. 10.1 and EP. 10.2
EP.20.1 through EP.20.6
EP.30.1
Page Numbers:
15
17
19
33
                                             Statute Index

Statute or Statute Section
EPCRA Section 302
EPCRA Section 304
CERCLA Section 103
CERCLA Section 103(f)(2)
EPCRA Section 3 1 1
EPCRA Section 3 12
EPCRA Section 3 13
Refer To:
Checklist Items:
EP.10.1
EP.20.1
EP.20.5
EP.20.6
EP.20.2
EP.20.3
EP.20.4 and EP.30.1
Page Numbers:
17
19
27
28
20
22
26 and 33
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
13

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This document is intended solely for guidance. No statutory or regulatory                                      14
requirements are in any way altered by any statement(s) contained herein.

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Checklist
                                      COMPLIANCE CATEGORY:
                                                 EPCRA
       REGULATORY
    REQUIREMENT OR
      MANAGEMENT
         PRACTICE
                          REVIEWER CHECKS
 GENERAL

 EP.l
 EP.1.1.  The current status of
 any  ongoing  or  unresolved
 Consent  Orders,  Compliance
 Agreements,    Notices    of
 Violation    (NOVs),     or
 equivalent  state enforcement
 actions should be examined.
Determine if noncompliance issues have been resolved by reviewing a copy of the
previous audit  report, Consent Orders,  Compliance Agreements,  NOVs,  or
equivalent state enforcement actions.

Determine and indicate, for open items, what  corrective action is planned and
milestones established to correct problems.
 EP.1.2.      Facilities    are
 required to comply  with all
 applicable  federal regulatory
 requirements not contained in
 this checklist.
Determine if any new regulations have been issued since the finalization of this
guide.  If so, annotate checklist to include new standards.

Determine if the facility has activities or facilities that are federally regulated, but
not addressed in this checklist.

Verify  that the facility is in compliance  with all applicable and newly issued
regulations.
 EP.1.3.      Facilities    are
 required to abide by state and
 local  regulations  concerning
 hazardous materials.
Verify that the facility is abiding by state and local requirements.

Verify that the facility is operating according to permits issued by the state or local
agencies.

(NOTE: Issues typically regulated by state and local agencies include:
   - notification requirements
   - response plan requirements
   - spill response requirements.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
                                                                          15

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This document is intended solely for guidance. No statutory or regulatory                                      15
requirements are in any way altered by any statement(s) contained herein.

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                                      COMPLIANCE CATEGORY:
                                                 EPCRA
       REGULATORY
    REQUIREMENT OR
      MANAGEMENT
         PRACTICE
                          REVIEWER CHECKS
 PLANNING

 EP.10
 EP.10.1.     Facilities  with
 quantities    of    extremely
 hazardous substances equal to
 or greater than the threshold
 limitations   are  required   to
 follow   specific   emergency
 planning procedures (40 CFR
 355.30 and 355 Appendix A).
 (NOTE:  For purposes of this checklist item, an  amount of any  extremely
hazardous substance means the total amount of an extremely hazardous substance
present at any one time at a facility at concentrations greater than one percent by
weight, regardless of location, number of containers, or method of storage.)

Verify that the facility has notified the Commission (see  definitions)  that it is
subject to the emergency planning requirements within 60 days after the facility
first becomes subject to these requirements.

Verify that the facility has a designated representative who participates in the local
emergency planning process as a facility emergency response coordinator.

Verify that the facility  has notified the local emergency planning committee, or
governor if there is no committee, of the facility  representative within 30 days
after establishment of a local emergency planning committee.

Verify that the local emergency planning committee is informed of any changes
occurring at the facility that may be relevant to emergency planning.

Verify that, upon request of the local emergency planning committee, the facility
promptly provides to the committee any information necessary for development or
implementation of the local emergency plan.

(NOTE:   If  a container or storage  vessel holds a mixture or solution  of an
extremely hazardous substance, then the concentration of extremely  hazardous
substance, in weight percent (greater than 1 percent sign), shall be  multiplied by
the mass (in pounds) in the vessel to determine the actual quantity of extremely
hazardous substance therein.  Extremely hazardous substances that  are solids are
subject to either of two threshold planning quantities  (i.e., 500/10,000 Ib). The
lower quantity applies only if the solid exists in powdered form and has  a particle
size less than 100 microns; or is handled in solution or in molten form; or meets
the criteria for a NFPA rating of 2, 3, or 4 for reactivity. If the solid does not meet
any of these criteria, it is subject to the  upper (10,000 Ib) TPQ.  The 100-micron
level may be determined by multiplying the weight percent of solid with a particle
size less than 100 microns in a particular container by the quantity of solid in the
container. The amount of solid in solution may be  determined by multiplying the
weight percent of solid in the solution in a particular container by the quantity of
solution in the container.  The amount of solid in molten form must be multiplied
by 0.3 to determine whether the lower threshold planning quantity is met.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits under EPCRA and CERCLA Section 103
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      REGULATORY
    REQUIREMENT OR
      MANAGEMENT
        PRACTICE
                        REVIEWER CHECKS
 EP.10.2.   The contingency
 plan developed for the facility
 should be  compared to the
 local emergency contingency
 plan (MP).
Verify that the facility contingency plan is compatible with the contingency plan
developed by the local emergency planning committee.

Verify that the facility contingency plan considers how local emergency response
officials will likely respond to a chemical release.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits under EPCRA and CERCLA Section 103
                                     COMPLIANCE CATEGORY:
                                                EPCRA
       REGULATORY
    REQUIREMENT OR
      MANAGEMENT
         PRACTICE
                                                      REVIEWER CHECKS
 RELEASE,
 NOTIFICATION,
 REPORTING

 EP.20
                             (NOTE: Emergency release notification requirements do not apply to:
                                - any release that results in exposure to persons solely within the boundaries of
                                  the facility
                                - any release that is a federally permitted release as defined in section 101 (10)
                                  of CERCLA
                                -any release that is continuous and stable in  quantity and rate under the
                                  definitions in 40 CFR 302.8(b)
                                -any release of a pesticide product exempt from  CERCLA section 103(a)
                                  reporting under section 103(e) of CERCLA
                                -any release  not meeting the  definition of release under Section  101(22) of
                                  CERCLA, and therefore exempt from Section 103(a) reporting
                                - any radionuclide release which occurs:
                                     - naturally in soil from land holdings such as parks, golf courses, or other
                                      large tracts of land
                                     -naturally  from land  disturbance  activities,  including farming,
                                      construction,  and  land disturbance incidental to extraction during
                                      mining activities, except that which occurs at uranium, phosphate, tin,
                                      zircon, hafnium, vanadium, monazite, and rare earth mines
                                     - from the dumping and transportation of coal and coal ash (including fly
                                      ash, bottom ash, and boiler slags), including the dumping and land
                                      spreading operations that occur during coal ash uses
                                     -from piles of coal and coal ash, including  fly ash, bottom ash,  and
                                      boiler slags.)

                             (NOTE:  Exemption from these emergency release  notification requirements for
                             continuous releases does not include exemption from requirements for:
                                - initial notifications as defined in 40 CFR 302.8(d) and (e)
                                - notification of a "statistically significant increase"
                                - notification of a "new release"
                                - notification of a change in the normal range of the release as required under
                                  40 CFR 302.8(g)(2).)
          When there  is  a
          of   a   reportable
            (RQ)    of   any
                   hazardous
              or    CERCLA
                    substance
                      release
             is  required  (40
                         355
EP.20.1
release
quantity
extremely
substance
hazardous
emergency
notification
CFR   355.40    and
Appendices A and B)
Determine if there has been a release of an extremely hazardous substance or
CERCLA hazardous substance in excess of the RQ.

