United States
Environmental Protection
Agency
Office of
Federal Activities
Washington, D.C.
EPA/130/4-89/002
August 1989
Generic Protocol
for Environmental Audits
at Federal Facilit
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OFFICE OF FEDERAL ACTIVITIES
U.S. ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C.
Generic Protocol for
Environmental Audits
at Federal Facilities
AUGUST 1989
Printed on Recycled Paper
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NOTICE
This protocol was prepared with assistance from BoozAllen & Hamilton Inc under two
contracts, a draft under Contract Number 68-01-7378 and a final under Contract Number 68-
W8-0097, for the Office of Federal Activities, U.S. Environmental Protection Agency. Mr.
James R. Edward was the EPA Project Manager. The purpose of this document is to provide
technical assistance for environmental compliance auditing at Federal facilities and is intended
as a guide for auditing such facilities. Due to variations in facility operations or other
circumstances, this protocol may require additions or modifications. Neither BoozAllen &
Hamilton Inc, nor the U.S. Environmental Protection Agency make any guarantee or assume
any liability with respect to the use of any information or recommendations contained in this
protocol. Federal facilities requiring additional auditing information or advice should consult a
qualified professional.
In addition, the information and recommendations set forth herein are intended as
guidance to Government employees. It does not constitute rulemaking by the EPA, and may
not be relied on to create a substantive or procedural right or benefit enforceable by any other
person.
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ACKNOWLEDGEMENTS
This protocol was developed by James R. Edward of the Office of Federal Activities, U.S.
Environmental Protection Agency, and Barbara M. Young of Booz, Allen and Hamilton Inc,
Bethesda, Maryland. It is a pleasure to acknowledge the assistance of the following EPA staff
who kindly provided technical review: Kathy Hutson, Office of Federal Activities; Lee Braem,
Office of Enforcement and Compliance Monitoring; and Tapio Kuusinen, Office of Policy
Planning and Evaluation. Booz, Allen and Hamilton staff included Cynthia Salisbury, Lisa Ice,
Ted Yoder and Donald Gensler.
For further information or copies of this protocol, please write to:
James R. Edward
Deputy Director
Federal Facilities Compliance Program
Office of Federal Activities (A-104)
U.S. Environmental Protection Agency
401 M Street, SW
Washington, DC 20460
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INTRODUCTION
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TABLE OF CONTENTS
Page
Number
CHAPTER 1.
INTRODUCTION
Auditing Assistance to Federal Agencies 1-1
Objective of Environmental Auditing Protocols 1-2
Scope 1-2
Contents 1-3
Instructions 1-4
CHAPTER 2. AUDIT PROCEDURES
Preliminary Overview 2-1
Gathering Audit Information 2-3
Evaluating and Reporting 2-3
CHAPTER 3. AIR
Federal Statutes 3-1
Applicability 3-2
Regulatory Scope Regulatory 3-2
State and Local Regulatory Authority 3-3
Selected Management Considerations 3-3
Agency Policy.... 3-4
Source List 3-5
Checklist 3-6
CHAPTER 4. ASBESTOS
Federal Statutes 4-1
Applicability 4-1
Regulatory Scope 4-1
State and Local Regulatory Authority 4-2
Selected Management Considerations 4-2
Agency Policy 4-3
Source List 4-4
Checklist..... 4-5
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CHAPTER 5.
DRINKING WATER
Federal Statutes 5-1
Applicability 5-1
Regulatory Scope 5-2
State and Local Regulatory Authority 5-3
Selected Management Considerations 5-3
Agency Policy 5-4
Source List 5-5
Checklist '. 5-6
CHAPTER 6 WATER POLLUTION
Federal Statutes 6-1
Applicability 6-1
Regulatory Scope 6-1
State and Local Authority 6-3
Selected Management Considerations 6-3
Agency Policy 6-4
Source List 6-5
Checklist 6-6
CHAPTER?. NONHAZARDOUS SOLID WASTE
Federal Statutes 7-1
Applicability 7-1
Regulatory Scope 7-1
State and Local Regulatory Authority 7-2
Selected Management Considerations 7-2
Agency Policy 7-3
Source List.... 7-4
Checklist , 7-5
CHAPTERS. HAZARDOUS WASTE
Federal Statutes 8-1
Applicability 8-1
Regulatory Scope 8-2
State and Local Authority 8-3
Selected Management Considerations 8-4
Agency Policy 8-4
Source List 8-5
Checklist 8-6
CHAPTER 9. UNDERGROUND STORAGE TANKS
Federal Statutes 9-1
Applicability 9-2
Regulatory Scope 9-2
State and Local Authority 9-2
Selected Management Considerations 9-3
Agency Policy 9-3
Source List 9-4
Checklist 9-5
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CHAPTER 19.
ENVIRONMENTAL MANAGEMENT SYSTEMS
Purpose. 19-1
Environmental Compliance Program Questionaire 19-2
APPENDIX A
APPENDIX B
APPENDIX C
APPENDIX D
EPAs ENVIRONMENTAL AUDITING POLICY STATEMENT
LIST OF STATE AGENCIES AND ADDRESSES
PRE-AUDIT QUESTIONNAIRE USED BY U.S. EPA,
ENVIRONMENTAL HEALTH AND SAFETY DIVISION
CLEAN AIR ACT: NEW STATIONARY SOURCES FOR
POLLUTION
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ACRONYMS AND ABBREVIATIONS
ACM Asbestos-containing Materials
AEA Atomic Energy Act
AHERA Asbestos Hazardous Emergency Response Act of 1986 (Title II of TSCA)
CAA Clean Air Act
CEQ Council on Environmental Quality
CERCLA Comprehensive Environmental Response, Compensation and Liability Act
CFR Code of Federal Regulations
DOT Department of Transportation
CWA Clean Water Act
ECC Environmental Compliance Coordinator
ECP Environmental Compliance Program
EIS Environmental Impact Statement
EO Executive Order
EP Extraction Procedure
EPA Environmental Protection Agency
EPCRA Emergency Planning and Community Right-to-Know Act
EUP Experimental Use Permit
FNSI Finding of No Significant Impact
FIFRA Federal Insecticide, Fungicide, and Rodenticide Act
FR Federal Register
FWS Fish and Wildlife Service
GSA General Services Administration
HSWA Hazardous and Solid Waste Amendments (1984 RCRA Amendments)
kg/mo Kilogram per Month
LEA Local Education Agencies
LLW Low-level waste
LLWPA Low-level Waste Polic? Act
MCL Maximum Concentration Level
MSDS Material Safety Data Sheet
NAAQS National Ambient Air Quality Standards
NEPA National Environmental Policy Act of 1969
NESHAP National Emissions Standards for Hazardous Air Pollutants
NHPA National Historic Preservation Act of 1966
NPDES National Pollutant Discharge Elimination System
NPL National Priorities List
NRC Nuclear Regulatory Commission
NSPS New Source Performance Standards
NVLAP National Voluntary Laboratory Accreditation Program
NWPA Nuclear Waste Policy Act
OFA Office of Federal Activities
OMB Office of Management and Budget
OPPE Office of Policy and Program Evaluation
PCBs Polychloronated biphenyls
POTW Publicly Owned Treatment Works
PPM Parts per million
PSD Prevention of Significant Deterioration
RCRA Resource Conservation and Recovery Act
ROD Record of Decision
SARA Superfund Amendments and Reauthorization Act of 1987
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SDWA Safe Drinking Water Act
SHPO State Historic Preservation Officer
SIP State Implementation Plan
SPCC plan Spill Prevention Control and Counter Measure Plan
TPQ Threshold Planning Quantity
TSCA Toxic Substances Control Act
TSDFs Treatment, Storage, and Disposal Facilities
UIC Underground Injection Control
UMTRCA Uranium Mill Tailings Radiation Control Act
UST Underground Storage Tank
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INTRODUCTION
Auditing Assistance to Federal Agencies
This Generic Protocol for Environmental Audits at Federal Facilities is a supplement to earlier
efforts by EPA to provide technical assistance to Federal agencies on environmental auditing. EPA's
Office of Federal Activities (OFA) issued the Federal Facility Compliance Strategy (referred to as the
"Yellow Book"), prepared in 1984 and revised in 1988, as a framework for EPA's media programs
to follow to ensure that Federal facilities are fully integrated into Federal and State compliance
monitoring and enforcement activities. In the executive summary of the Yellow Book, Lee Thomas,
former EPA Administrator, states the goal of EPA as helping to "...ensure that Federal agencies
achieve compliance rates in each media program which meet or exceed those of major industrial and
major municipal facilities."
In 1986, EPA issued the Environmental Auditing Policy Statement (see Appendix A). The
policy encourages Federal agencies to voluntarily develop comprehensive auditing programs to
ensure environmental compliance. A comprehensive auditing program may have many, if not all, of
the seven elements identified in the policy statement. In addition to this effort, EPA hosted an
environmental auditing conference for Federal agencies in March 1988 and issued bibliographies on
environmental auditing and management (Annotated Bibliography on Environmental Auditing, March
1988; Annotated Bibliography on Environmental Management, March 1988).
EPA's Environmental Auditing Policy Statement
On July 9,1986, EPA issued a formal Environmental Auditing Policy Statement in the Federal
Register which encouraged all regulated entities ~ private, municipal and Federal ~ to adopt
environmental auditing programs. The policy statement stresses that although Federal law does not
require regulated entities to implement an auditing program, the ultimate responsibility for
environmental performance of the entity lies with top management. This gives managers a strong
incentive to use means such as auditing to secure reliable information on the environmental
compliance of facilities which they own or operate.
In the policy statement EPA defines environmental auditing as "... a systematic, documented,
periodic and objective review by regulated entities of facility operations and practices related to
meeting environmental requirements." Such a review can lead to higher levels of environmental
compliance and reduced risk to human health and the environment. The EPA policy specifically
endorses environmental auditing at Federal facilities and recommends auditing programs which
promptly identify problems and implement corrective actions. In addition, EPA promises to provide
technical assistance to Federal agencies concerning the design and initiation of such a program to the
extent feasible.
Executive Order 12088
Signed by President Carter on October 13,1978, the purpose of Executive Order 12088 is
to ensure Federal government compliance with applicable pollution control standards. The order
conveys the responsibility for compliance to the head of each executive agency. Agencies must
comply with all substantive and procedural requirements of Federal, State and local environmental
regulations. Agencies are encouraged to consult EPA, State, interstate and local agencies in the
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prevention, control, and abatement of environmental pollution. EPA, in turn, is required by this
Executive Order to provide technical advice and assistance to ensure compliance by Federal agencies.
Executive Order 12088 also requires executive agencies to submit to the Office of Management
and Budget (OMB), through EPA, an annual plan for the prevention control, and abatement of
pollution. This plan is part of the process required by OMB Circular A-106, "Reporting
Requirements in Connection with the Prevention, Control and Abatement of Environmental Pollution
of Existing Federal Facilities," dated December 31, 1974. The form must include annual cost
estimates for any environmental projects planned at Federal facilities. The head of each agency must
ensure that sufficient funds for compliance with pollution control standards are requested; and
subsequently, funds appropriate for the prevention, control and abatement of environmental pollution
are used for the intended purpose. Environmental auditing can be an effective tool for identifying
needed projects to be included in Federal agencies' A-106 plans.
Objective of Environmental Auditing Protocols
OFA has developed the Generic Protocol for Environmental Audits at Federal Facilities
(Generic Protocol) to assist Federal agencies in designing environmental audit protocols for use in
conducting internal audits at their facilities. The Generic Protocol may serve as a guide for audits
conducted by teams drawn from environmental compliance staff and other appropriate personnel
within each agency. They provide detailed step-by-step instructions which agencies may modify to
meet the individual needs and operations at their facilities.
Federal agencies in varying stages of audit program development can use this document. The
protocol is a valuable starting point to those agencies with no audit protocol. Additionally, for those
agencies with only a partial protocol covering only select media, this document will ease the
development of a comprehensive audit protocol. Finally, for those agencies with a comprehensive
working auditing program, this document will provide a means to verify or improve the quality of the
existing protocol. Because this protocol is written with the entire universe of Federal agencies in
mind, it is generic and may need to be supplemented in light of the relative complexity of operations
within different Federal agencies.
OFA has concurrently developed a companion document entitled Environmental Audit
Program Design Guidelines for Federal Agencies. It is intended to assist an agency's headquarters
personnel in assembling a workable environmental auditing program, while the Generic Protocol
provides tools to collect compliance data at the field level once a program is in place. The Design
Guidelines, although prepared for use by all Federal agencies, will be especially useful to those
designing a new auditing program. Both the Design Guidelines and the Generic Protocol are
intended to assist Federal agencies in their pursuit of compliance with environmental regulations.
Such assistance is required by EPA's Environmental Auditing Policy Statement (51 FR 25004) and
Executive Order 12088 as discussed above.
Scope
The auditing protocols in this document are multipurpose: they are intended to address all
environmentally significant operations at Federal facilities. The media and issues covered in the
protocol include:
Air
Asbestos
Drinking water
Water
Nonhazardous waste
Hazardous waste
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Underground storage tanks
Past disposal of hazardous materials
Emergency planning and community right-to-know
PCBs
Pesticides
Radioactive materials
Environmental noise
Natural resources
Cultural resources
Environmental impact documentation
Environmental management systems.