Verify that,  if a release has occurred in excess  of the reportable quantity, the
following are immediately notified:

   -community emergency coordinator for  the local emergency planning
     committee of any area likely to be affected by the release
   - state emergency response commission of any state likely to be affected by
     the release
   - local emergency response personnel if there  is no local emergency planning
     committee.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits under EPCRA and CERCLA Section 103
                                      COMPLIANCE CATEGORY:
                                                 EPCRA
       REGULATORY
    REQUIREMENT OR
      MANAGEMENT
         PRACTICE
                          REVIEWER CHECKS
                               Verify that the notice contains the following, to the extent known at the time of
                               notice, so long as no delay in notice or emergency response results:

                                  - the chemical name or identity of any substance involved in the release
                                  - an indication of whether the substance is an extremely hazardous substance
                                  - an estimate of the quantity of any such substance that was released into the
                                    environment
                                  -the time and duration of the release
                                  - the 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  medial  attention
                                    necessary for exposed individuals
                                  - proper precautions to take as a result of the release, including evacuation
                                    (unless such information is readily available to  the community emergency
                                    coordination because of the local emergency plan)
                                  - the  names and telephone numbers of the person or persons to be contacted
                                    for further information.

                               Verify that, after the immediate verbal notification, a written follow-up emergency
                               notification  is produced  which contains  the  same information detailed in the
                               verbal notice (outlined above), plus:

                                  - actions taken to respond to and contain the release
                                  - any known or anticipated acute or chronic health risks associated with the
                                    release
                                  - advice regarding medical attention necessary for exposed individuals.
 EP.20.2.  Releases in excess
 of or equal to the RQ of listed
 and    unlisted    hazardous
 substances shall be reported to
 the  NRC  immediately   (40
 CFR 302.5 through 302.6)
Verify that a release (other than a federally permitted release or application of a
pesticide) of a hazardous substance from a vessel, an offshore facility, or an
onshore facility is reported to the NRC immediately after the release is identified.

(NOTE: 40 CFR 302.4 lists hazardous substances (see definitions section of this
document) and RQs subject to the  notification requirements outlined in 40 CFR
302.6. These hazardous substances contained in the tables and Appendix B of 40
CFR 302.4 are referred to in these regulations as "listed hazardous substances".
See 40 CFR 302.5(a).)

(NOTE:  The RQ of an unlisted hazardous substance (see definitions) is 100 Ib,
except for those unlisted hazardous wastes that exhibit extraction procedure (EP)
toxicity identified in 40 CFR 261.24. Unlisted hazardous wastes that exhibit EP
toxicity have the RQs listed in the table in 40  CFR 302.4 for the contaminant on
which the characteristic of EP toxicity is based. The RQ applies to the waste itself,
not merely to the toxic  contaminant. If an unlisted hazardous waste exhibits EP
toxicity on the basis of more than one contaminant, the RQ for that waste shall be
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits under EPCRA and CERCLA Section 103
                                       COMPLIANCE CATEGORY:
                                                  EPCRA
       REGULATORY
    REQUIREMENT OR
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         PRACTICE
REVIEWER CHECKS
                               the lowest of the RQs listed in the table in 40 CFR 302.4 for those contaminants. If
                               an unlisted hazardous waste exhibits the characteristic of EP toxicity and one or
                               more of the other characteristics referenced in 40 CFR 302.4(b), the RQ for that
                               waste is the lowest of the applicable reportable quantities.)

                               Verify that, if mixtures  or  solutions (including hazardous waste streams) of
                               hazardous substances are released, except for radionuclides, the release is reported
                               when either of the following occur:

                                   - the quantity of all hazardous constituents of the mixture or solution is known
                                    and a reportable quantity or more of any hazardous constituent is released
                                   - the quantity of one or more of the hazardous constituents of the mixture or
                                    solution is unknown and the total amount of the mixture or solution released
                                    equals or exceeds the reportable quantity for the hazardous constituent with
                                    the lowest reportable quantity.

                               (NOTE:   Radionuclides are subject to  these notification requirements only in the
                               following circumstances:
                                   - if the identity and quantity (in  curies) of each radionuclide in a released
                                    mixture or  solution is known, the  ratio  between the quantity released (in
                                    curies) and the RQ for  the  radionuclide  must be  determined for each
                                    radionuclide. The only  such releases  notification requirements are those in
                                    which the sum of the ratios for the radionuclides in the mixture or solution
                                    released is =/> 1
                                   - if the identity of each radionuclide in a released mixture or solution is known
                                    but the quantity released (in curies) of one  or more of the radionuclides is
                                    unknown, the only  such releases subject to notification requirements are
                                    those in which the total  quantity  (in curies)  of  the  mixture or solution
                                    released is =/> the lowest RQ of any individual radionuclide in the mixture or
                                    solution
                                   - if the identity of one or  more radionuclides in a released mixture or solution
                                    is unknown (or  if the identity of  a radionuclide released by  itself  is
                                    unknown),  the  only such  releases subject to notification requirements are
                                    those in which the  total quantity (in curies) released is equal  to or greater
                                    than either one curie or  the lowest RQ of any known individual radionuclide
                                    in the mixture or solution, whichever is lower.)

                               (NOTE:   The following categories of releases are exempt from the notification
                               requirements:
                                   -releases of  those radionuclides that occur naturally in the  soil from land
                                    holdings  such as parks, golf courses, or other large tracts of land
                                   - releases of naturally occurring radionuclides from land disturbance activities,
                                    including farming, construction, and land disturbance incidental to extraction
                                    during mining activities, except that which occurs at uranium, phosphate, tin,
                                    zircon, hafnium, vanadium, monazite, and rare earth mines. Land disturbance
                                    incidental to extraction includes: land clearing; overburden  removal and
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits under EPCRA and CERCLA Section 103
                                       COMPLIANCE CATEGORY:
                                                  EPCRA
       REGULATORY
    REQUIREMENT OR
       MANAGEMENT
         PRACTICE
                          REVIEWER CHECKS
                                    stockpiling;  excavating, handling, transporting, and storing ores and other
                                    raw materials; and replacing materials in mined-out areas as long as such
                                    materials  have not been beneficiated or processed  and do  not contain
                                    elevated radionuclide concentrations (greater than 7.6 pCi/g of Uranium-238,
                                    6.8 pCi/g of Thorium-232, or 8.4 pCi/g of Radium-226)
                                  - releases of radionuclides from the dumping and  transportation of coal and
                                    coal  ash (including fly ash,  bottom ash, and boiler  slags), including  the
                                    dumping and land spreading operations that occur  during coal ash uses
                                  - releases of radionuclides from piles of coal and coal ash, including fly ash,
                                    bottom ash, and boiler slags.)

                               (NOTE: Except for releases of radionuclides, notification of the release of an RQ
                               of solid particles of antimony, arsenic, beryllium,  cadmium, chromium, copper,
                               lead, nickel, selenium, silver, thallium, or zinc is not required if the  mean diameter
                               of the particles released is larger than  100 micrometers (0.004 in.).
 EP.20.3.             Specific
 notifications  are required for
 releases     of     hazardous
 substances that  qualify  for
 reduced reporting options (40
 CFR 302.8)
Determine if there are any releases that are continuous and stable in quantity and
rate.

Verify that the following notifications have been given:

   - initial telephone notification
   - initial written notification within 30 days of the initial telephone notification
   -follow-up notification within 30 days of the first  anniversary date of the
     initial written notification
   - notification of changes in:
        -the composition or source of the release
        - information submitted in the initial written notification
   - information submitted in the follow-up notification when there is an increase
     in the quantity of the hazardous substances in any 24-h period that represents
     a statistically significant increase.

Verify that,  prior to making an  initial telephone notification of a continuous
release, the person in charge of a facility or vessel establishes  a  sound basis for
qualifying the release for reporting by one  of the following:

   -using  release  data,  engineering  estimates,  knowledge  of  operating
     procedures,  or best professional judgment to establish the continuity and
     stability of the release
   -reporting the release to the  NRC for a period sufficient to  establish the
     continuity and stability of the release or when a basis has been established to
     qualify the release for reduced reporting, initial notification to the  NRC is
     made by telephone.