It is important to note that this document covers primarily Federal regulations developed
pursuant to applicable Federal environmental statutes. Federal citations provided in the auditors'
checklists may have exceptions which are too lengthy and site-specific to list in full. Auditors must
review these regulations in the Code of Federal Regulations in order to verify the full extent of
compliance. The checklist also must be revised periodically to reflect changes in environmental laws
and regulations.
The document, in addition, address the applicability of State and local regulations only to the
extent that significant differences frequently observed between the Federal and corresponding State
regulations are highlighted. A successful environmental audit can not be conducted without
considering State and local regulations. Since this document only addresses Federal regulations,
auditors are instructed to insert relevant State and local regulations at the appropriate locations in this
document. In order to assist auditors in obtaining copies of their States' regulations, Appendix B
contains a list of State environmental agencies, addresses and phone numbers. If there is a particular
program of concern, it is best to get copies of the State law and regulations.
Contents
This documents includes 19 chapters, each focusing on a critical area of the environmental
audit. The first chapter highlights the purpose, scope and organization of the protocol. Chapter 2
gives a brief outline of audit activities, including pre-audit preparation, conduct of the audit and
reporting procedures. The environmental issues to be addressed during an audit are discussed in the
following chapters:
Chapter 3 Air
Chapter 4 Asbestos
Chapter 5 Drinking Water
Chapter 6 Water Pollution
Chapter 7 Nonhazardous Solid Waste
Chapter 8 Hazardous Waste
Chapter 9 Underground Storage Tanks
Chapter 10 Past Disposal of Hazardous Materials
Chapter 11 Emergency Planning and Community Right-to-Know
Chapter 12 PCBs
Chapter 13 Pesticides
Chapter 14 Radioactive Materials
Chapter 15 Environmental Noise
Chapter 16 Natural Resources
Chapter 17 Cultural Resources
Chapter 18 Environmental Impact Documentation
Chapter 19 Environmental Management Systems
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Instructions
Each chapter, with the exception of Chapter 19, Environmental Management Systems, is
organized into the following eight subparts:
Federal Statutes Reviews the applicable Federal environmental laws for the issue
involved.
Applicability ~ Describes operations and activities at Federal facilities which potentially
may be regulated.
Regulatory Scope Addresses specific Federal regulations as of March 1989, with
which subject facilities must comply. Pending regulations (those proposed in the
Federal Register) are also addressed.
State and Local Regulatory Authority ~ Gives specific examples for those areas where
more stringent State regulations are common.
Selected Management Considerations Provides recommended practices that
management personnel may adopt to increase environmental compliance. The activities
addressed are not required by Federal statutes or regulations.
Agency Policy - Instructs auditors to identify and insert applicable policies from their
respective agencies.
Audit Information Source List -- Provides a quick reference list for audit team members
of records to review, physical features to inspect, and people to interview.
Auditors' Checklist Provides a step-by-step worksheet to be used by audit team
members in conducting the audit. Each worksheet is divided into four columns. The
first column is the citation of a Federal regulatory requirement. The second column
provides instructions to the auditor. The third column is for the auditors' comments.
In the forth column, the auditor gives each finding a unique notation that is to be
determined by the agency. This is designed to encourage early classification of
findings, a topic discussed in more detail in the Design Guidelines.
These subparts provide generic information that will be useful to all Federal agencies. Chapter 19 is
provided to evaluate the environmental management systems in place at Federal facilities. Although
this chapter goes well beyond the typical compliance assessment, it is an integral part of internal
environmental audits. Information considered important but beyond the scope of the chapters is
provided in several appendices listed in the Table of Contents.
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AUDIT PROCEDURES
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AUDIT PROCEDURES
This chapter outlines audit procedures, including audit preparation, data gathering and
reporting. Exhibit 2-1 outlines the three phases of a typical audit at a Federal facility with special
emphasis on the auditor's use of protocols provided in the following chapters. A description of each
phase is provided below.
Preliminary Overview
The preliminary overview is the first phase of the audit. The audit team will be sufficiently
prepared at the conclusion of the preliminary overview to evaluate environmental compliance and
management systems at the facility. It includes the following activities:
Pre-audit Questionnaire Before the audit team arrives at the facility, a pre-audit
questionnaire is sent to the environmental compliance coordinator. An example of a
questionnaire used by U.S. EPA's Environmental Health and Safely Division is
provided in Appendix C. The facility environmental compliance coordinator usually
completes the questionnaire and returns it to the audit team two to four weeks prior to
an audit.
Pre-audit Review -- Based on the questionnaire, the audit team determines the
activities that are subject to regulations. The corresponding chapters in this protocol
are identified and the auditors' checklists reviewed. Applicable State regulations and
agency policies are obtained and reviewed. Compliance manuals, standard operating
procedures, past audit or inspection reports and facility layout maps returned with the
questionnaire are also important to review.
Entrance Briefing The purpose of the entrance briefing is to inform facility
personnel of the audit program's objectives, scope, approach and the expected
schedule of activities. The audit team members can also become familiar with
individuals responsible for environmental compliance at this time and answer their
questions.
Facility Tour The facility tour will vary with the size, number and diversity of
operations. The main objective of the tour is for auditors to become familiar with the
physical plant and potential sources of pollution. It is most efficient to examine each
area of the facility in an integrated fashion rather than as separate categories or media,
such as air, water or hazardous waste. The source lists in Chapters 3 through 18 are
used to focus attention to areas to be visited during the tour. Auditors should note
those areas which will require a return visit for a more detailed inspection.
Create Team Audit Plan -- After completing the previous four steps, the audit team
will have a basic understanding of the processes and areas of concern. With this
information, the team divides the work load and plans the remainder of the audit.
Each member of the team may take charge of a category or medium, such as
hazardous waste or air, or the work can be divided by building.
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EXHIBIT 2-1
SCHEMATIC OVERVIEW OF THE AUDIT PROCESS
PRELIMINARY
OVERVIEW
GATHERING AUDIT
INFORMATION
EVALUATING AND
REPORTING
FACILITY
RETURNS
PRE-AUDIT
QUESTIONNAIRE
PRE-AUDIT
REVIEW
ENTRANCE
BRIEFING
FACILITY TOUR
Photos
Notes
CREATE TEAM
AUDIT PLAN
DETAILED REVIEW OF
FACILITY PRACTICES
In-depth Interviews
Additional Tours
Examine Records
xlx
EVALUATE INTERNAL
MANAGEMENT
CONTROLS
Review SOPs
Interview Facility
Management
\
/
DEVELOP
PRELIMINARY LIST
OF AUDIT FINDINGS
\Ix
FURTHER
DISCUSSIONS AND
EXAMINATION TO
VERIFY FINDINGS
^
COMPLETE LIST OF
AUDIT FINDINGS
EXIT BRIEFING
WITH FACILITY
MANAGEMENT
PREPARATION OF
DRAFT AUDIT
REPORT
REVIEW OF
DRAFT REPORT
BY FACILITY
FINAL AUDIT
REPORT
W/CORRECTIVE
ACTION PLAN
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Gathering Audit Information
The next phase of the audit requires extensive review of facility documents and return visits to
specific areas of the facility. It includes the following activities:
Detailed Review of Facility Practices The audit team conducts detailed interviews
with on- and off-site personnel, make additional tours, and examine records. The
team should review the auditors' checklist provided in Chapters 3 through 18.
Evaluate Internal Management Controls The team gains an understanding of how
environmental pollution is controlled. This includes understanding the facility's
programs, procedures and staff responsibilities for each category or medium
covered.
Evaluating and Reporting
After orienting themselves and gathering data from records and interviews, the audit team
compiles their results by comparing the data to the regulatory requirements. This phase includes the
following activities:
Develop Preliminary List of Audit Findings - For each category or medium
investigated, a list of findings is compiled which includes a description of the
condition and the regulation violated. If the audit includes management assessment,
these recommendations also are listed.
Further Discussions and Examinations to Verify Findings The findings are
discussed among the audit team members and with the environmental compliance
coordinator to verify the conditions noted.
List of Audit Findings Once the findings are verified, a final list of preliminary
findings is prepared for presentation at the exit briefing.
Exit Briefing with Facility Management The audit team enumerates preliminary
findings at the exit briefing. The facility management raises any conflicts they have
with the audit team findings. Any differences are discussed and ,if possible resolved,
Outstanding issues are documented and may need follow-up action after the exit
briefing.
Preparation of Draft Audit Report - Written results of the audit are drafted by the
audit team after leaving the facility. Findings and recommendations may be sorted by
major categories or media to help structure the audit report and set priorities for
resolving problems.
Review of Draft Report By Facility - The draft report may be reviewed and edited by
the audited facility before it is in final form.
Final Audit Report with Corrective Action Plan ~ The final report is distributed to a
predetermined audience. The report includes a plan for correcting the deficiencies and
the length of time necessary to correct the problem.
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AIR
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AIR
Federal Statutes
The Clean Air Act, enacted in 1970 and amended in 1977, is the Federal statute
mandating the prevention and control of air pollution from both stationary and mobile
sources. The Clean Air Act (CAA) requires EPA to establish three types of national
standards: National Ambient Air Quality Standards; New Source Performance Standards;
and National Emission Standards for Hazardous Air Pollutants.
National Ambient Air Quality Standards (NAAQS) establish the allowable ambient
concentrations for six priority pollutants:
Total suspended particulates
Sulfur dioxide
Nitrogen oxide
Carbon monoxide
Ozone
Lead
NAAQS apply to pollutant concentrations in ambient air, and are not applicable to individual
emission sources. For this reason, compliance with these standards is not an issue directly
addressed during an environmental audit. The CAA, however, mandates that States must
develop State Implementation Plans (SIPs) which regulate emissions from stationary and
mobile sources to ensure attainment and maintenance of the NAAQS. v
There are statutory provisions concerning the construction and modification of
stationary sources in areas where air quality is better than that required by NAAQS. These
provisions are intended to prevent significant air quality degradation in these areas. The
"prevention of significant deterioration" (PSD) regulations establish strict preconstruction
guidelines and monitoring requirements. For construction or modification of sources in non-
attainment areas (NAA), where one or more NAAQS are not met, there are similar strict
regulations for preconstruction review, emission control systems and monitoring.
New Source Performance Standards (NSPS) were developed for specific industrial
categories to provide a ceiling for emissions from new sources (Appendix D). They are based
on application of the best technology available to reduce emissions. These standards include
requirements for notification, recordkeeping, performance tests, maintenance and monitoring.
National Emission Standards for Hazardous Air Pollutants (NESHAPs) were
established to control air pollutants for which no ambient air quality standards are applicable
and which may result in an increase in mortality or serious irreversible illness. These
standards define emission limits, monitoring requirements, restrictions on material use,
worker practice standards and reporting requirements for hazardous air pollutants. Facilities
emitting the following pollutants must comply:
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Asbestos
Benzene
Beryllium
Coke oven emissions
Inorganic arsenic
Mercury
Radionuclides
Vinyl chloride
Many additional pollutants are likely to be added to this list of hazardous air pollutants.
Applicability
Section 118 of the CAA requires Federal facilities to comply with all Federal, State,
interstate and local requirements pertaining to air pollution. Federal facilities must comply
with all of the standards and regulations described above.
Federal facilities with one or more of the industrial sources listed in 40 CFR Part 60
must comply with the NSPS only if the operations were constructed after the date the
applicable standards were proposed. A full list of these industrial operations and the dates the
standards were proposed is included in Appendix D. A total of 53 industrial operations are
now affected by New Source Performance Standards.
Federal facilities that handle, process, dispose or emit the hazardous air pollutants
regulated by NESHAPs must be aware of the regulations set forth in 40 CFR Part 61. Many
other substances are currently being considered for inclusion in the list of hazardous air
pollutants; many of these substances are suspected carcinogens.
A Federal facility must comply with PSD regulations if it is located in an area of
designated attainment for at least one criteria pollutant (i.e., sulfur dioxide, paniculate matter,
carbon monoxide, ozone, nitrogen oxide, lead) and fulfills one of these conditions below:
A stationary source specifically listed in 40 CFR Part 52.21 (a) which emits, or
has the potential to emit, 100 tons per year or more of any pollutant subject to
regulation under the CAA
A stationary source which emits, or has the potential to emit, 250 tons per year
or more of any air pollutant subject to regulation under the CAA.
The NAA regulations apply to major sources constructed in areas of non-attainment for one
or more criteria air pollutants that emit, or have the potential to emit, 100 tons per year of a
pollutant subject to regulation under the CAA.
Regulatory Scope
Federal regulations pursuant to the CAA are codified in 40 CFR Parts 50 through 80.
The regulatory requirements applicable to operations at Federal facilities are outlined below:
National Ambient Air Quality Standards (40 CFR 50) -- NAAQS set national
permissible ambient levels for sulfur oxides, particulate matter, carbon
monoxide, ozone, nitrogen oxide and lead. State and local agencies may adopt
more stringent levels than those set forth here.
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State Implementation Plan (40 CFR Parts 51 -52) -- SIP regulations describe the
methods EPA uses to approve State air pollution control programs. The State
programs implement the air pollution regulations.
Ambient Monitoring Methods (40 CFR Part 53) details reference and
equivalent methods approved by EPA for monitoring ambient air pollutants.
Nonferrous Smelters (40 CFR Part 57) -- sets forth standards applicable to the
operators of nonferrous smelters.
, New Stationary Source (40 CFR Part 60) -- sets standards applicable to over 50
types of industrial operations. The operations covered are listed in Appendix D.
States may set more stringent standards for these industrial operations.
Emission Standards for Hazardous Air Pollutants (40 CFR Part 61) -- sets
national emission standards for asbestos, beryllium, mercury, vinyl chloride,
benzene, radionuclides and arsenic. State and local agencies may promulgate
more stringent emission standards for these pollutants.
Because States enforce regulations pursuant to the CAA, it is imperative that all Federal
facilities are aware of the State and local air pollution control regulations in their areas, in
addition to the Federal requirements listed above.
State and Local Regulatory Authority
The CAA specifies that the States must enforce the pollution abatement requirements for
existing and new sources. This includes the NSPS, NESHAP, PSD and NAA regulations
described above. States are free to develop more stringent regulations than those proposed
by EPA, but cannot lower Federal Standards. Any facility emitting air pollutants must be
familiar with the applicable .State regulations.
Many States regulate operations not addressed in the Federal regulations. For example,
some States require that fume hoods have permits, while others do not. Additionally, at least
one State requires that every air pollution control device (e.g., HEPA or carbon filters) be
permitted by the State. Several States require that facilities submit or "register" a list of every
air pollutant they emit with the appropriate State agency. These examples illustrate that it is
imperative that facilities review their State regulations for applicability to individual
operations.
Several States also have local air pollution regulations. Facilities should consult local
authorities (e.g., County Board of Health, County Environmental Agency) to find out if there
are local regulations in their area. Regional regulations are occasionally found, especially if
the region is a non-attainment area. Facilities should check for regional regulations as well.
Selected Management Considerations
Agency management is responsible for ensuring conformance with Federal, State, local
and regional air emission standards and for initiating timely requests for permit amendments
and renewals. The following actions can improve compliance:
Establish and implement procedures for obtaining, evaluating and maintaining a
current file on relevant air emission standards.
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\ Establish and maintain a tickler file of permit-related milestones.
J Develop standard operating procedures requiring modifications to existing
equipment and proposals for new air emission sources to be reviewed for
permit compliance/conformance with air emission standards that can minimize
instances of non-compliance.
Agency management should be aware that operation of an air emissions source may
involve compliance issues with other environmental regulations besides air emission
standards. The following actions can improve compliance with these regulations:
The use of a materials balance approach for air emission sources can provide
/ documentation necessary to determine applicability of other environmental
/ regulations. Boiler blow-down, for example, will probably be regulated under
the National Pollutant Discharge Elimination System provision of the Clean
Water Act, while disposal of collected fly ash is frequently regulated by the
Resource Conservation and Recovery Act (RCRA).
Disposal of filters used to remove, clean contaminants from air emission source
exhausts may be regulated by RCRA because of the nature of the contaminants
collected by the filter.
Air emission sources should be included in Federal agency management's waste
minimization practices. For example, increasingly costly disposal of contaminants from air
exhaust streams may justify modification to or replacement of existing air emission source
equipment.
Agency Policy
Insert applicable agency policies here.
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AUDIT INFORMATION SOURCE LIST
Activity: Air
Records to Review:
State and local air pollution control regulations
Agency air pollution control regulations
Emissions inventory
All air pollution source permits
Plans and procedures applicable to air pollution control
Emission monitoring records
Opacity records
Notifications of violations to regulatory authorities
Instrument calibration and maintenance records
Reports/complaints concerning air quality
Air Emergency Episode Plan
State and/or Federal regulatory inspections.
Physical Features to Inspect:
All air pollution sources
Air pollution monitoring and control devices
Air emission stacks
Air intake vents.
People to Interview:
Operators of sources
Stack testers
Maintenance personnel
Records clerks.
>
55
3-5
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AIR CHECKLIST
Facility:
Auditor:
Date:
Regulatory
Citation
40CFR
51and52/
State
Regulations
40 CFR 60
Auditors' Checklist
State Implementation Plans:
Authority to enforce the requirements pursuant
to the Clean Air Act has been delegated to the
States. The facility should be aware of and
comply with State air pollution control regulations.
A current copy of the State air pollution control
regulations should be on site.
New Stationary Source Performance
Standards
Any Federal facility with a source listed in Ap-
pendix D of this document that has been con-
structed/modified subsequent to the "proposal
date" also listed in Appendix D complies with the
following applicable standards set forth in the
Federal and/or State regulations:
The appropriate regulatory authority (i.e.,
State agency) is notified of construction,
reconstruction, initial startup, physical or
operational change that results in an increase
in the emission rate, opacity observation
information and excess emissions.
A report is prepared showing the results of
performace tests within 180 days after initial
start-up.
Facility maintains monitoring systems and
monitoring devices required for specific source
category.
Comments
Finding
Number
CO
I
O)
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Activity: Air
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
40 CFR 61/
State
Regulations
61.087
State
Regulations
61.097
State
Regulations
61.127
State
Regulations
Facility complies with emission standards for
regulated pollutants such as sulfur dioxide,
paniculate matter, carbon monoxide, ozone,
nitrogen dioxide and lead.
Facility monitors operations and maintains
records of operations as required for specific
source category.
Reference test methods and procedures are used
as required for specific source category.
National Emission Standards for
Hazardous Air Pollutants (NESHAP):
States have the authority to implement and
enforce national emission standards for
hazardous air pollutants. A copy of the State air
pollution control regulations should be on site.
Facility obtains approval from appropriate
regulatory authority (i.e., State agency)
prior to constructing/modifying stationary
source potentially emitting hazardous air
pollutant(s).
The appropriate regulatory authority
is notified prior to start-up of source
potentially emitting hazardous air pollutant(s).
Facility operates source in a manner
consistent with good air pollution control
practices for minimizing emissions.
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Activity: Air
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
61.14/
State
Regulations
61.14/
State
Regulations
State/
Local
Regulations
Emission tests are performed as required by
applicable regulations and/or permit
requirements.
Facility operates monitoring system in a
manner consistent with good air pollution
control practices for minimizing emissions.
Emissions of the following pollutants do
not exceed limitations set forth in State
or local regulations:
- Asbestos
- Benzene
- Beryllium
Coke oven emissions
- Inorganic arsenic.
- Mercury
- Radionuclides
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ASBESTOS
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ASBESTOS
Federal Statutes
Requirements pertaining to asbestos are included in regulations promulgated pursuant
to the Clean Air and Toxic Substances Control Acts.
The Clean Air Act (CAA) Amendments of 1970 required EPA to establish National
Emissions Standards for Hazardous Air Pollutants (NESHAPs). In 1971 EPA listed
asbestos as a hazardous air pollutant and subsequently established emission standards for the
manufacturing, fabrication, spray application, waste packaging, labeling and disposal of
asbestos. The Act also establishes standards for asbestos emissions during renovation and
demolition projects.
The Toxic Substances Control Act (TSCA) of 1976 was amended in 1986 by the
Asbestos Hazard Emergency Response Act (AHERA). AHERA regulations require local
education agencies to inspect their school buildings for asbestos containing materials and take
appropriate actions to control release of asbestos fibers. This includes schools on Federal
facilities.
Applicability
The CAA regulations apply where emissions of asbestos fibers occur. Federal facilities
must comply with CAA requirements specified in CAA Section 118. Facilities that mill,
manufacture, fabricate, land dispose or spray apply asbestos are subject to emission control
regulations. Buildings constructed with asbestos-containing materials (ACM) could trigger
coverage under NESHAPs in the event of any renovation or demolition involving these
building materials. NESHAPS require that the EPA Administrator be notified when removal
or demolition projects will involve significant amounts of asbestos. The standards also
include procedures for asbestos emission control during these projects.
Agencies operating educational facilities are subject to TSCA asbestos-in-schools
regulations. TSCA mandates that Federal facilities must comply with its requirements.
Classrooms, dormitories and all education-related office buildings (excluding childcare
facilities) require asbestos inspection, containment or removal actions, and management
plans.
Regulatory Scope
Federal regulations covering asbestos are modified under TSCA and CAA regulations.
The regulatory requirements applicable to asbestos at Federal facilities are outlined below:
Emission Standards for Asbestos (40 CFR Part 61 Subpart M) - establish
standards for:
Asbestos mills
Roadways
4-1
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Manufacturing
Demolition and renovation (applicability, notification, asbestos emission
and control)
Spraying
Fabricating
Insulating materials
Waste disposal.
Reporting Commercial and Industrial Uses of Asbestos (40 CFR Part 763,
Subpart D) requires reporting by persons who manufacture, import or
process asbestos.
Asbestos-Containing Materials in Schools (40 CFR Part 763, Subpart E)
requires local education agencies (LEAs) to identify friable and nonfriable
asbestos-containing materials in primary and secondary schools. The subpart
also requires LEAs to submit a management plan to their state and begin
implementation of the plan by July 9,1989.
Asbestos Abatement Project (40 CFR Part 763 Subpart G) - establishes
requirements to be followed during asbestos abatement projects. The rule
covers employees who take part in asbestos abatement work.
State and Local Regulatory Authority
Many State and local governments have additional, more stringent asbestos standards
regarding asbestos use, removal or application. These State agencies must be contacted prior
to any asbestos removal or disposal operation.
Selected Management Considerations
Agency management, responsible for implementing both. TSCA and occupational safety
and health provisions for the protection of personnel and the environment, has several
options to choose from in addressing asbestos in Federal facilities. These options are
affected to varying degrees by local factors such as funding availability, integrity of the
asbestos materials, and future plans for the facility. Consideration of these options presumes
management's knowledge of the presence and status of asbestos in its facilities. Management
that is implementing TSCA should formally consider the following options:
Inspection of all buildings for the presence of asbestos-containing building
materials
Maintenance of facility floor plans or blueprints showing location(s) of friable
and nonfriable ACM for use during potential future renovations, repairs or
demolition
Removal or containment of asbestos in cases where severe deterioration may be
dangerous to building occupants
Preemptive removal of asbestos adjacent to valves, flanges and equipment so
that emergency repairs do not become emergency asbestos removal operations
Monitoring identified asbestos material for deterioration
4-2
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Training maintenance personnel to handle asbestos during building
repair/maintenance procedures rather than relying on contractor support
Obtaining EPA asbestos guidance documents, "Guidance Controlling Asbestos-
Containing Materials in Buildings" (560/5-85-024) June 1985, also known as
the Purple Book, "Asbestos Waste Management Guidance" (530 SW-85-007)
and "Asbestos in Buildings - Guidance for Service and Maintenance Personnel"
(560/5-85-018).
The above recommendations may assist agency management in identifying and controlling
any asbestos problems. The EPA publications mentioned give guidelines on identification,
handling, worker protection, and disposal.
Agency Policy
Insert applicable agency policy here.
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AUDIT INFORMATION SOURCE LIST
Activity: Asbestos
Records to Review:
Asbestos management plan
Notifications to Regulators concerning asbestos disposal
Records of onsite disposal and transportation and offsite disposal of
asbestos
Regulatory inspection reports
Documentation of asbestos sampling and analytical results
Documentation of preventive measure or action
Results of air sampling at the conclusion of response action
Records of asbestos training program
List of buildings insulated with asbestos or housing asbestos-containing
materials
Record of demolition or renovation projects completed in the past 5 years
that involve friable asbestos
Facility operation and maintenance plan
Proof of asbestos inspector's State accreditation
Physical Features to inspect:
Pipe, spray-on, duct, and troweled cementitious insulation and boiler
lagging
Ceiling and floor tiles.
People to Interview:
Facility manager
Personnel involved in asbestos removal or operations and maintenance.
m
i
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ASBESTOS CHECKLIST
Facility:
Auditor:
Date:
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
40 CFR 763
Subpart D
40 CFR 61
Subpart M
(National
Emissions
Standards)
40 CFR
763.84
40 CFR
763.84
Facility manufacturing, importing or processing
asbestos has submitted a report to EPA on commer-
cial and industrial uses of asbestos.
Facility is complying with the emmission standards
and reporting requirements (Sec. 61.155) for the
following operations: asbestos mills (61.142),
roadways (61.143), manufacturing commercial
asbestos (61.144), demolition and renovation involv-
ing friable asbestos (61.145,61.146,61.147), spray-
ing of asbestos (61.148), fabricating commercial
asbestos (61.149), installation of asbestos insulating
materials (61.150), asbestos mill waste disposal
(61.151), waste disposal from manufacturing, demoli-
tion, renovation, spraying and fabricating operations
(61.152), inactive asbestos waste disposal sites
(61.153), air cleaning for above operations (61.154),
active waste disposal sites (61.156).
For operators of primary or secondary schools:
Asbestos related activities are carried out in accor-
dance with 40 CFR 763 Subpart E.
Custodial and maintenance employees have been
properly trained.
Workers, building occupants, or legal guardians are
informed about asbestos activities at least once each
year. /
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Activity: Asbestos
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
40CFR
763.85
40CFR
763.86
Short term workers who may come into contact with
asbestos are properly notified of its location.
Warning labels are placed in accordance with regula-
tions.
Management plans are available for inspection and
concerned parties are notified of the availability of
these plans.
The above requirements are performed under the
supervision of a designated official trained on basic
knowledge of asbestos in schools regulations.
Personnel performing asbestos abatement work are
accredited and have no conflict of interest in the
outcome of the project.
Inspections for friable and non-friable asbestos were
performed by October 12,1988.
Reinspection is performed.