Verify that the notification is identified as  an initial continuous release notification
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits under EPCRA and CERCLA Section 103
                                      COMPLIANCE CATEGORY:
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    REQUIREMENT OR
      MANAGEMENT
         PRACTICE
REVIEWER CHECKS
                               report and includes the following information:

                                  -the name(s) and location(s) of the facility or vessel
                                  -the name(s) and identity(ies) of the hazardous substances being released.

                               Verify that initial  written notification of a continuous release  is made to the
                               appropriate U.S.  EPA Regional  Office for the  geographical area where the
                               releasing facility or vessel is located and occurs within  30 days of the initial
                               telephone notification to the NRC.

                               Verify that the initial written notification  includes, for each release for which
                               reduced reporting as a continuous release is claimed, the following information:

                                  - the name of the  facility or vessel; the location, including the latitude and
                                    longitude; the case number assigned by the NRC or the U.S. EPA; the Dun
                                    and Bradstreet number of the facility, if available; the port of registration of
                                    the vessel; the name and telephone number of the person in charge of the
                                    facility or vessel
                                  -the population density within a one-mi  radius of the facility or vessel,
                                    described in terms of the following ranges: 0-50 persons, 51-100 persons,
                                    101-500 persons, 501-1,000 persons, more  than 1,000 persons
                                  -the identity and location of sensitive  populations and ecosystems within a
                                    one-mi radius of the facility or vessel (e.g.,  elementary schools,  hospitals,
                                    retirement communities, or wetlands)
                                  - for each hazardous substance release claimed to qualify for reporting under
                                    CERCLA section 103(f)(2), the following information:
                                       -the  name/identity of  the  hazardous  substance;  the  CAS Registry
                                         Number for  the  substance (if available); and, if the substance being
                                         released is   a  mixture,  the  components of the  mixture and  their
                                         approximate concentrations and quantities, by weight
                                       -the  upper and  lower bounds of the  normal range of the release (in
                                         pounds or kilograms) over the previous year
                                       -the source(s) of the release (e.g., valves, pump seals, storage tank vents,
                                         stacks). If the release is from a stack, the stack height (in feet or meters)
                                       - the frequency of the release and the  fraction of the release from each
                                         release source and the specific period  over which it occurs
                                       -a brief statement describing the basis for stating that the release is
                                         continuous and stable in quantity and  rate
                                       - an estimate of the total annual amount that was released in the previous
                                         year (in pounds or kilograms)
                                       - the environmental medium affected by the release, such as the name of
                                         the surface water body; the stream order or average flowrate (in cubic
                                         feet/second) and designated use; the surface area (in acres) and average
                                         depth (in feet or meters) of the lake; the location of public water supply
                                         wells within two mi if on or underground
                                  -a signed statement  that the  hazardous  substance  release described is
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
                                                23

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Protocol for Conducting Environmental Compliance Audits under EPCRA and CERCLA Section 103
                                       COMPLIANCE CATEGORY:
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       REGULATORY
    REQUIREMENT OR
       MANAGEMENT
         PRACTICE
REVIEWER CHECKS
                                    continuous and stable in quantity and rate and that all reported information is
                                    accurate and current to the best knowledge of the person in charge.

                               Verify that, within 30 days of the first anniversary date of the initial written
                               notification (see above), each hazardous substance release reported is evaluated to
                               verify and update the information submitted in the initial written notification.

                               Verify that the  follow-up notification contains all the information required in the
                               initial  notification,  plus notification of changes in the release not otherwise
                               reported

                               (NOTE:  Instead  of the initial written report or follow-up report, a copy of the
                               Toxic Release Inventory (TRI) form submitted  under SARA Title III section 313
                               to U.S. EPA for the previous July 1 may be used if the following information is
                               added:
                                  -the population density within a one mile  radius of the facility or vessel
                                    described in terms of the following ranges:
                                       - 0 to 50  persons
                                       -51 to 100 persons
                                       -101 to 500 persons
                                       -501 to 1000 persons
                                       - more than 1000 persons
                                  -the identify and location of sensitive populations and ecosystems within a
                                    one mile radius of the facility or vessel (e.g., elementary schools, hospitals,
                                    retirement communities, or wetlands)
                                  - the following information for each hazardous substance release that qualifies
                                    for reporting under CERCLA section 103(f)(2):
                                       -the upper and lower bounds  of the  normal range of the  release (in
                                         pounds or kilograms) over the previous year
                                       - the frequency of the release and the fraction of the release from each
                                         release  source and the specific period over which it occurs
                                       -a brief statement describing the basis for stating  that the release is
                                         continuous and stable in quantity and rate
                                       - a signed statement that the release is continuous and stable  in quantity
                                         and rate and that all reported information is accurate and current to the
                                         best knowledge of the person in charge.)

                               (NOTE:  If there  is a change in any information submitted in the initial written
                               notification or  the  follow-up  notification other than a  change in the source,
                               composition, or quantity of the release, the person in charge of the facility or
                               vessel  shall provide written notification of the change to the U.S. EPA Region for
                               the geographical area where the facility or vessel is located, within  30 days of
                               determining that  the  information  submitted  previously is no  longer valid.
                               Notification shall  include the reason for the change,  and the basis for  stating that
                               the release is continuous and stable under the changed conditions. Notification of
                               changes shall include the case number assigned by the NRC or the U.S. EPA and
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
                                                 24

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Protocol for Conducting Environmental Compliance Audits under EPCRA and CERCLA Section 103
                                      COMPLIANCE CATEGORY:
                                                 EPCRA
       REGULATORY
    REQUIREMENT OR
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         PRACTICE
REVIEWER CHECKS
                               also the signed certification statement.)

                               Verify that notification of a statistically significant increase in a release is made to
                               the NRC as soon as there is knowledge of the release.

                               (NOTE:   A determination of whether an increase is a "statistically significant
                               increase" shall be made based upon calculations or estimation procedures that will
                               identify releases that exceed the upper bound of the reported normal range.)

                               Verify that each hazardous substance release is evaluated annually to determine if
                               changes  have occurred  in  the information submitted in the initial  written
                               notification, the follow-up notification, and/or in a previous change notification.

                               (NOTE:  Where necessary to satisfy the requirements of 40 CFR 302.8, the person
                               in charge  may rely on recent release  data, engineering estimates, the operating
                               history  of the facility  or  vessel,  or other relevant information to  support
                               notification.  All supporting documents, materials, and other information shall be
                               kept on file at the facility,  or in the case of a vessel, at an office within the United
                               States in either a port of call,  a place of regular berthing, or the headquarters of the
                               business operating the vessel.)

                               Verify that supporting materials are kept on file  for a period of one yr and that
                               they substantiate the  reported normal range of releases, the basis for stating that
                               the release is continuous and stable in quantity and rate, and the other information
                               in the initial written report, the follow-up report, and the annual evaluations.

                               (NOTE:   The supporting  materials  must be made  available to U.S.  EPA upon
                               request.)

                               (NOTE:  Multiple concurrent releases  of the  same substance occurring at various
                               locations  with respect to contiguous plants or installations  upon  contiguous
                               grounds  that  are  under  common  ownership or  control  may be  considered
                               separately or added together in determining whether such releases constitute a
                               continuous release or a statistical increase in the release; whichever approach is
                               elected for purposes of determining  whether a release is continuous also must be
                               used to determine a statistically significant increase in the release.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
                                                 25

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Protocol for Conducting Environmental Compliance Audits under EPCRA and CERCLA Section 103
                                     COMPLIANCE CATEGORY:
                                                EPCRA
       REGULATORY
    REQUIREMENT OR
      MANAGEMENT
         PRACTICE
                         REVIEWER CHECKS
 EP.20.4. Facilities which are
 required to  prepare  or  have
 available  a  MSDS  for  a
 hazardous   chemical   under
 OSHA  are required  to  meet
 specific   MSDS   reporting
 requirements  for  planning
 purposes  (40 CFR 370.20(a)
 through 370.21(a), 370.20(c),
 and 370.28).
(NOTE:  The emergency response commission consists of the State Emergency
Response  Commission  and the  local Emergency Planning  Committee.   Some
states have only one of these.)

Verify that MSDSs (or a list as described below) are submitted to the emergency
response commission, the  local emergency planning committee,  and the  fire
department with jurisdiction over the facility for each hazardous chemical present
according to the following thresholds:

   -for all extremely hazardous substances present in amounts greater  than or
     equal to 500 Ib (227  kg, approximately 55  gal) or the threshold planning
     quantity, whichever is  lower
   - for gasoline (all grades combined) in amounts greater than or equal to 75,000
     gal (or approximately 283,900  L) when the gasoline  is in tanks  entirely
     underground at a retail gas  station that was in compliance during the
     preceding calendar year with  all applicable UST regulations (40  CFR Part
     280 or requirements of the state UST program approved by U.S. EPA under
     40 CFR Part 281)
   -for diesel fuel  (all grades combined) in amounts greater than or equal to
     100,000 gal (or approximately 378,500 L) when the diesel is in tanks  entirely
     underground at a retail gas  station that was in compliance during the
     preceding calendar year with  all applicable UST regulations (40  CFR Part
     280 or requirements of the state UST program approved by U.S. EPA under
     40 CFR Part 281)
   - for all other hazardous chemicals present at any one time in amounts equal to
     or greater than 10,000  Ib (4540 kg).

(NOTE:  For the  purposes of these  threshold values, a retail gas station is a retail
facility engaged in selling gasoline and/or diesel fuel principally to the public, for
motor vehicle use on land.)

(NOTE: Commonly overlooked substances requiring an MSDS are propane and
petroleum based fuels. For  diesel and unleaded gasoline, 10,000 Ib equals
approximately 1379 gal using the weight of 7.25 Ib/gal.)

Verify  that if the facility has not  submitted MSDSs,  the following have been
submitted:

   -a  list of hazardous chemicals  for which the MSDS is required, grouped by
     hazard category (see Key Terms and Definitions section  of this document for
     a definition of Hazard Category)
   - the chemical or common name of each hazardous chemical as provided on
     the MSDS
   - any hazardous  component of each hazardous chemical as provided on the
     MSDS unless reported as a mixture (see 40 CFR 370.28(a)(2).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits under EPCRA and CERCLA Section 103
                                     COMPLIANCE CATEGORY:
                                                EPCRA
       REGULATORY
    REQUIREMENT OR
      MANAGEMENT
         PRACTICE
                         REVIEWER CHECKS
                              Verify that revised  MSDSs  are provided to the local emergency  planning
                              committee, emergency  response commission, and fire department within 3  mo
                              after  the  discovery of significant  new information concerning  the hazardous
                              chemical for which the MSDSs were submitted.

                              (NOTE:  When MSDSs for hazardous chemicals present at the facility have  not
                              been  submitted to the local emergency planning committee, the facility  owner or
                              operator must submit the MSDSs within 30 days of the receipt of such a request.)

                              (NOTE:  These reporting requirements for a hazardous chemical that is a mixture
                              of hazardous chemicals can be fulfilled by doing one of the following:
                                 - providing the required information on each component in the mixture that is
                                   a hazardous chemical
                                 -providing the required information  on  the mixture  itself so  long as  the
                                   reporting of a mixture by a facility is in the same manner as required by 40
                                   CFR 370.21 where practicable.)
 EP.20.5. Facilities which are
 required to  prepare  or  have
 available  a  MSDS  for  a
 hazardous   chemical   under
 OSHA  are required  to  meet
 specific  inventory  reporting
 requirements  for  planning
 purposes (40 CFR 370.20(a),
 370.20(b), 370.20(d), 370.25,
 and 370.28(a)).
Verify that the Tier I (or  Tier II)  Hazardous Chemical  Inventory forms are
submitted annually to the local emergency planning committee, the emergency
response commission, and the fire department with jurisdiction over the facility.

(NOTE:  Hazardous chemicals and substances that must be included Hazardous
Chemical Inventory forms are:

   - all extremely hazardous substances present in amounts greater than or equal
     to 500 Ib (227 kg, approximately 55 gal) or the threshold planning quantity,
     whichever is lower
   -gasoline (all grades combined) in amounts greater than or equal to 75,000
     gal  (or approximately  283,900  L) when the  gasoline is in tanks entirely
     underground at a retail gas station that was in compliance  during the
     preceding calendar year with all applicable UST regulations (40 CFR Part
     280 or requirements of the state  UST program approved by U.S. EPA under
     40 CFR Part 281)
   - diesel fuel (all grades combined) in amounts greater than or equal to 100,000
     gal  (or  approximately  378,500  L)  when the diesel is  in tanks entirely
     underground at a retail gas station that was in compliance  during the
     preceding calendar year with all applicable UST regulations (40 CFR Part
     280 or requirements of the state  UST program approved by U.S. EPA under
     40 CFR Part 281)
   - all other hazardous chemicals present at any one time in amounts equal to or
     greater than 10,000 Ib (4540 kg).)

Verify that Tier I or Tier II forms are submitted on or before March 1 of the first
year after the facility becomes subject to 40 CFR 370.20 through 370.28.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
                                                                         27

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Protocol for Conducting Environmental Compliance Audits under EPCRA and CERCLA Section 103
                                      COMPLIANCE CATEGORY:
                                                 EPCRA
       REGULATORY
    REQUIREMENT OR
      MANAGEMENT
         PRACTICE
                          REVIEWER CHECKS
                               (NOTE: For the purposes of these threshold values, a retail gas station is a retail
                               facility engaged in selling gasoline and/or diesel fuel principally to the public, for
                               motor vehicle use on land.)

                               (NOTE: Commonly overlooked substances requiring an MSDS are propane and
                               petroleum based fuels.)

                               (NOTE: A Tier II form may be submitted in lieu of the Tier I information with
                               respect to any hazardous chemical at the facility.  If requested, all Tier II forms
                               must be submitted to the local emergency planning committee,  the  emergency
                               response commission and the fire department  with jurisdiction over the facility.
                               Tier II forms must be submitted within 30 days of the receipt of each request.)

                               (NOTE: The owner or operator of a facility that has submitted a Tier I or Tier II
                               inventory form must allow  on-site  inspection by  the  fire department having
                               jurisdiction over the facility upon request of the department and provide to the
                               department specific location information on hazardous chemicals at the facility.)