Inspection is performed in accordance with the
requirements of Part 763.85.
State accredited inspector samples for asbestos
containing materials in accordance with requirements
of Part 763.86.
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Activity: Asbestos
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
40CFR
763.93
00
An asbestos management plan was submitted to the
Governor by October 12, 1988 and will be
implemented by July 9, 1989.
The asbestos management plan is developed and
implemented in accordance with the following regu-
lation provisions:
- Inspection and reinspection (763.85)
- Sampling (763.86)
- Analysis (763.87)
- Assessment (763.88)
- Response Actions (763.90)
- Operations and Maintenance (763.91)
- Training and Periodic Surveillance (763.92)
- Recordkeeping (763.94)
- Warning labels (763.95)
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DRINKING WATER
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DRINKING WATER
Federal Statutes
The Safe Drinking Water Act (SDWA) of 1974, as amended, establishes primary
drinking water regulations applicable to public water systems. These regulations specify
contaminants that may have an adverse effect on health and set maximum contaminant levels
(MCLs) for water delivered to any user of a public water system. The Act also establishes
secondary drinking water regulations. Secondary regulations apply to contaminants that may
adversely affect the odor or appearance of the water delivered to the users of a public water
system.
The Act specifies requirements for drinking water monitoring and analytical
procedures, as well as enforcement procedures. Section 1428(a) of the SDWA addresses
ground water protection through requirements for individual State Wellhead Protection
Programs, including determination of wellhead protection areas, identification of potential
sources of contamination, specification of management approaches and contingency plans,
and consideration of new (future) wells.
In addition, the SDWA creates and regulates the Underground Injection Control (UIC)
program, which covers the reinjection of fluids into the subsurface through a well. The
program's purpose is to protect groundwater, which is a present or potential source of
drinking water.
Applicability
Section 1447 of the SDWA requires all Federal agencies with jurisdiction over a public
water system or with activities resulting in underground injection to comply with all Federal,
Sltate, and local MCL requirements. Under Section 1447(b) of the SDWA, EPA has the
authority to exempt public water systems owned or maintained by a Federal agency from
compliance with primary drinking water regulations. This authority may only be exercised
upon a request by the Secretary of Defense and after finding by the President that such a
waiver is necessary in the interest of national security.
A Federal facility operating a public water supply system that meets all of the following
criteria must comply with the SDWA:
The water is intended for human consumption.
The water supply system is a community system (i.e., has at least 15 service
connections or regularly serves an average of 25 individuals daily at least 60
days out of the year).
The system has drinking water collection and treatment facilities (i.e., it does
not consist solely of distribution and storage facilities).
The facility produces some or all of its own drinking water by modifying water
procured, (e.g, chlorinization of water) or sells water from its system).
5-1
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All Federal agencies that own or operate underground injection wells must obtain a
-permit or meet requirements for operators permitted by language in the regulation (permit-by-
rule). The disposal of waste from any of the following activities to a well would require
authorization by EPA, or the State if the State has primary enforcement responsibilities for the
UIC program:
Mining and milling underground waste discharge
Underground waste discharge from oil and gas production
Public domestic sewage disposal
Industrial underground discharge
Agricultural and dairy waste disposal
Power plants (e.g., underground discharge of spent cooling water).
Regulatory requirements for each of these activities are specified in 40 CFR Parts 144 and
146.
Regulatory Scope
SDWA regulations are set forth in 40 CFR Pans 141-149. The regulations applicable
to Federal facilities are summarized below:
National Primary Drinking Water Regulations (40 CFR Part 141) -- specify
MCLs for six categories of contaminants:
Inorganic chemicals
Organic chemicals
- Turbidity
Microbiological contaminants
Natural radioactivity
Man-made radionuclides.
Requirements for analytical methods, monitoring frequency, sampling location,
reporting, public notification, record-keeping, and use of non-centralized
treatment devices are also included. Monitoring for organic chemicals, sodium
and corrosivity characteristics, as well as prohibitions on the use of lead pipes,
solder, and flux for new or repaired drinking water systems are contained in
this part.
National Secondary Drinking Water Regulations (40 CFR Part 143) - establish
secondary MCLs for 13 contaminants that may affect the odor or appearance of
drinking water delivered to the users of a public water system, as well as
specific requirements for monitoring.
5-2
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UIC Program (40 CFR Part 144) -- prohibits any underground injection of
fluids, except as authorized by permit or rule. Divides injection wells into five
classes:
Class I wells are used by cities and industry to dispose of hazardous
wastes beneath the lower-most aquifer containing an underground
source of drinking water.
Class II wells are used for residual fluids from oil and gas production,
as well as injection of brine or fresh water to enhance recovery of oil or
natural gas.
Class HI wells are used for extracting minerals.
Class IV wells are used to dispose of hazardous and radioactive wastes;
new Class IV wells are prohibited and existing wells must be phased
out.
Class V includes all other injection wells not included in Classes I-FV,
including heat pump wells (used to circulate ground water for heating
office buildings) and coal processing wastewater wells.
Each of these classes of wells has rules, including:
UIC criteria and standards (40 CFR Part 146) specify rules that apply to each
class of wells, including requirements for construction, operating, monitoring,
and reporting.
Individual State Underground Injection Control Programs (40 CFR Part 147) ~
describe the regulations of each individual State's UIC program.
Sole Source Aquifers (40 CFR Part 149) -- provide criteria for identifying
critical aquifer protection areas.
State and Local Regulatory Authority
Most States have achieved EPA approval to administer their own drinking water
compliance and UIC programs. States with approved programs may establish drinking water
and UIC regulations, monitoring schedules, and reporting requirements more stringent than,
or in addition to, those in the Federal regulations. All Federal facilities are required to comply
with these additional requirements. UIC programs run by the EPA are found at 40 CFR Part
147. Federal facilities should consult Part 147 for the appropriate regulations corresponding
to their State.
Selected Management Considerations
Agency management is responsible for ensuring conformance with Federal, State, local
arid regional drinking water standards, initiating timely requests for permit amendments and
renewals, and ensuring compliance with other environmental regulations related to the
5-3
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production of drinking water. Management has an obligation to consider the following
actions for enhancing regulatory compliance:
Establish and implement procedures for obtaining, evaluating and maintaining a
current file on relevant drinking water standards.
Establish and maintain a file to remind personnel of drinking water monitoring
and notification requirements.
Develop standard operating procedures for modifying existing treatment, i.e.,
equipment/chemical additions.
Agency management should be aware that operation of equipment providing a supply
of drinking water to employees and others may involve compliance issues with other
environmental regulations such as the disposal of treatment waste products. For example:
A materials balance apprpach for drinking water treatment facilities, especially
where surface water is treated for consumption, can provide documentation
necessary to determine applicability of other environmental regulations. Filter
backwash, for^xample, will probably be regulated by the NPDES provisions
of the CWA, while disposal of filter solids may be regulated by RCRA.
Disposal of containers for treatment chemicals may well be regulated by RCRA.
When providing a product for human consumption, agency management should use an
elevated level of care and pay special attention to the risk and consequences of what would
otherwise appear to be rather inconsequential accidents. In Maryland, for example, several
deaths of patients receiving dialysis treatment were related to excess fluoride as a result of the
spill of a fluoridation chemical in a manner which caused it to be injected into the water
supply system.
Agency management has a duty tb protect consumers from contaminants the agency
knows, or should know, are in the water supply even though the contaminants ,are not
specifically regulated by the SDWA. A military installation, for example, notified its State
agency when analysis showed contamination with unique military explosives for which
national standards had not been developed. In this instance, the military provided the state
with toxicological information upon which to base a recommended standard for human
consumption.
Agency Policy
Insert applicable agency policies here.
5-4
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AUDIT INFORMATION SOURCE LIST
Activity: Drinking Water
Recoirds to Review:
Bacterial and chemical analyses of drinking water, including sampling dates
and locations, dates of analyses, analytical methods used, and results of
analyses
Monthly operating reports (flow, chlorine residual, etc.)
State and public notification of non-compliance with primary drinking water
regulations
Action taken by the facility to correct violations of primary drinking water
regulations
Sanitary surveys of the water system conducted by the facility itself, a private
consultant, or any local, State, or Federal agency
Public notification of non-compliance with the secondary MCL for fluoride
Variance or exemption granted to the facility for its water supply system
Permit authorizing the operation of an underground injection well
Records of planning and construction of injection wells
Results of injection well monitoring
Records, including any petition for review, of facility projects that may
potentially cause contamination of a sole source aquifer through its
recharge zone.
Physical Features to Inspect:
Drinking water collection and treatment facilities
Underground injection wells
Any sources of discharge that are directed to wells, i.e., floor drains, and
dry wells.
People to Interview:
» Administrator(s) of facility water supply and underground injection well
operations
" Personnel involved with drinking water and injection well sampling and analysis.
5-5
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DRINKING WATER CHECKLIST
Facility:
Auditor:
Date:
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
40CFR
141
40CFR
141.21-30
40CFR
141.31-36
40CFR
141.40-42
Community Water Supply Systems (criteria
listed in the applicability section of this
chapter):
Water supplied by the facility complies
with the following primary maximum
contaminant levels (MCLs):
Inorganic chemicals (141.11 and revised
MCLs, 141.62)
Organic chemicals (141.12; revised MCLs,
141.61; and recommended MCLs, 141.50)
- Turbidity (141.13)
Microbiological contaminants (141.14)
Natural radioactivity (141.15)
Man-made radionuclides (141.16).
The facility is operating in accordance
with water monitoring and analytical require
ments.
The facility is operating in accordance
with reporting, public notification, and record-
keeping requirements.
The water supply system is monitored for
organic chemicals, sodium, and corrosivity
characteristics.
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Activity: Drinking Water
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
40CFR
141.43
40CFR
141.100-101
40CFR
142
40CFR
143
40CFR
141
Lead pipes, solder and flux are NOT used
in the drinking water supply system.
Point-of-entry and other non-centralized
water treatment devices, if used, are operated in
accordance with specified criteria.
The facility has a variance or exemption
for its water supply system if not operating in
compliance with National Primary Drinking
Water Regulations.
The facility is operating its water supply
system in compliance with National Secondary
Drinking Water Regulations, including:
- Secondary MCLs (143.3)
- Monitoring requirements (143.4)
Compliance with secondary MCL and public
notification for fluoride (143.5).
Non-Community Water Supply Systems
(criteria listed in applicability section of this
chapter):
Water supplied by the facility complies
with the following primary MCLs: .
Inorganic chemicals: nitrate (141.11)
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Activity: Drinking Water
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
40CFR
141.21-23
40CFR
141.31-36
40CFR
142
40CFR
143
- Turbidity (141.13)
Microbiological contaminants: coliform
(141.14).
The facility is operating in accordance
with water monitoring and analytical
requirements.
The facility is operating in accordance
with reporting, public notification, and
recordkeeping requirements. «
The facility has a variance or exemption
for its water supply system if not operating in
compliance with National Primary Drinking
Water Regulations.
The facility is operating its water supply
system in compliance with National Secondary
Drinking Water Regulations, including:
- Secondary MCLs (143.3)
- Monitoring requirements (143.4)
- Compliance with secondary MCL and public
notification for fluoride (143.5).
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Activity: Drinking Water
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
to
40CFR
144.6
144.11
40CFR
144.21-55
40CFR
146
40CFR
146
40CFR
147
Underground Injection Control (UIC)
Program:
A facility operating one or more
underground injection wells that are
categorized as Class I-V wells, is authorized by
permit or rule. (See chapter 8 for permit
required by RCRA for storage or treatment of
waste prior to injection)
Such wells are operating in accordance with
all permit or rule requirements.
Each well is constructed in accordance with
the criteria and standards specified for the
particular class to which the well belongs.
Each well is operating in accordance with
the rules that apply to the particular class to
which the well belongs.
Each well is operating in accordance with
the regulations of the appropriate state UIC
program.
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Activity: Drinking Water
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
40CFR
149
40CFR
149.104
Sole Source Aquifers:
The facility is NOT involved in any
project that may potentially cause contamination
(directly or indirectly) of a sole source aquifer
through its recharge zone.
The facility IS involved in such a
project and has submitted a petition to the EPA
Regional Administrator to review the project.
en
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WATER POLLUTION
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WATER POLLUTION
Federal Statutes
The Federal Water Pollution Control Act was enacted in 1956 and amended in its
entirety in 1972. The Act was extensively amended by the Clean Water Act of 1977 and its
reauthorization in 1987. The intent of the legislation, now commonly referred to as the Clean
Water Act (CWA), was to restore and protect the integrity of the nation's waters by
controlling discharges of pollutants to those waters. The CWA regulates wastewater
discharge directly to navigable or surface waters and those indirect discharges to publicly
owned treatment works (POTWs). The CWA established the National Pollutant Discharge
Elimination System (NPDES), which prohibits the direct discharge of a pollutant from a point
source into United States waters except by special permit. Regulations on oil spill prevention
and runoff control from oil and hazardous substance storage areas also were developed
through the requirement for Spill Prevention Control and Countermeasure (SPCC) plans.
Applicability
Section 313 (a) of the CWA requires Federal agencies to comply with all applicable
Federal, State, interstate and local requirements on the control and abatement of water
pollution.r Facilities should investigate their operations for regulated activities or aspects.