                               (NOTE: These reporting requirements for a hazardous chemical that is a mixture
                               of hazardous chemicals may be fulfilled by doing one of the following:
                                  - providing the required information  on each component in the mixture that is
                                    a hazardous chemical
                                  -providing the required  information on the  mixture  itself so long  as the
                                    reporting of mixtures by a facility  is in the same manner as  required by 40
                                    CFR 370.21 where practicable.)
 EP.20.6.     Facilities   that
 manufacture,   process,    or
 otherwise use a  listed  toxic
 chemical    in    excess    of
 applicable threshold quantities
 and  that  have  10 or  more
 employees   are   subject   to
 certain reporting requirements
 (40   CFR   372.22  through
 372.38 and 372.95(b)).
 (NOTE: These reporting requirements apply to facilities that meet all of the
 following criteria for a calendar year:

    -the facility has 10 or more full-time employees
    -the facility is in Standard  Industrial Classification (SIC) (as in effect on
     January 1, 1987) major group codes 10 (except 1011, 1081, and 1094), 12
     (except 1241), or 20 through 39; industry codes 4911, 4931, or 4939 (limited
     to facilities that combust coal and/or oil for the purpose of generating power
     for distribution in commerce); or 4953 (limited to facilities regulated under
     the RCRA, subtitle C, 42 U.S.C. section 6921 et seq.), or 5169, or 5171, or
     7389 (limited to facilities primarily engaged in solvent recovery services on a
     contract or fee basis) by virtue of the fact that it meets one of the following
     criteria:
         -the facility is an establishment with a primary SIC major group or
          industry code in the above list
         -the facility is a multi-establishment complex where all establishments
          have primary SIC major group or industry codes in the above list
         -the facility  is a  multi-establishment complex in  which one of the
	folio wing is true:	
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
                                                                          28

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Protocol for Conducting Environmental Compliance Audits under EPCRA and CERCLA Section 103
                                      COMPLIANCE CATEGORY:
                                                EPCRA
       REGULATORY
    REQUIREMENT OR
      MANAGEMENT
         PRACTICE
REVIEWER CHECKS
                                           - the sum of the value of services provided and/or products shipped
                                             and/or produced from those establishments that have primary SIC
                                             major group or industry codes in the above list is greater than 50
                                             percent of the total value of all services provided and/or products
                                             shipped from and/or produced by all establishments at the facility
                                           -one establishment having a primary SIC major group or industry
                                             code in the above list contributes more in terms  of value of
                                             services provided and/or products shipped from  and/or produced
                                             at the facility than any other establishment within the facility.
                                  - the facility manufactured (including imported), processed, or otherwise used
                                   a listed toxic chemical in excess of an applicable threshold quantity of that
                                   chemical.)

                               (NOTE: The following are the threshold levels for a facility that  is manufacturing
                               (including importing), processing, or otherwise using a toxic chemical:
                                  -has manufactured or processed over 25,000 Ib/yr of toxic chemicals, except
                                   for persistent bioaccumulative toxic (PBT) chemicals
                                  -has otherwise used over 10,000 Ib of toxic chemicals during the  year, except
                                   for PBT chemicals
                                  -for the chemicals listed  in Appendix  A of this  document, the  amounts
                                   indicated in the appendix.

                               (NOTE: The reporting requirement thresholds for PBY chemicals are listed in
                               Table 2 of Appendix A of this document.)

                               Verify that a completed U.S. EPA Form R (U.S. EPA  Form 9350-1)  is submitted
                               annually, for each toxic chemical known by the facility owner or operator to be
                               manufactured  (including  imported) or otherwise  used and exceeding threshold
                               levels in one calendar year to the U.S. EPA and state on or before July 1 of the
                               next year.

                               (NOTE: Articles containing toxic chemicals are  not included in calculations of
                               total toxic chemical present.  See 40  CFR  372.38(b) for procedure to determine
                               whether an excess has occurred.)

                               (NOTE: The owner or operator of a facility regulated under 40  CFR Part 372 is
                               required to complete and submit U.S. EPA Form R, as described above, for a toxic
                               chemical that is present as a component of a mixture or trade name product which
                               the owner or operator receives from another person, if that chemical  is imported,
                               processed, or otherwise used by the owner or operator in excess of an applicable
                               threshold quantity at the facility as part of that mixture or trade name product.)

                               (NOTE: The  owner or operator or  a  facility at which a toxic chemical  was
                               manufactured  (including imported), processed or  otherwise used in excess of an
                               applicable  threshold   quantity  may   submit a  separate  Form R  for  each
                               establishment or for each group of establishments within the facility to report the
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
                                                29

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Protocol for Conducting Environmental Compliance Audits under EPCRA and CERCLA Section 103
                                      COMPLIANCE CATEGORY:
                                                 EPCRA
       REGULATORY
    REQUIREMENT OR
      MANAGEMENT
         PRACTICE
REVIEWER CHECKS
                               activities involving the  toxic  chemical at each  establishment  or group  of
                               establishments, provided  that activities involving the toxic chemical at all the
                               establishments within the covered facility are reported. See 40 CFR 372.30(c) for
                               instruction and procedures regarding alternatives for reporting when the facility
                               consists of more than one establishment.

                               (NOTE:  A facility may  apply  an alternate threshold of one million Ib/yr to a
                               chemical if  it is  calculated  that the facility would have an annual reportable
                               amount of  that toxic chemical not exceeding  500 Ib  for the  combined  total
                               quantities released at the facility, disposed within the facility, treated at the facility
                               (as  represented by  amounts  destroyed  or  converted by  treatment  processes),
                               recovered at the  facility  as  a result of recycle operations, combusted for the
                               purpose of energy recovery at the facility,  and amounts  transferred from the
                               facility to offsite locations for the purpose of recycle, energy recovery, treatment,
                               and/or disposal.  The alternate threshold provisions do not apply to the chemicals
                               listed in Appendix A of this document.)

                               Verify that, if a facility uses the alternate reporting threshold, the facility owner or
                               operator submits the required certification statement that contains the following
                               information instead of the  U.S. EPA Form R:

                                  - reporting year
                                  - an indication of whether the chemical identified is being claimed  as trade
                                    secret
                                  -chemical name  and CAS  number (if applicable)  of the chemical, or the
                                    category name
                                  - signature of a senior management official certifying the following: pursuant
                                    to  40 CFR  372.27, "I hereby certify that to the best of my knowledge and
                                    belief for the toxic chemical listed  in this  statement, the annual reportable
                                    amount, as  defined  in 40  CFR 372.27(a),  did not exceed  500 Ib  for this
                                    reporting year and that the chemical was  manufactured, or processed,  or
                                    otherwise used in an amount not exceeding  1 million pounds  during this
                                    reporting year"
                                  - date signed
                                  - facility name and address
                                  - mailing address of the facility if different than the above
                                  - toxic chemical release inventory facility identification number if known
                                  - name and telephone number of a technical contact
                                  - the four-digit SIC codes for the facility or establishments in the facility
                                  - latitude and longitude coordinates  for the facility
                                  - Dun and Bradstreet number of the  facility
                                  -U.S. EPA identification number(s) (RCRA) ID. Number(s) of the facility
                                  - facility NPDES permit number(s)
                                  -underground Injection Well Code  (UIC) ID. Number(s) of the facility
                                  - name of the facility's parent company
                                  - parent company's Dun and Bradstreet Number.	
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
                                                30

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Protocol for Conducting Environmental Compliance Audits under EPCRA and CERCLA Section 103
                                      COMPLIANCE CATEGORY:
                                                 EPCRA
       REGULATORY
    REQUIREMENT OR
      MANAGEMENT
         PRACTICE
REVIEWER CHECKS
                               Verify that, when more than one threshold applies to facility activities, the facility
                               owner or operator reports if it exceeds any applicable threshold and reports on all
                               activities at the facility involving the chemical unless otherwise exempted (see
                               below).

                               Verify that, when a facility manufactures, processes, or otherwise uses more than
                               one member of a chemical category listed in 40 CFR 372.65(c), the facility owner
                               or operator reports if it exceeds any applicable threshold for the total volume of all
                               the  members  of the category involved  in the applicable activity and the report
                               covers all activities at the facility involving members of the category.

                               (NOTE:   A  facility  may  process or  otherwise use  a toxic chemical  in a
                               recycle/reuse  operation. To determine whether the facility has processed or used
                               more  than an applicable threshold of the chemical, the owner or operator of the
                               facility counts the amount of the chemical  added to the recycle/reuse operation
                               during the calendar year. In particular, if the facility starts up such an operation
                               during a calendar year,  or in the event that the  contents of the whole recycle/reuse
                               operation are  replaced in a calendar year, the facility owner or operator also counts
                               the amount of the chemical placed into the system at these times.)