Areas of facility operation which may be regulated include the following:
Operations involving point source discharge (e.g., pipe, ditch) to navigable
waters
Onsite water treatment works which discharge to public sewer or into navigable
waters
Untreated discharges to public sewer
Underground or above ground oil storage tanks
Oil and hazardous substance storage areas where runoff is likely
Operations involving marine equipment (e.g., boats, research vessels).
Regulatory Scope
The following regulatory requirements are applicable to Federal facilities:
« Discharge of Oil (40 CFR Part 110) applies to the discharge of oil into
navigable water.
Oil Pollution Prevention (40 CFR Part 112) establishes requirements for
equipment and methods to prevent discharge of oil into United States waters not
6-1
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related to transportation from on-and off-shore facilities. Part 112.3 requires
facilities that could reasonably be expected to discharge oil to prepare a SPCC
Plan.
Designation of Hazardous Substances (40 CFR Part 116)-- contains a list of
those substances designated as hazardous under Section 113 (b)(2)(A) of the
CWA.
Determination of Reportable Quantities for Hazardous Substances (40 CFR Part
117) includes importable quantities for hazardous substances.
EPA-Administered NPDES Permit Programs (40 CFR Part 122) -- establishes
basic NPDES permitting requirements for point source discharges.
Procedures for Decisionmaking (40 CFR Part 124) ~ provides procedures for
NPDES permit application.
Criteria and Standards for the NPDES (40 CFR Part 125) - establishes
standards for the technology-based treatment requirements in NPDES permits.
Test Procedures for the Analysis of Pollutants (40 CFR Part 136) specific
test methods used when monitoring NPDES discharges.
National Pretreatment Standards (40 CFR Part 403 - requires industrial users
to pretreat pollutants discharged into POTWs. Two sets of national
pretreatment standards are outlined: prohibited discharge standards which apply
to all facilities, and categorical pretreatment standards which are requirements
mandated for over 50 specific industry types.
Oil and Noxious Liquid Substance Regulations (33 CFR_Part 151)
establishes regulations to prevent discharge of oil and oil mixtures from vessels.
Control of Pollution by Oil and Hazardous Substances, Discharge Removal (33
CFR Part 153) -- prescribes notification to the Coast Guard of the discharge of
oil or hazardous substances as required by the CWA.
Oil Pollution Prevention Regulations for Marine Oil Transfer Facilities (33 CFR
Part 154) applicable to large oil transfer facilities capable of transferring oil to
a vessel with a capacity of 250 or more barrels of oil.
Oil Pollution Prevention Regulations for Vessels (33 CFR Part 155) -
Oil and Hazardous Material Transfer Operations (33 CFR Part 156) -
Rules for the Protection of the Marine Environmental Relating to Tank Vessels
Carrying Oil in Bulk (33 CFR Part 157) -
Marine Sanitation Devices (33 CFR Part 159) establishes the design and
construction requirements of marine sanitation devices on vessels.
EPA Standards (40 CFR Part 140) - prohibits the overboard discharge of
sewage into certain fresh water lakes and reservoirs and rivers.
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Proposed Rules (53 FR Part 47632) - on November 23, 1988, EPA proposed
new POTW regulations. The proposal includes requirements which would
affect most Federal facilities.
State and Local Regulatory Authority
Section 402 (b) of the CWA authorizes States to administer their own NPDES permit
programs. Currently 38 States have authority to issue NPDES permits. EPA often issues
NPDES permits at Federal facilities regardless of the State's authority.
POTWs have the authority to establish their own pretreatment standards that can be
found in local sewer system ordinances or permits. These local authorities may set more
stringent standards than the national standards. All POTWs have the authority to assess
penalties in at least the amount of $1,000 per day for each violation of pretreatment standards.
Selected Management Considerations
Agency management is responsible for ensuring conformance with Federal, State, local
and regional CWA standards, for initiating timely requests for permit amendments and
renewals, and for ensuring compliance with other environmental regulations which are related
to the treatment of municipal and industrial wastewater. Management should consider the
following actions for enhancing regulatory compliance:
Establish and implement procedures for obtaining, evaluating and maintaining a
current file on relevant wastewater treatment standards.
Establish and maintain a tickler file on wastewater treatment permit-related
milestones.
Develop standard operating procedures requiring plant operation and
maintenance changes, new source influents, and pretreatment agreements to be
reviewed and approved prior to implementation.
Agency management should be aware that operation of a wastewater treatment plant
may involve compliance with environmental regulations besides the CWA, such as:
The use of a materials balance approach for wastewater treatment plants can
provide documentation necessary to determine applicability of other
environmental regulations. Disposal of sludge, for example, will probably be
regulated by RCRA, while digester gas emissions may come under the control
oftheCAA.
Disposal of containers for treatment chemicals may need to comply with RCRA
because of the nature of the chemicals.
Agency management should ensure that their focus is not solely upon wastewater
treatment plants but also on the latent effects of operations conducted in accordance with other
environmental regulations, such as:
The application of pesticides, insecticides, rodenticides and herbicides can
violate the CWA when surface water runoff contaminated with these chemicals
enters a waterway (i.e., non-point source runoff).
6-3
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The backwash from a drinking water treatment plant will require a CWA
NPDES permit for discharge to a receiving stream.
Boiler blow-down from an air emissions source may be regulated under the
NPDES provisions of the CWA or the pretreatment provisions depending on its
discharge point.
Agency Policy
Insert applicable agency policy here.
6-4
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AUDIT INFORMATION SOURCE LIST
Activity: Water Pollution
Records to Review:
NPDES permit
NPDES permit renewal applications (if expiring within 180 days)
Discharge monitoring reports for the past year
Laboratory records and procedures and EPA QA results
Monthly operating reports for wastewater treatment facilities
Flow monitoring calibration certification and supporting records
Ash pond volume certification and supporting records
Red water inspection records
Special reports, certifications, etc., required by NPDES permit
SPCC Plan
All records required by SPCC Plan
Oil transfer manual (33 CFR Parts 154 and 156)
Best management practices plan
Notices of noncompliance
Notices of violations
NPDES State or Federal inspection reports
Sewage treatment plant operator certification
Administrative Orders
Sewer line and storm drain layout
Local sewer ordinance \
Local sewer use permit '
Notification to local POTW
Old spill reports
O & M manuals
Training manuals
Repair/maintenance records for the wastewater treatment system.
Physical Features to Inspect:
Discharge outfall pipes
Wastewater treatment facilities
Floor drains
Sink drains
Above ground and underground oil storage tanks
Neutralization pits
Glass washing facilities.
',<
People to Interview:
Facility Manager
Author of NPDES Monthly Operating Reports
Enviromental Compliance Coordinator
Treatment plant operator or wastewater engineer.
r
§
O
z
6-5
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WATER POLLUTION CHECKLIST
Facility:
Auditor:
Date:.
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
40CFR110
40CFR112
o>
40 CFR 112.3
40 CFR 112.4
Facility does not discharge oil in quantities that
may be harmful to navigable waters of the United
States or adjoining shorelines, waters of the con-
tiguous zone, or waters seaward of the contiguous
zone.
Facility immediately notifies the National Re-
sponse Center at 800-424-8802 of any such dis-
charge of oil.
Facility is operating in compliance with require-
ments for equipment and methods to prevent oil
discharge from non-transportation-related on- and
offshore facilities.
Such a facility has prepared a Spill Prevention
Control and Countermeasure (SPCC) Plan, if their
capacity to store oil exceeds the following:
- 42,000 gallons underground
- 1,320 gallons above ground
- 660 gallons in any single above ground
container.
The SPCC Plan includes the following:
- An amendment describing any spill event if
two or more have occurred in the past 12
months, including the corrective action taken
and plans for preventing a recurrence.
-------
Activity: Water Pollution
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
40 CFR 112.7
40 CFR 116-117
40 CFR 122
40 CFR 136
40 CFR 140
- An amendment if there has been a change in
facility design which affects possible oil
discharge.
A prediction of the direction, rate of flow, and
total quantity of oil that could be discharged
from a major failure of equipment at the
facility.
- A description of containment measures used to
prevent discharged oil from reaching a navi-
gable water course.
- A certification by a Registered Professional
Engineer.
If over any 24-hour period a discharge of a desig-
nated hazardous substance equal to or exceeding
the reportable quantity has occured, the facility
has immediately notified the National Response
Center at 800-424-8802.
Facility operates in compliance with requirements
of their National Pollutant Discharge Elimination
System (NPDES) permit for point source dis-
charges into navigable waters of the United States.
Test procedures outlined in this section are used
when monitoring NPDES discharges.
Marine vessels do not discharged sewage into
fresh water lakes and reservoirs and rivers.
-------
Activity: Water Pollution
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
40 CFR 403.5
40 CFR 403.6
33 CFR 151
33 CFR 153
The facility meets all of the following prohibited
discharge standards through pretreatment of
pollutants discharged to a POTW.
- No flammable or explosive pollutants
- No Corrosive pollutants (<5.0 pH)
- Solid or viscous pollutants which obstruct
the flow to or in the POTW
- Any pollutants at a flow rate or concentra-
tion which may interfere with the POTW
(high BOD)
- Heat exeeding 40 (104 F)
If the facility qualifies as any of the industry
types for which categorical pretreatment stan-
dards have been promalgated, the operations at
the facilities meet the standards.
Ships owned or operated by the facility do not
discharge noxious liquid pollutants, including oil
and oil mixtures, into navigable waters.
An operator of a ship or an on- or offshore facil-
ity immediately notifies the National Response
Center at 800-424-8802 of any discharge of oil or
hazardous substance into navigable waters of the
United States.
-------
Activity: Water Pollution
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
CD
33 CFR 154
33 CFR 155
33 CFR 156
33 CFR 157
33 CFR 158
33 CFR 159.7
Marine oil transfer facility is operating in compli-
ance with these regulations for oil pollution pre-
vention.
Ships owned or operated by the facility are oper-
ating in compliance with these regulations for oil
pollution prevention.
Oil and hazardous material transfer operations
comply with these regulations for oil and hazard-
ous material pollution prevention.
Tank vessels weighing 150 gross tons or more
that carry oil or oil products insbulk are operating
in compliance with regulations for the protection
of the marine environment.
Port or terminal facility is operating in compli-
ance with these regulations for the control of resi-
dues and mixtures containing oil or noxious
liquid substances.
Facility that builds, tests, or operates marine
vessels is operating in compliance with these
certification, design, construction, testing, and
use regulations for marine sanitation devices.
-------
NONHAZARDOUS SOLID WASTE
-------
NONHAZARDOUS SOLID WASTE
Federal Statutes
Subtitle D of the Resource Conservation and Recovery Act (RCRA) established Federal
standards for management of nonhazardous solid wastes. The primary goals of the Subtitle
are to encourage environmentally sound solid waste management practices, recycling waste
material, and resource conservation. Subtitle D has two main parts:
Mandatory technical standards for nonhazardous solid waste disposal facilities
Voluntary solid waste management grant programs for States.
Solid waste is defined as garbage, refuse, sludge, and other solid, liquid, semi-solid or
contained gaseous material which is discarded, has served its intended purpose, or is a
mining or manufacturing by-product.
Applicability
Section 6001 of RCRA requires Federal agencies to comply with the guidelines set
forth in the Act. The guidelines apply to all nonhazardous solid waste generated by Federal
agencies even if it is not processed or disposed of on Federal property.
The following types of facility operations may be subject to nonhazardous solid waste
rules:
Thermal processing of more than 50 tons per day of municipal-type solid waste
Collecting and storing residential, commercial and industrial solid waste
Operating land disposal sites or using independent landfills for solid waste
disposal
Selling beverage containers (e.g., soda vending machines on the property)
Employing more than 100 employees and using high grade paper
Purchasing products that contain recycled materials
Purchasing cement and concrete that contain fly ash.
Regulatory Scope
Nonhazardous solid waste regulations applicable to Federal facilities are set out in 40
CFR Parts 240-249. The following areas require attention by facility personnel:
7-1
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Thermal Processing (40 CFR Part 240) - establishes guidelines for thermal
processing facilities designed to process or are processing 50 tons or more per
day of municipal-type solid wastes. The requirements delineate minimum levels
of performance in areas such as air quality, water quality, vectors and general
operations.
Land Disposal (40 CFR Part 241) - establishes minimum levels of performance
required of any solid waste land disposal facility. Facilities that use offsite land
disposal operations must ensure that these operations comply with the
guidelines.
Storage and Collection of Residential Commercial and Institutional Solid Waste
(40 CFR Part 243) establishes minimum levels of performance required of
solid waste collection operations. The requirements and recommended
procedures cover storage, safety, collection equipment, collection frequency
and management.
Beverage Containers Management (40 CFR Part 244) establish beverage
container recycling and return policies for all facilities that sell them.
Promulgation of Resource Recovery Guidelines (40 CFR Part 245)
establishes minimum actions for Federal agencies for planning and establishing
resource recovery facilities.
Source Separation for Materials Recovery (40 CFR Part 246) establishes
guidelines for source separation of residential, commercial, and institutional
solid wastes. The key requirement of this part is that office facilities with more
than 100 workers separate high grade paper for recycling.
Federal Procurement of Cement and Concrete Containing Fly Ash (40 CFR Part
249) designates cement and concrete containing fly ash as a product area for
which affirmative procurement actions are required.
Sections 40 CFR Parts 254, 255, 256 and 257 deal with citizens suits for RCRA
noncompliance, the development of regional and State solid waste management plans, as well
as the classification of solid waste facilities and practices. Federal facilities would be subject
to these requirements as they are established in each State or region.