                               (NOTE:  Certain toxic chemicals, manufacturing methods used  to produce these
                               chemicals and/or the physical forms  or colors  of  these chemical  may  limit
                               reporting requirements under 40 CFR Part 372. These specific circumstances and
                               conditions and reporting requirements are outlined in 40 CFR 372.25(f) through
                               (h).)

                                (NOTE: The following exemptions apply:
                                  - if a toxic chemical is present in a mixture of chemicals at a covered facility
                                    and the  toxic chemical  is in a concentration  in the mixture which is below
                                    one percent of the mixture, or 0.1 percent of the mixture in the case of a toxic
                                    chemical which is a carcinogen as defined in 29 CFR 1910.1200(d)(4), the
                                    quantity of the toxic chemical present  in such mixture does not have to  be
                                    considered when determining  whether an applicable threshold has been met
                                    or determining the amount of release to be reported under 40 CFR 372.30.
                                    This exemption applies whether the person received the mixture from another
                                    person or the person produced the mixture, either by mixing the chemicals
                                    involved or by causing a chemical reaction that resulted in the creation of the
                                    toxic chemical in the mixture. However, this exemption applies only to the
                                    quantity of the toxic chemical  present in the mixture. If the toxic chemical is
                                    also manufactured (including imported), processed, or otherwise used at the
                                    covered  facility other than as  part of the mixture or in a mixture at higher
                                    concentrations, in excess  of an applicable threshold quantity, the facility is
                                    required to  report.  This exemption does not apply to the chemicals listed in
                                    Appendix A of this document
                                  - if a toxic chemical is present in an article at a covered facility, the quantity of
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
                                                31

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Protocol for Conducting Environmental Compliance Audits under EPCRA and CERCLA Section 103
                                      COMPLIANCE CATEGORY:
                                                 EPCRA
       REGULATORY
    REQUIREMENT OR
      MANAGEMENT
         PRACTICE
REVIEWER CHECKS
                                    the toxic chemical present in such article does not have to be  considered
                                    when determining  whether an applicable  threshold  has been met or
                                    determining the amount of release to  be reported.  This exemption applies
                                    whether the person received the article from another person or produced the
                                    article. However,  this exemption applies only to the quantity of the toxic
                                    chemical present  in the article.  If  the toxic  chemical is  manufactured
                                    (including imported), processed, or otherwise used at the covered facility
                                    other than as part of the article, in excess of an applicable threshold quantity,
                                    reporting is required. If a release of a toxic chemical occurs as a result of the
                                    processing  or use of an item  at the  facility, that item does not meet the
                                    definition of article.
                                  - if  a toxic chemical is used at a covered facility for one of the following
                                    purposes, it is not required to consider the quantity of the toxic chemical used
                                    for such purpose when determining whether an applicable threshold has been
                                    met under  40 CFR 372.25 or determining  the amount of releases to be
                                    reported. However, this exemption only applies to the quantity of the toxic
                                    chemical used for the purpose described in the following list.  If the toxic
                                    chemical is also manufactured (including imported), processed, or otherwise
                                    used at the covered facility other than as  listed below, in excess of an
                                    applicable threshold quantity, reporting is required.   The list includes:
                                       -use as a structural component of the facility
                                       -use of products for routine janitorial or facility grounds maintenance
                                       - personal use by employees or other persons at the facility of foods,
                                         drugs, cosmetics,  or other personal items containing toxic  chemicals,
                                         including supplies of  such products  within the facility such as  in a
                                         facility operated cafeteria, store, or infirmary
                                       -use of  products  containing toxic  chemicals  for the purpose of
                                         maintaining motor vehicles operated by the facility
                                       - use of toxic chemicals present in process water and non-contact cooling
                                         water  as drawn from the environment or from municipal sources
                                       - toxic chemicals present in air used either as compressed air or as  part of
                                         combustion.
                                  - if a toxic chemical is manufactured, processed, or used in a laboratory at a
                                    covered facility under the supervision of a technically qualified individual, it
                                    is not required to consider the quantity so manufactured, processed, or used
                                    when determining  whether an applicable  threshold  has been met or
                                    determining the amount of release to  be reported (NOTE:  This exemption
                                    does not apply in the  following cases: specialty  chemical  production;
                                    manufacture,  processing, or use  of  toxic  chemicals  in pilot  plant scale
                                    operations;  activities conducted outside the laboratory).

                               (NOTE: Other exemptions may also apply to certain owners of leased property,
                               certain operators of establishments on leased property, and owners and operators
                               of facilities  engaged in coal extraction activities, or metal  mining overburden
                               activities. See 40 CFR 372.38(e) through  (h) for further detail regarding these
                               types of exemptions.)	
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
                                                 32

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Protocol for Conducting Environmental Compliance Audits under EPCRA and CERCLA Section 103
                                      COMPLIANCE CATEGORY:
                                                 EPCRA
       REGULATORY
    REQUIREMENT OR
      MANAGEMENT
         PRACTICE
                          REVIEWER CHECKS
 RECORDKEEPING

 EP.30
 EP.30.1.     Facilities   that
 manufacture,   process,   or
 otherwise use  a  listed  toxic
 chemical    in    excess   of
 applicable          threshold
 quantities and that have  10 or
 more employees are subject to
 certain         recordkeeping
 requirements    (40    CFR
 372.22(a),         372.22(b),
 372.22(c,         372.25(a),
 372.25(b),  372.10(a) through
 372.10(d), and 372.38).
(NOTE: These recordkeeping requirements apply to facilities that meet all of the
following criteria for a calendar year:

   -the facility has 10 or more full-time employees
   -the facility is  in Standard Industrial Classification (SIC) (as in effect on
     January 1, 1987) major group codes 10 (except 1011, 1081, and 1094), 12
     (except 1241), or 20 through 39; industry codes 4911, 4931, or 4939 (limited
     to facilities that combust coal and/or oil for the purpose of generating power
     for distribution in commerce); or 4953 (limited to facilities regulated under
     the RCRA, subtitle C, 42 U.S.C. section 6921 et seq.), or 5169, or 5171, or
     7389 (limited to facilities primarily engaged in solvent recovery services on
     a contract or fee basis) by virtue of the fact that it meets one of the following
     criteria:
        -the  facility  is an establishment with a  primary  SIC major group or
          industry code in the above list
        - the facility is a multi-establishment complex where all establishments
          have primary SIC major group or industry codes in the above list
        -the  facility is a multi-establishment complex in which one  of  the
          following is true:
             - the sum of the value of services provided and/or products shipped
              and/or produced from those establishments that have primary SIC
              major group or industry codes in the above list is greater than 50
              percent of the total value of all services provided and/or products
              shipped from and/or produced by all establishments at the facility
             -one establishment having a primary SIC major group or industry
              code in the  above list contributes more in terms of value of
              services  provided and/or products shipped from and/or produced
              at the facility than any other establishment within the facility.
   - the facility manufactured (including imported), processed, or otherwise used
     a toxic chemical in excess  of an applicable  threshold  quantity of that
     chemical.)

(NOTE: The following are the threshold levels for reporting purposes that apply
to a facility  that is manufacturing (including importing), processing, or otherwise
using a toxic chemical:
   - has manufactured or processed 25,000 Ib/yr of toxic chemicals
   - has used 10,000 Ib of toxic chemicals in other ways during the year
   -for the chemicals  listed in  Appendix  A of this document, the amounts
     indicated in the appendix.

(NOTE:  Articles containing toxic  chemicals are not included in calculations of
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
                                                                          33

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Protocol for Conducting Environmental Compliance Audits under EPCRA and CERCLA Section 103
                                      COMPLIANCE CATEGORY:
                                                 EPCRA
       REGULATORY
    REQUIREMENT OR
      MANAGEMENT
         PRACTICE
REVIEWER CHECKS
                               total toxic chemical present.  See 40 CFR 372.30(b)(3) for procedure to determine
                               whether an excess has occurred.)