State and Local Regulatory Authority
Most States, counties and municipalities have received at least partial authority to
implement nonhazardous solid waste disposal programs. For example, New Jersey's
Recycling Act of 1987 mandates the segregation and recycling of at least three components of
household waste. The Act specifies that counties must institute mandatory recycling, but the
recycling may be implemented and enforced on a municipal basis. Many States add more
stringent requirements to operating land disposal facilities.
Selected Management Considerations
Agency management is responsible for ensuring conformance with Federal, State and
local nonhazardous solid waste regulations, associated facility standards, and ensuring
compliance with other environmental regulations related to the management of this waste.
7-2
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Management has an inherent obligation to consider the following actions for enhancing
regulatory compliance:
Establish and implement procedures for obtaining, evaluating and maintaining a
current file on relevant non-hazardous solid waste regulations, standards and
mandated operating procedures.
Develop standard operating procedures requiring modifications to existing
waste management practices equipment/supply procurement to be reviewed for
waste generating impact prior to implementation.
Compliance with non-hazardous solid waste requirements does not relieve agency
management of conformance with other regulations associated with the waste(s) being
managed, for example:
High grade paper containing classified information, procurement sensitive data
or information pertaining to the privacy of individuals may need to be shredded
or otherwise treated prior to being released for waste recovery operations.
Collections and sale of dinning facility garbage for use as animal food may
require agency management to ensure that the buyer will comply with public
health rules and regulations in the transportation, storage, treatment and use of
the garbage.
Facilities converted for use as waste storage, processing and shipping areas
may need renovation for the new use to comply with fire and public health
regulations.
Agency management may well need to implement new and innovative practices and
procedures for a waste management program to be cost effective. Options that management
has an obligation to consider include: «
Coordinating with other nearby Federal agencies to consolidate similar type
wastes such that the resulting volume available for recycle/recovery becomes
cost effective to manage.
Determining if the supplier of the material that becomes a waste can also be
used, through contract provisions, as a recovered waste purchaser. Aluminum
beverage container recycling by the beverage supplier is a typical example of
such an option.
Agency Policy
Insert applicable agency policies here.
7-3
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AUDIT INFORMATION SOURCE LIST
Activity: Nonhazardous Solid Waste
Records to Review:
Record of current nonhazardous solid waste management practices
Documentation of locations (map) and descriptions of all nonhazardous
storageand transfer areas
Records of operational history of all active and inactive TSDFs
State and Federal inspection reports
Environmental monitoring procedures or plans
Records of resource recovery practices, including the sale of materials for
the purpose of recycling
Feasibility study of recycling high-grade paper
Physical Features to Inspect:
Resource recovery facilities
Incineration and land disposal facilities.
People to Interview:
Thermal processing, land disposal, collection, storage, and resource
recovery facility operators
Site manager.
O
3£
250
me
0)
7-5
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NONHAZARDOUS SOLID WASTE
CHECKLIST
Facility:
Auditor:.
Date:.
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
40CFR
Part 240
40CFR
Part 241
40CFR
Part 243
40CFR
Part 244
Thermal processing facility processing 50 tons or
more of solid waste per day is operating in
compliance with specific requirement, i.e., design,
air emissions, water discharges, residue disposal.
Land disposal facility for non-hazardous solid
waste is operating in compliance with
specific requirements, i.e., site selection, air
emissions, water discharges.
Facility makes every effort to dispose of non-
hazardous waste at disposal facility that is in
compliance with the same specific requirements.
Collection facility for residential, commercial and
institutional solid waste is operating in
compliance with specific requirements, i.e.,
storage, safety and collection.
Plastic, glass or aluminum beverage containers are
recycled when markets are available
(empty beverage containers are returned to the
distributor for refilling or recycling).
-------
Activity: Nonhazardous Solid Waste
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
40CFR
Pan 245
40CFR
Part 246
Agencies having jurisdiction over property or
facility operations where residential, commercial
or institutional solid waste is either disposed or
contracted out in amounts of 100 tons/day or
26,000 tons annually have established or utilize
resource recovery facilities to separate and
recover materials and/or energy from such solid
waste.
Facility employing 100 workers or more separates
high grade paper and sells it for the purpose of
recycling. Recyclable wastes include typing
paper, letterhead stationery, copy paper and
computer printout paper.
Facilities of less than than 100 employees have
investigated the feasibility of recycling high-grade
paper.
Facility serving more than 500 residences
separates and sells used newspapers for the
purpose of recycling.
Facility separately collects and sells waste
corrugated containers for the purpose of recycling
if 10 or more tons per month is generated.
-------
HAZARDOUS WASTE
-------
HAZARDOUS WASTE
Federal Statutes
Many environmental and health problems associated with hazardous waste management
;ire controlled by the Resource Conservation and Recovery Act of 1976 (RCRA). The Act
regulates the generation, treatment and disposal of hazardous waste from "cradle to grave."
The Act also seeks to encourage alternatives to land disposal of hazardous waste through
recovery of useful material in order to reduce the waste volume. RCRA is also designed to
protect air, surface and groundwater from contamination due to improper handling of
hazardous waste.
RCRA was amended in 1984, with the passage of the Hazardous and Solid Waste
Amendments (HSWA). These changes brought thousands of small quantity generators,
previously exempted from reporting requirements, under the law. A very active RCRA
regulatory program has established reporting, record keeping, performance and operating
standards and requirements for all applicable facilities.
Applicability
Section 6001 of RCRA mandates that Federal facilities comply with all applicable
Federal, state and local requirements dealing with hazardous waste. A facility should review
RCRA and the implementing regulations if its waste exhibits hazardous characteristics, i.e.,
corrosivity, reactivity, ignitability or extraction procedure (EP) toxicity, or the facility
generates a specifically listed waste. Wastes excluded from regulation as hazardous are
household waste, crop or animal waste, mining overburden, and wastes from the extraction,
processing and liquification of ores and minerals, fly ash, bottom ash, slag, flue gas emission
control waste and drilling fluids and associated wastes from the production of oil and gas.
The regulatory classification of a facility is a function of the total amount of waste
generated and the length of time the waste is stored onsite.
The three classes of generators are:
Conditionally exempt small quantity generators those generating hazardous
waste in amounts no more than 100 kilograms per month (kg/mo) and less than
1 kg of acutely hazardous waste ~ including small laboratories, or even
building cleaning and maintenance that generates 220 pounds or half of a 55-
gallon drum.
One hundred to 1,000 kg/month generators - those generating hazardous
wastes in amounts greater than 100 and less than 1,000 kg/mo and less than 1
kg of acutely hazardous waste including small industries such as vehicle
maintenance (waste oil and auto fluids), metal shops, printing, photography,
wood preserving and dry cleaning. The majority of laboratory operations are
small quantity generators.
8-1
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Full quantity generators -- those generating hazardous wastes in an amount of
1,000 kg/mo or greater, and more than 1 kg of acutely hazardous waste --
including industrial operations and treatment facilities.
All small quantity and full quantity generators of hazardous waste are required to have an
EPA identification number.
RCRA permits are required for Federal facilities where hazardous waste is treated,
stored or disposed. Although the program began in 1980, EPA and States have only recently
begun addressing Part B permit applications. Existing facilities have been given interim
status until a final RCRA facility permit is issued. Until that time, interim status facilities
must be in compliance with interim status regulations.
Regulatory Scope
Hazardous waste regulations are found at 40 CFR Parts 260-272. This regulatory
program establishes the following requirements:
Hazardous Waste Management System (40 CFR Part 260) -- contains criteria
for variances from the definition of solid waste, waste stream listings as well as
definitions pertinent to understanding RCRA.
Hazardous Waste Identifications (40 CFR Part 261) establishes criteria for
identifying a solid waste as a listed or characteristic hazardous waste. The listed
wastes are specific industrial processes or commercial chemical products. A
small percentage of the wastes are acutely hazardous and thus subject to more
restrictive generator requirements. The four hazardous characteristics are
ignitability, reactivity, corrosivity and EP toxicity.
Requirements for Generators of Hazardous Waste (40 CFR Part 262) ~ cover
obtaining an EPA identification number; hazardous waste manifest system for
tracking waste from "cradle to grave"; pre-transport packaging, labeling,
marking, placarding and accumulation time onsite; record keeping and reporting
requirements; and exporting and importing hazardous wastes.
Requirements for Transporters of Hazardous Waste (40 CFR Part 263) detail
requirements pertaining to receiving an EPA identification number;
implementing the manifest system; delivery to designated treatment, storage and
disposal facilities (TSDFs); record retention; and emergency discharge
procedure.
RCRA Part B Permitted Facility Standards for TSDFs (40 CFR Part 264) --
deal with material similar to interim status requirements with additional
provisions for individual waste units, and groundwater monitoring.
Interim Status Standards for hazardous waste treatment, storage and disposal
facilities (40 CFR Part 265) cover preparing for and preventing hazards,
contingency planning and emergency procedures, a manifest system, record
keeping and reporting, ground water monitoring, facility closure requirements,
use and management of containers, and design and operating specifics on tanks,
surface impoundments, waste piles, land treatment units, landfills, and
incinerators. In addition, give general requirements for waste analysis, security
at facilities, inspection of facilities, and personnel training.
8-2
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Standards for the management of hazardous waste resource recovery and
recycling facilities (40 CFR Part 266) detail special management provisions
for wastes created by small quantity generators and wastes such as oil that are
intended to be reused or recycled. Obtain EPA waste minimization document
"Waste Minimization Opportunity Assessment Manual" (EPA/625/7-88/003)
July 1988.
Land Disposal Restrictions (LDR) (40 CFR 268) bans land disposal of
certain wastes. Congress, in HSWA, established specific deadlines for the land
disposal restriction of all hazardous waste. These restrictions are formulated
into regulation over the next few years and codified in this part. To date,
solvents and dioxin wastes as well as all "California list" and the "first third"
wastes have been restricted. All wastes will be land disposal banned effective
May 8, 1990. Under these bans, most wastes must meet stringent treatment
standards before they can be disposed of in a hazardous waste landfill. The
waste-specific treatment standards are contained in 40 CFR Parts 268.41,42
and 43. A "soft hammer" provision in the statute provides that if EPA has not
established treatment standards by deadlines, then LDR waste is prohibited
from disposal, with some exceptions listed in 40 CFR Part 268.8.
Hazardous waste permit program (40 CFR Part 270) addresses permit
requirements for containers, tanks, surface impoundments, waste piles,
incinerators, landfills and underground injection control wells. Every
application must include provisions for "corrective action for all releases of
hazardous wastes or constituents" from any solid waste management unit at the
facility, regardless of when the waste was placed there.
State authorization requirements (40 CFR Parts 271, 272) outline the
procedures by which a State obtains authorization to implement the RCRA
program in lieu of the Federal government.
Hazardous materials transportation regulations which are applicable to waste
handling (49 CFR Parts 171-177) set forth proper shipping standards.
In addition to these regulations, many publications explaining the RCRA program are
produced by the Office of Solid Waste, established within EPA under RCRA. Questions can
also be answered by calling the EPA RCRA/Superfund Hotline (1-800-424-9346).
State and Local Regulatory Authority
Although most States now have received authorization to run their own RCRA
program, EPA still supervises State regulatory operations. The most significant differences
between State and Federal law generally address the following:
The definition of hazardous waste; e.g., the State of New Jersey considers
waste oil as hazardous waste and the Federal law does not
» The definition of small quantity generator and length of time a waste can be
stored onsite
State storage criteria; e.g., the State of New Jersey does not allow storage of
hazardous waste in "waste piles" under any circumstances. Such storage is
allowed under Federal regulations.
8-3
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Forty-two states have.RCRA-implementing authority within their environmental program.
The states without RCRA authority are Alaska, California, Connecticut, Hawaii, Idaho,
Iowa, Ohio and Wyoming.
Selected Management Considerations
Agency management is responsible for ensuring conformance with Federal, State, local
and regional hazardous waste standards, for initiating timely requests for permit amendments
and renewals, and for timely notification of enforcement agencies of the existence of certain
non-conformance situations. The following actions can improve compliance:
Establish and implement procedures for obtaining, evaluating and maintaining a
current file on relevant hazardous waste standards.
Establish and maintain a file for permit-related milestones.
Establish and maintain a quick-reference file of site-specific operating condition
excursions (i.e. spills and similar releases of hazardous substances to the
environment), time limits for reporting and an enforcement agency point-of-
control listing for such episodes.
Develop standard operating procedures for TSDF equipment modifications and
for new hazardous materials procurement to ensure review for permit
compliance prior to implementation or use.
Agency management has an inherent responsibility to train management staff as well as
line staff in their responsibilities and vulnerabilities under the provisions of RCRA and
associated regulations. The frequency as well as the scope of training are dependent on the
extent and nature of use of hazardous materials at the facility.
Operations involving hazardous "materials and wastes may require compliance with
other regulations besides those pertaining to hazardous waste. A material balance approach to
hazardous material/waste operations can provide documentation necessary to determine
applicability of other environmental and occupational safety and health regulations. The
balance can show material loses through ventilation/hood exhausts (normally governed by
CAA), dawn floor/sink drains (normally governed by CWA), or via mixing with non-
hazardous solid waste (normally governed by other RCRA provisions). The balance can also
show where employees may be exposed to the hazardous material wastes (normally governed
by OSHA).
RCRA listed and characteristic wastes should be considered as a top priority item for an
agency's waste minimization program. Costly and restrictive hazardous waste disposal
requirements may justify modifying equipment producing the waste, or substituting less
hazardous materials for the problem hazardous materials. Such considerations should be
made/revisited at least yearly or more frequently if the technology is making rapid
advancements.
Agency Policy
Insert applicable agency policies here.
8-4
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AUDIT INFORMATION SOURCE LIST
Activity: Hazardous Waste
Records to Review:
Generator (including TSDFs if they are also generators):
Notification (EPA ID#)
Hazardous waste manifests
Manifest exception reports
Biennial reports (large quantity generators only)
Delistings
Speculative accumulation records
Land disposal restriction certifications
Employee training documentation
Hazardous waste tank integrity assessments
Contingency plan (full quantity generators only)
Notifications of hazardous waste oil fuel marketing or blending activity.
In addition to the above, TSDFs would require:
Unmanifested waste reports
Facility audit reports (Inspection log)
Waste Analysis Plan(s)
Operating record
Ground water monitoring records and annual reports
Facility Biennial reports
Closure/Post Closure Plans
Closure/Post Closure Notices (where applicable)
Other documents as required by the Permit.
>
N
>
U
O
O
0)
>
3
m
Physical Features to Inspect:
\
Hazardous waste storage building
Landfills
Surface impoundments
Incinerators
Waste piles
People to Interview:
Environmental Compliance Coordinator
8-5
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HAZARDOUS WASTE CHECKLIST
Facility:
Auditor:.
Date:.
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
40CFR
260.22
40CFR
261.1
40CFR
261.2
40CFR
261.4
40CFR
261.6
40CFR
261.7
40CFR
261.3
261.20-24
261.30-33
General Requirements:
Records demonstrating delisted waste
streams are maintained where applicable.
Identification and Listing of Hazard-
ous Waste:
Records are maintained substantiating
that 75% of each waste stored for the purpose of
recycling is recycled in a calendar year.
Each solid waste stream (wastes
generated that are being discarded, abandoned or
recycled) has been correctly isolated and
identified.
Waste streams exempt from RCRA have been
correctly identified and are managed separately
as a non-hazardous waste.
Waste streams that are recycled and exempt
are handled as a non-hazardous waste or under
the appropriate provisions of Part 266.
Hazardous waste containers that are
discarded meet criteria for "RCRA empty."
Each remaining solid waste stream has
been analyzed to determine if it is
either a characteristic hazardous waste
or a listed hazardous waste prior to treatment,
. recycling or disposal.
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Activity: Hazardous Waste
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
40CFR
261.5
40CFR
262.12
40CFR
262.20-23
40CFR
262.30-33
40CFR
262.34
Conditionally Exempt Small Quantity
Generator Requirements:
Each waste stream is correctly isolated and
identified
Waste is sent to a permitted facility
No more than 1000kg of hazardous waste and
1kg of acutely hazardous waste has accommo-
dated on site
8ne Hundred to 1000kg/mo and Full
uantity Generator Requirements:
Generator of hazardous or acutely
hazardous waste has obtained an EPA
identification number.
Waste is manifested as required, and copies
of manifests are retained for three years.
Department of Transportation pre-shipping
specifications (49 CFR 171-177) are followed.
Full quantity generator is accumulating
waste no longer than 90 days. One hundred to
1,000 kg/month generator is accumulating waste
no longer than 180 days, unless waste shipment
is transported in excess of 200 miles, in which
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Activity: Hazardous Waste
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
00
00
40CFR
262.40-44
40CFR
262.50-60
40CFR
263.11
40CFR
263.12
case the waste is stored no longer than 270 days.
Waste is accumulated in containers or tanks in
compliance with 40 CFR Part 265 Subpart I or J,
respectively. Full quantity generator is follow-
ing procedures for preparedness and prevention
(Part 265 Subpart C) as well as contingency
plans and emergency procedures (Part 265 Sub-
part D). Employee handling waste is trained in
accordance with Part 265.16. One hundred to
1,000 kg/month generator is complying with the
corresponding reduced requirements of
262.34(d). Accumulation of hazardous or
acutely hazardous waste at or near any point of
generation is managed properly.
Reports and records are on file including:
test results, waste analyses, biennial reports, and
manifests.
The export or import of hazard waste to or
from foreign countries is managed in compliance
with RCRA requirements.
Transporter Specifications:
Transporter has obtained an EPA
identification number.
During transport to a treatment,
storage or disposal facility, waste is not stored in
excess of 10 days at a transfer facility.
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Activity: Hazardous Waste
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
40CFR
263.20-22
40CFR
263.30
oo
CD
40CFR
264/265.1
Waste is transported using a manifest or
appropriate invoice for rail and water shipments,
and the appropriate records are maintained for
three years.
Accidental discharges during transport are
appropriately reported and documented.
Treatment, Storage and Disposal
Facilities (TSDFs):
Requirements for Interim Status TSDFs (40
CFR Part 265) and Permitted TSDFs (40 CFR
Part 264) are discussed jointly. Interim status
standards are provisional guidelines a TSDF
must follow until it obtains a full RCRA Part B
operating permit. The Part 264 technical provi-
sions, Subparts I-X are, in some cases, more
stringent than those required during operation
under Interim Status. The Part 264 standards
are italicized when significantly different than
265. Once permitted, a TSDF is subject only to
the permit specifications.
General:
All units exempt from Part 264/265 require-
ments have been correctly identified.
-------
Activity: Hazardous Waste
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
40CFR
264/265.11.
40CFR
264/265.13-15
40CFR
264/265.16
40CFR
264/265.30-34
40CFR
264/265.35, 37
TSDF Standards:
The TSDF has obtained an EPA identification
number (unless it has already been assigned one
as a generator).
Waste is handled in compliance with the
TSDF's waste analysis plan. Proper security
measures are maintained. Inspections are
routinely performed and recorded in an
inspection log.
Employees are trained in the handling of
hazardous waste, and proper records are
maintained as documentation. (Full Quantity
Generators are subject to this provision).
Preparedness and Prevention (also applies
to 100 to 1,000 Kg/mo and Full Quantity
Generator):
Emergency cleanup and communication
systems are maintained.
Ample aisle space is available between
waste containers, tanks and generating units to
allow for access to any area in an emergency. A
rapport with local emergency officials has been
established to ensure rapid emergency response.
-------
Activity: Hazardous Waste
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
40CFR
264/265.50-56
40CFR
264/265.70-72,
75-77
40CFR
264/265.73
40CFR
264.90-97
Contingency Plan and Emergency
Procedures (also applies to Full Quantity
Generator):
A contingency plan is available for review
on-site. An emergency coordinator is available,
and is familiar with all requisite emergency
procedures.
Manifests are signed and retained as
required when shipments of hazardous
waste are received from off-site. Waste ship-
ments without manifests or shipments with
manifest discrepancies are resolved and, if
necessary, documented. Waste sent off-site is
done so in compliance with Part 262 (generator)
requirements, and is recorded in the facility's
biennial report with all other required informa-
tion as specified.
A detailed operating record is maintained
including waste analysis data, land disposal
restriction notices, etc.
Groundwater Monitoring for Permitted
Facilities:
Each land disposal unit (waste pile,
surface impoundment, landfill, land treatment
unit, and applicable Subpart X units) at the
facility is monitored in compliance with the
facility's ground-water protection standard in
their permit.
-------
Activity: Hazardous Waste
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
40CFR
264.98-100
40CFR
264.101
40CFR
265.90-94
Monitoring wells (identified in the permit) are
sampled at the correct frequency up to the
"point of compliance."
Samples are analyzed for statistically significant
increases in hazardous constituents levels
established in the permit.
Samples are taken and handled using sound and
consistent procedures for preservation, chain of
custody, etc.
Monitoring wells are in good operating
condition.
Elements of a detection monitoring,
compliance monitoring or corrective action
monitoring program are being followed
depending on the status of releases from land
disposal units.
Releases from land disposal units are
addressed in the corrective action program.
Groundwater Monitoring for Interim Status
Facilities:
A groundwater monitoring program exists for
each land disposal unit (surface impoundment,
landfill and land treatment unit).
-------
Activity: Hazardous Waste
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
00
m~A.
CO
40CFR
264/265.110-116
40CFR
264/265.118-120
There exists, at a minimum, one upgradient
monitoring well and three downgradient wells of
,sound design and in good working order.
The number of wells is sufficient to monitor the
entire waste management area.
Samples are obtained at the proper frequency
and analyzed for the correct parameters. The
results are compared for statistical significance
with pre-established background data.
The TSDF is following a detection or assessment
(if a release has been detected) monitoring
protocol.
The TSDF is maintaining sampling analysis
results and submitting the required annual
reports.
Closure and Post-Closure:
The TSDF maintains a closure plan. It is
updated to reflect changes at the TSDF (e.g.,
facility upgrades or partial closure). The plan
sufficiently outlines the procedures required to
close each land disposal unit including provi-
sions for "clean closure."
A post-closure plan is maintained for each
land disposal unit, and updated as is necessary.
All required notices have been submitted for
closed land disposal units.
-------
Activity: Hazardous Waste
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
40CFR
264/265.170-175
40 CFR
264/265.176-177
40 CFR
264/265.190-191
40 CFR
264/265.192-193
Use and Management of Containers (also
applies to 100-1000 kg/mo and Full Quantity
Generator):
Containers are in good condition with no
visible leaks, remain covered at all times except
when waste is added, and areas where containers
are stored are inspected at least once weekly. At
permitted facilities, the storage area has a con-
tainment system that has the required capacity to
hold leaks and control runoff.
Ignitable or reactive waste is stored at
least 50 feet from the facility's property line,
and incompatible waste is stored in separate
containers (applies to full generator only).
Tank Systems (also applies to 100-1000 kg/
mo and Full Quantity Generator):
Tank used to store hazardous waste is
identified and labeled properly (for generator
accumulation tanks only). Tank without secon-
dary containment is assessed for integrity regu-
larly as required, and these records are available
for review.
Tank is properly designed and installed.
All new tank systems have secondary contain-
ment added to existing tanks as required.
-------
Activity: Hazardous Waste
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
40CFR
264/265.194-19(
40CFR
265.201
40CFR
264/265.220
40CFR
264/265.250
40CFR
264/265.270
40CFR
264/265.300
40CFR
264/265.340
40CFR
365.370
40CFR
265.400
40CFR
265.430
Tank operator follows appropriate operating
requirements, and inspects the tank system at
required intervals. Major repairs, if any, are
certified.
100 to 1,000 kg/mo Generator complies
with the less stringent operating requirements
and inspection procedures.
Specific Requirements for Other
Hazardous Waste Units:
TSDF is complying with the operating require-
ments and design criteria contained in a permit
specific to each of the following individual
waste management unit:
- Surface Impoundments (Subpart K)
- Waste Piles (Subpart L)
, - Land Treatment (Subpart M)
- Landfills (Subpart N)
- Incinerators (Subpart O)
- Thermal Treatment (Subpart P)
- Chemical, Physical and Biological Treatment
(Subpart Q)
- Underground Injection (Subpart R) (See
Chapter 5 for permit required by SDWA)
-------
Activity: Hazardous Waste
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
40CFR
264.600
40CFR
Part 266
£
o>
Part 268.7,
268.8
- Miscellaneous Units (SubpartX).
Energy Recovery and Recycling
Activities:
Generator or TSDF engaged in hazardous
waste or used oil burning for the purpose of
energy recovery is complying with Subparts D
and/or E and 40 CFR 261.6. There are separate
requirements for generators, marketers of fuel
and burners of fuel.
Generator or TSDF recycling materials for
precious metal recovery or reclaiming lead-acid
batteries is complying with Subparts F and/or G,
respectively and 40 CFR 261.6.
Land Disposal Restrictions:
Generator or TSDF manifested shipment of
waste subject to the land disposal restrictions is
accompanied by a notification that includes:
- EPA hazardous waste number
- List of waste-specific treatment standards
Accompanying manifest number
- Waste analysis data (if applicable)
TSDF's land disposing of restricted wastes have
documents certifying that the wastes met the
appropriate treatment standards prior to land
disposal. These records have been retained for
at least five (5) years.
-------
UNDERGROUND STORAGE TANKS
-------
UNDERGROUND STORAGE TANKS
Federal Statutes
The 1984 amendments to the Resource Conservation and Recovery Act (RCRA) included
provisions to prevent leaks from underground storage tanks (UST), mandating a
comprehensive regulatory program for USTs that store petroleum, petroleum by-products (i.e.,
gasoline and cru.de oil) or substances defined as hazardous under CERCLA Section 101(14).
An underground storage tank is defined as any combination of tank and underground pipes
where the volume of the tank is 10 percent or more beneath the ground surface (including
underground piping).
Section 9002 of RCRA barred the installation of unprotected tanks after May 7, 1985.
All new USTs must meet corrosion protection requirements. In addition, the EPA or
designated State agencies must be notified of the presence of existing regulated USTs.
Provisions in the new UST program required EPA to develop regulations for new tanks
including design, construction, installation release detection and compatability standards. This
rule was promulgated September 23,1988, and became effective December 22,1988.