                               Verify that the following records are kept 3 yr from the date of the submission of
                               U.S. EPA Form R (U.S. EPA Form 9350-1):

                                  - a copy of each Form R report submitted
                                  - all supporting materials and documentation used by the person to make the
                                   compliance  determination that the facility or establishments is  a  covered
                                   facility under 40 CFR 372.22 or 372.45
                                  - documentation supporting the  submitted report, including:
                                      - documentation supporting any determination that a claimed allowable
                                        exemption under 40 CFR 372.38 applies
                                      -data supporting the  determination  of whether a reporting threshold
                                        applies for each toxic chemical
                                      - documentation supporting the calculations of the quantity of each toxic
                                        chemical released to the  environment or transferred to  an off-site
                                        location
                                      -documentation supporting  the  use  indications  and  quantity onsite
                                        reporting for each toxic chemical,  including dates of manufacturing,
                                        processing, or use
                                      - documentation supporting the basis of estimate used in developing any
                                        release or off-site transfer estimates for each toxic chemical
                                      - receipts or manifests associated with the transfer of each toxic chemical
                                        in waste to off-site locations
                                      - documentation supporting reported waste treatment methods, estimates
                                        of  treatment efficiencies,  ranges  of influent concentration  to  such
                                        treatment, the sequential  nature of treatment steps, if applicable, and the
                                        actual  operating data, if applicable,  to  support the waste treatment
                                        efficiency estimate for each toxic chemical.

                               Verify that the following records are maintained for 3 yr at the facility to which
                               the report applies or from which supplier notification was provided:

                                  -all supporting materials and  documentation used to determine if  supplier
                                   notification  is required
                                  - all supporting materials and documentation used in developing each required
                                   supplier notification and a copy of each notification.

                               (NOTE: Records retained under this section must be maintained at the facility to
                               which the report applies or from which a notification was provided.  Such records
                               must be readily available for purposes of inspection by U.S. EPA.)

                               Verify that, if it has been determined the alternate threshold (see 40 CFR 372.27
                               may be  applied, the  following records  are  kept  for  3 yr from the  date  of
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
                                                34

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Protocol for Conducting Environmental Compliance Audits under EPCRA and CERCLA Section 103
                                      COMPLIANCE CATEGORY:
                                                 EPCRA
       REGULATORY
    REQUIREMENT OR
      MANAGEMENT
         PRACTICE
REVIEWER CHECKS
                               submission of the required certification statement:

                                  - a copy of each certification statement submitted
                                  -all supporting materials and documentation used to  make the compliance
                                    determination that the  facility or  establishment is  eligible to apply the
                                    alternate threshold
                                  - documentation supporting the certification statement submitted, including:
                                       - data supporting the determination of whether the alternate threshold
                                         applies for each toxic chemical
                                       - documentation supporting the calculation of annual reportable amount
                                         (see  40   CFR  372.37(a)),   for  each  toxic  chemical,  including
                                         documentation supporting the calculations and the calculations of each
                                         data element combined for the annual reportable amount
                                       - receipts  or manifests associated with the transfer of each chemical in
                                         waste to  off-site locations.

                               (NOTE: The following exemptions apply:
                                  - if a toxic chemical is present in a mixture of chemicals at a covered facility
                                    and the toxic chemical is in  a concentration in the mixture which is below 1
                                    percent of the mixture, or 0.1 percent of the mixture  in the case of a toxic
                                    chemical which is a carcinogen as defined in 29 CFR 1910.1200(d)(4), the
                                    quantity of the toxic chemical present in such mixture does not have to be
                                    considered when determining whether an applicable threshold has been met
                                    or determining the amount of release to be reported under 40 CFR 372.30.
                                    This  exemption applies whether  the  person received  the  mixture from
                                    another person  or the person produced the mixture, either by mixing the
                                    chemicals involved or by causing a chemical reaction that resulted in the
                                    creation of the toxic chemical in  the mixture. However, this exemption
                                    applies only to the quantity  of the toxic chemical present in the mixture. If
                                    the toxic chemical is also manufactured (including imported), processed, or
                                    otherwise used at the covered facility other than as part of the mixture or in a
                                    mixture  at  higher concentrations,  in  excess of an applicable  threshold
                                    quantity, the facility is required to report. This exemption does not apply to
                                    the chemicals  listed in Appendix A of this document
                                  - if a toxic chemical is present in an article at a covered facility, the quantity of
                                    the toxic chemical present in such article does not have to be considered
                                    when determining whether an  applicable  threshold  has  been  met  or
                                    determining the amount of  release  to be reported. This  exemption applies
                                    whether the person received the article from another person or produced the
                                    article.  However, this exemption applies only to the quantity of the toxic
                                    chemical present  in  the  article. If the toxic chemical is  manufactured
                                    (including imported), processed, or otherwise used at the covered facility
                                    other than as part of the article, in excess of an applicable threshold quantity,
                                    reporting is required.  If a release of a toxic chemical occurs as a result of the
                                    processing or use of an item at the facility, that item does not meet the
                                    definition of article.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
                                                35

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Protocol for Conducting Environmental Compliance Audits under EPCRA and CERCLA Section 103
                                      COMPLIANCE CATEGORY:
                                                 EPCRA
       REGULATORY
    REQUIREMENT OR
      MANAGEMENT
         PRACTICE
REVIEWER CHECKS
                                  - if a toxic chemical is used at a covered facility for one of the following
                                    purposes, it is not required to consider the quantity of the toxic chemical
                                    used for such purpose when determining whether an applicable threshold has
                                    been met under 40 CFR 372.25 or determining the amount of releases to be
                                    reported. However, this exemption only applies to the quantity of the toxic
                                    chemical used for the purpose described in the following list.  If the toxic
                                    chemical is also manufactured (including imported), processed, or otherwise
                                    used at the  covered  facility other than as listed below, in excess of an
                                    applicable threshold quantity, reporting is required.  The list includes:
                                       -use as a structural component of the facility
                                       -use of products for routine janitorial or facility grounds maintenance
                                       - personal use by employees or other persons at the facility of foods,
                                        drugs, cosmetics, or other personal items  containing toxic chemicals,
                                        including supplies of such products within the facility such  as  in a
                                        facility operated cafeteria, store, or infirmary
                                       -use of  products  containing toxic  chemicals for the  purpose of
                                        maintaining motor vehicles operated by the facility
                                       - use of toxic chemicals present in process water and non-contact cooling
                                        water as drawn from the environment or from municipal sources
                                       - toxic chemicals present in air used either as compressed air or as part of
                                        combustion.
                                  - if a toxic chemical is manufactured, processed,  or used in a laboratory at a
                                    covered facility under the supervision of a technically qualified individual, it
                                    is not  required to consider the quantity so manufactured, processed,  or used
                                    when  determining whether  an  applicable threshold  has  been  met or
                                    determining the amount of release to be reported (NOTE: This exemption
                                    does not apply  in the  following cases:  specialty  chemical  production;
                                    manufacture,  processing,  or use  of toxic  chemicals in pilot plant  scale
                                    operations; activities conducted outside the laboratory).

                               (NOTE: Other exemptions may  also apply  to certain owners of leased property,
                               certain operators of establishments on leased property, and owners and operators
                               of facilities engaged in coal  extraction activities, or metal mining overburden
                               activities.  See 40 CFR 372.38 (e) through (h) for further detail regarding these
                               types of exemptions.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
                                                36

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       Protocol for Conducting Environmental Compliance
        Audits under EPCRA and CERCLA Section 103

                       Appendix A:
Lower Thresholds for Chemicals of Special Concern (40 CFR 372.28)

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Protocol for Conducting Environmental Compliance Audits under EPCRA and CERCLA Section 103
                           Lower Thresholds for Chemicals of Special Concern
                                           (40 CFR 372.28)
                                         [Added January 2001]

                                               Table 1
                              Chemical Listing in Alphabetic Order.
Chemical Name
Aldrin
Benzo(g,h,i)perylene
Chlordane
Heptachlor
Hexachlorobenzene
Isodrin
Lead (this lower threshold does not
apply to lead when contained in a
stainless steel, brass or bronze alloy)
Mercury
Methoxychlor
Octachlorostyrene
Pendimethalin
Pentachlorobenzene
Polychlorinated biphenyl (PCBs)
Tetrabromobisphenol A
Toxaphene
Trifluralin
CAS NO.
00309-00-2
00191-24-2
00057-74-9
00076-44-8
00118-74-1
00465-73-6
7439-92-1
07439-97-6
00072-43-5
29082-74-4
40487-42-1
00608-93-5
01336-36-3
00079-94-7
08001-35-2
01582-09-8
Reporting
Threshold
100
10
10
10
10
10
100
10
100
10
100
10
10
100
10
100
                                               Table 2
                            Chemical Categories in Alphabetic Order
               Category name
Reporting threshold
               Dioxin and dioxin-like compounds  (Manufacturing; and
               the processing or otherwise use of dioxin and dioxin-like
               compounds if the dioxin and dioxin-like compounds are
               present as contaminants in a chemical and if they were
               created during the manufacturing of that chemical) (This
               category includes only those chemicals listed below).
                       - 1,2,3,4,6,7,8-Heptachlorodibenzofuran
                       -1,2,3,4,7,8,9-Heptachlorodibenzofuran
                       - 1,2,3,4,7,8-Hexachlorodibenzofuran
                       - 1,2,3,6,7,8-Hexachlorodibenzofuran
                       - 1,2,3,7,8,9-Hexachlorodibenzofuran
                       - 2,3,4,6,7,8-Hexachlorodibenzofuran
                       - 1,2,3,4,7,8-Hexachlorodibenzo-p-dioxin
                       - 1,2,3,6,7,8-Hexachlorodibenzo-p-dioxin
                       - 1,2,3,7,8,9-Hexachlorodibenzo-p-dioxin
                       - 1,2,3,4,6,7,8-Heptachlorodibenzo-p-dioxin
                       -1,2,3,4,6,7,8,9-Octachlorodibenzofuran
               	- 1,2,3,4,6,7,8,9-Octachlorodibenzo-p-dioxin
     0.1 grams
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
                                                                                                   Al

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Protocol for Conducting Environmental Compliance Audits under EPCRA and CERCLA Section 103
                Category name
Reporting threshold
                       - 1,2,3,7,8-Pentachlorodibenzofuran
                       - 2,3,4,7,8-Pentachlorodibenzofuran
                       - 1,2,3,7,8-Pentachlorodibenzo-p-dioxin
                       - 2,3,7,8-Tetrachlorodibenzofuran
                       - 2,3,7,8 Tetrachlorodibenzo-p-dioxin
                Lead Compounds
        100
                Mercury compounds
         10
                Poly cyclic aromatic compounds (PACs) (This 100
                category includes only those chemicals listed below).
                        - Benz(a)anthracene
                        - Benzo(b)fluoranthene
                        - Benzo(j)fluoranthene
                        - Benzo(k)fluoranthene
                        - Benzo(j ,k)fluorene
                        - Benzo(r,s,t)pentaphene
                        - Benzo(a)phenanthrene
                        - Benzo(a)pyrene
                        - Dibenz(a,h)acridine
                        - Dibenz(a,j)acridine
                        - Dibenzo(a,h)anthracene
                        - 7H-Dibenzo(c,g)carbazole
                        - Dibenzo(a,e)fluoranthene
                        - Dibenzo(a,e)pyrene
                        - Dibenzo(a,h)pyrene
                        - Dibenzo(a,l)pyrene
                        - 7,12-Dimethylbenz(a)anthracene
                        - Indeno [ 1,2,3 -cd]pyrene
                        - 3-Methylcholanthrene
                        - 5-Methylchrysene
                        - 1-Nitropyrene
        100
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
                                                                                                     A2

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Protocol for Conducting Environmental Compliance
  Audits under EPCRA and CERCLA Section 103
                Appendix B:
User Satisfaction Questionnaire and Comment Form

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                                     User Satisfaction Survey
                                   (OMB Approval No.  1860.01)
                                        Expires 9/30/2001

We would like to know if this Audit Protocol provides you with useful information. This information will
be used by EPA to measure the success of this tool in providing compliance assistance and to determine
future applications and needs for regulatory checklists and auditing materials.

1.  Please indicate which Protocol(s) this survey applies to:

    Title:
    EPA Document Number:
2.  Overall, did you find the Protocol helpful for conducting audits:

    Yes	   No	

    If not, what areas of the document are difficult to understand?

3.  How would you rate the usefulness of the Protocol(s) for conducting compliance audits on a scale of 1-
    5?

    1 = not useful or effective, 3 = somewhat useful/effective,  5 = very useful/effective

    Low                 Medium        High
    12345       Introduction Section
    12345       Key Compliance Requirements
    12345       Key Terms and Definitions
    12345       Checklist
4.  What actions do you intend to take as a result of using the protocol and/or conducting the audit?  Please
    check all that apply.

    	 Contact a regulatory agency
    	 Contact a compliance assistance provider (e.g., trade association, state agency, EPA)
    	 Contact a vendor
    	 Disclose violations discovered during the audit under EPA's audit Policy
    	 Disclose violations discovered under EPA's Small Business Policy
    	 Obtain a permit or certification
    	 Change the handling of a waste, emission or pollutant
    	 Change a process or practice
    	 Purchase new process equipment
    	 Install emission control equipment (e.g., scrubbers, wastewater treatment)
    	 Install waste treatment system (control technique)
    	 Implement or improve pollution prevention practices (e.g., source reduction, recycling)
    	 Improve organizational auditing program
    	 Institute an Environmental Management System
    	 Improve the  existing Environmental Management System (e.g., improve training, clarify standard
          operating procedures,  etc.)
          Other

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5.    What, if any, environmental improvements will result from the actions to be taken (check all that
    apply)?

    	  reduced emissions
    	  waste reduction
    	  reduced risk to human health and the environment due to better management practices
    	  reduced quantity and toxicity of raw materials
    	  water conservation
    	  energy conservation
    	  conserved raw materials
    	  conservation of habitat or other environmental stewardship practice:	
          other:
          no environmental improvements are likely to result from the use of this document
6.   How did you hear about this document?
    	  trade association
    	  state technical assistance provider
    	  EPA internet homepage or website
    	  document catalog
    	  co-worker or business associate
    	  EPA, state, or local regulator
    	  other (please specify)	
7.   In order to understand your response, we would like to know what function you perform with respect to
    environmental compliance and the size of your organization.

	Company Personnel            	 Trade Association              	 Compliance Assistance
     	  Environmental Auditor          	  National                       Provider
     	  Corporate Level                	  Regional                       	 EPA
           Plant-level                           Local                               State
           Legal                         	 Manager                       	 State Small Business
           Environmental Manager         	 Information Specialist                 Assistance
           Operator - (e.g.,                                                    	Local
           Pollution Control                                                   	Other	
           Equipment                                                              	
           Other:
      Regulatory Personnel          	 Vendor/Consultant
      	  State                         	 Environmental Auditor
            Local                             Environmental
            EPA                               Engineer/Scientist
                                              Attorney
    How many employees are located at your facility (including full-time contractors?)

        0-9       10-49       50-100       101-500       More than 500

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Optional (Please Print)

Name:                                  Address:
Title:	City:	State:

Zip code:	
Organization Name:
Phone: (  )	E-mail:
Please return all pages (1 thru 3) of this survey by folding pages 1 and 2 into page 3 and using the
preprinted, pre-stamped address on the reverse side of page 3. If you have accessed this document
electronically from one of EPA's web sites, simply e-mail this questionnaire to:
satterfield.richard(@,epa.gov.

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