Applicability
Any Federal facility that owns an UST containing a regulated substance is subject to the
provisions of RCRA, as specified in Section 6001. Federal facilities are not subject to the
financial responsibilities of the UST regulations. In addition, the regulations do not apply to
the following:
Tanks holding a RCRA Subtitle C hazardous waste
Farm or residential tanks storing fuel for consumptive use with a capacity of less
than 1,100 gallons
Tanks storing heating oil used exclusively for heating on the premises
Septic tanks
Pipelines regulated under other laws
Surface impoundments, pits, ponds or lagoons
Storm water or wastewater collection systems
Flow-through process tanks
Storage tanks located in an underground area such as a basement
9-1
-------
Liquid traps or associated gathering lines directly related to oil and gas production
and gathering.
Agency management must compare their tank operations with these descriptions of tank use to
determine the applicability of regulations to each facility.
Tanks deferred from portions of the requirements include:
Wastewater treatment tank systems
USTs containing radioactive substances regulated by the Atomic Energy Act
USTs that are part of an emergency generator system at facilities regulated by the
Nuclear Regulatory Commission
Airport hydrant fuel distribution systems
UST systems with field constructed tanks.
These deferred tanks are subject only to the corrective action provisions of the new regulations.
UST systems storing fuel solely for use by emergency power generators are subject to all
provisions of the regulations except release detection.
Regulatory Scope
UST regulations applicable to Federal facilities are found at 40 CFR Part 280. A brief
description of the requirements follows:
Program Scope (40 CFR Part 280.10) -- gives definitions for the UST program
and applicability of the regulations to each system.
Tank Design, Construction and Installation (40 CFR Part 280.20) - requires
cathodic protection and equipment to prevent spills and overfills; also requires
UST owners/operators to register each tank with the appropriate State agency.
General Operating Requirements (40 CFR Part 280.30) requires
owner/operator be present at all times when tank is filled and make regular
inspections of corrosion protection equipment.
Release Detection (40 CFR Part 280.40) -- requires all new UST systems to be
installed with release detection systems. Special requirements for hazardous
substance USTs are outlined.
Release Reporting and Corrective Action (40 CFR Parts 280.50 and 280.60) --
requires notification of an oil spill in excess of 25 gallons in a 24-hour period or
hazardous substances exceeding reportable quantities.
UST Closure (40 CFR Part 280.70) -- provides closure requirements, including
tank and site assessments.
9-2
-------
State and Local Regulatory Authority
Several States have, or are developing, regulatory programs for underground storage
tanks. EPA has allowed, in some instances, interim approval for States to implement their own
UST programs. After a one to three-year grace period, however, State requirements must be
no less stringent than Federal requirements. It is often State personnel who request
information from tank owners, inspect and sample tanks, and monitor and test tanks under
enforcement of the new regulations.
Selected Management Considerations
UST regulations apply to abandoned as well as presently used tanks. Because of the
expense of removing an UST, past practices frequently included capping and abandoning
leaking or obsolete tanks. Agency management may need to review installation records or
speak with retired employees to determine the location of abandoned USTs. Tanks taken
abandoned after January 1,1974, are subject to the notification requirements.
Agency mangement is responsible for USTs on land controlled by the agency even if the
USTs were installed by a previous owner. This situation normally occurrs when an agency
takes contorl of land excessed through GSA by another agency. Although present GS A policy
requires certification of the land as being free of environmental contaminants such as from
leaking UST, this is relatively new requirement. When land was acquired in such a manner,
agency management is responsible for taking timely actions to identify USTs.
Agency Policy
Insert applicable agency policies here.
9-3
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AUDIT INFORMATION SOURCE LIST
Activity: Underground Storage Tanks
Records to Review:
Results of all UST testing, sampling, monitoring, inspection, mainte-
nance, and repair work (for past 1 year)
Notification records for all in-service, temporarily out-of-service, and
permanently closed tanks
Records of all spills, leaks, and associated site assessment/cleanup activi-
ties (for past 3 years)
Records for UST disposal, closure and removal activity and results of
excavation area assessment (for past 3 years)
Official correspondence with State implementing agency.
Physical Features to Inspect:
Underground storage tank and vicinity
Venting
Maintenance manhole
Fill pipe
Tank gauge.
People to Interview:
Facility manager (person responsible for the daily operation of the UST
system.)
Tank installer
Environmental Compliance Coordinator.
1
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go
*t %*
9-5
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UNDERGROUND STORAGE TANKS
CHECKLIST
Facility:
Auditor:
Date:
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
40CFR
280.22
40CFR
280.20
Notification Requirements:
Existing underground storage tanks (USTs)
and USTs taken out of service after
January 1,1974 are registered with the
proper state agency.
UST installed after May 8,1986 was and new UST
is registered within 30 days of tank's initial use.
Facility uses a notification form from their State
agency.
Technical Requirements:
New UST is installed according to
manufacturer's recommendations.
New UST is (and existing UST will be by
December 22,1998) protected from corrosion by
one of the following methods:
- Fiberglass; or
- Fiberglass-reinforced plastic construction; or
- Corrosion resistant coating and cathodic
protection; or
- State agency-approved tank design.
-------
Activity: Underground Storage Tanks
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
40CFR
280.20
40CFR
280.32
40CFR
280.33
40CFR
280.41
New UST is (and existing UST will be by
December 22,1998) equipped with spill
prevention or overflow devices using the
following:
- Spill catchment basin located around the fill
pipe; and
- Liquid level sensors with alarm; or
- Automatic shut-off device; or
- Ball float valves
Stored substance is compatible with UST
material.
For any repaired UST written record is
available that prove tightness test.
New petroleum UST is equipped to detect leaks
and is monitored every 30 days. Existing USTs
must comply within 1-5 years from December 22,
1988, using any of the following:
- Automatic tank gauging
- Vapor monitoring
- Interstitial monitoring
- Groundwater monitoring
-------
Activity: Underground Storage Tanks
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
-------
Activity: underground Storage Tanks
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
40CFR
280.42
40CFR
280.53
USTs Storing Hazardous Substances:
The UST meets the requirements for petroleum
UST systems (Part 280.41).
New UST is equipped with secondary con-
tainment (i.e., double-walled tank, concrete
vault, or lined area surrounding tank).
New UST is equipped with leak detection
monitoring device, used between the primary and
secondary walls.
Emergency Notification/Corrective Actions:
For any UST containing petroleum report to
the proper State agency within 24 hours:
- Any spill or overfill of 25 gallons or more
- Any underground release in any quantity
- Any above ground release into water that
creates a sheen.
For any UST containing a hazardous
substance, report to the proper State agency
any spill or overflow that exceeds its report-
able quantity under CERCLA (40 CFR Part 302).
Also report to the National Response Center
immediately.
-------
Activity: Underground Storage Tanks
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
40CFR
280.62
40CFR
280.70
For such a spill or overflow, the following
actions are taken:
- The leak or spill is stopped and visibly con-
taminated soil is removed
- Clean-up action is reported to the proper state
agency within 20 days of the spill.
If requested by a State agency, a long-term
cleanup plan is submitted for removing the
spilled substance.
Inactive UST Closures:
Temporarily closed UST (closed for 3
months or less) has the following:
- Corrosion protection system still in place
- Leak detection method in place
- Capped lines attached to UST except vent lines
- Record of test results of site assessment ensur-
ing no leak has occurred.
-------
Activity: Underground Storage ranks
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
40CFR
280.71
40CFR
280.72
CO
UST that has been out of service for longer than 12
months is permanently closed.
Closure is conducted according to industry-recom
mended practices (out-of-service UST is emptied
and either removed from the ground or filled with
a chemically inert solid, such as sand).
A site assessment is conducted to ensure that no
release has occurred.
UST is disposed in accordance with local, State,
and Federal regulations.
-------
PAST DISPOSAL OF
HAZARDOUS MATERIALS
-------
PAST DISPOSAL OF HAZARDOUS MATERIALS
Federal Statutes
The Resource Conservation and Recovery Act (RCRA) and the Comprehensive
Environmental Response, Compensation, and Liability Act (CERCLA) both mandate
assessment of past practices related to the treatment, storage or disposal of hazardous waste.
While RCRA primarily deals with current and future waste handling, several sections
of the Act require discovery or identification:
Every application submitted for a RCRA Part B permit must include "corrective
action for all releases of hazardous waste or constituents" from anywhere in the
facility, regardless of when the waste was placed there. The permit applicant
thus must provide full disclosure of all wastes within the facility's boundaries
since the site was originally opened, and must provide for action to abate any
damage that any release of this material has caused (Section 3005).
Upon request from the State, facilities must compile, publish, and submit
information relating to on-site waste storage and disposal that has taken place
before permits were required. Specifically the amount, nature and toxicity of
such waste must be ascertained, and any resulting health or environmental
hazards must be assessed for these hazardous waste site inventory reporting
requirements (Section 3012).
Federal agencies must submit to the EPA or State an inventory of hazardous
waste sites that Federal agencies own or operate, or have owned or operated in
the past (Section 3016).
Section 6003 of RCRA adds to these inventory requirements for Federal agencies by stating
that all Federal agencies must promptly make available upon request of the EPA
Administrator all information concerning past or present waste management practices.
CERCLA was enacted in 1980 to address problems posed by past uncontrolled
hazardous waste disposal practices. Section 120 of CERCLA, as amended, mandates that
Federal agencies must comply with the Act's requirements to the same extent as private
entities.
Various provisions in CERCLA provide for the discovery or identification of past
practices:
Section 103(a) requires persons, which includes Federal agencies, to notify the
National Response Center (800-424-8802) of an off-site release of a reportable
quantity of a hazardous substance.
Section 103 (c) required persons to notify the EPA by June 9, 1981, of known
or suspected hazardous waste sites. EPA has had minimal involvement with the
Federal agencies' attempts to identify potential sites.
10-1
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Section 120(a) requires a Preliminary Assessment to be conducted at Federal
facilities listed on the Federal Agency Hazardous Waste Compliance Docket
(published at 53 FR 4280, February 12, 1988).
Section 120(h) outlines procedures for property transfer by Federal agencies.
Facilities must include in the transfer contract, information regarding the type
and quantity of hazardous substances stored for one year or more, or known to
have been released or disposed of on-site. The contract must include notice of
the time at which such storage, release or disposal took place. The report is to
be based on available data from agency files.
Each of these CERCLA provisions illustrate how Federal agencies must comply with the
act's requirements to the same extent as private entities.
Applicability
Federal agencies can be held responsible for toxic/hazardous materials left behind on
their properties. The following situations could prompt an investigation of past activities:
Buying or selling land or buildings
Applying for a RCRA Part B permit.
Past activities which lead to potential problems in buildings/structures or land areas include
the following:
Industrial/commercial or agricultural land use
Toxic material containing equipment, such as transformers
Contamination sources off-site
RCRA facilities with potential abandoned or uncontrolled hazardous waste on-
site.
Regulatory Scope
The following regulations implement the RCRA and CERCLA past practices
investigations:
Hazardous Waste Permit Program (40 CFR Part 270) provides general
RCRA Part B application requirements.
National Contingency Plan (40 CFR Part 300.68) sets requirements for
preliminary planning.
Proposed Rules (53 FR 850) on January 13, 1988 EPA proposed a new rule,
40 CFR 373, which includes general requirements, applicability, and the
contents of the notice that Federal facilities must provide when transferring
facilities. The rule applies to transfer of property (including buildings) on
which a hazardous substance was stored for one year or more, or known to
have been released or disposed.
10-2
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State and Local Regulatory Authority
State Superfund laws concerning removal, remediation and enforcement apply to
CERCLA actions at Federal facilities when these facilities are not included on the National
Priorities List (NPL). All but nine States have a "superfund" used to clean up hazardous
waste.
Selected Management Considerations
Agency management is responsible for making every reasonable effort to comply with
the disclosure requirements described in this chapter. When the property has been used by
the Federal government or others prior to the present agency's control, a concerted effort to
determine previous disposal practices by others must be made. Actions that may be taken by
the present agency in their efforts to document past practices include:
Conducting a real estate records search to determine past owners/land users.
Interviewing senior personnel/long term area residents as to operations
conducted on the land.
Requesting other Federal agencies to conduct record searches to include
records sent to national records retention archives when necessary.
Reviewing site maps and other documents to determine the types of operations
most probably conducted in existing/previously existing structures.
Agency management staff may not be able to satisfy the information requirements of
this chapter through a review of only their records maintained on-site.
Agency Policy
Insert applicable agency policy here.
10-3
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AUDIT INFORMATION SOURCE LIST
Activity: Past Disposal of Hazardous Materials
Records to Review:
RCRA Part B Permit
National Response Center notification documentation
Preliminary Assessment (CERCLA)
Federal Agency property transfer contract.
Physical Features to Inspect:
Disposal sites.
People to Interview:
Senior Personnel
National Response Center personnel.
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10-5
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PAST DISPOSAL OF HAZARDOUS
MATERIALS CHECKLIST
Facility:
Auditor:
Date:
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
RCRA
Section 3005
RCRA
Section 3016
CERCLA
Section 103(a)
CERCLA
Section I20(a)
CERCLA
Section 120(h)
RCRA Part B permit includes full disclosure of all
wastes within the facility, since it was originally
opened and provides corrective action to abate any
damage that any release of this material has caused.
Any hazardous waste site owned or operated in the
past by the facility was reported to EPA or State.
National Response Center was notified of a release
off-site of reportable quantities under CERCLA (40
CFR Part 302) of hazardous substances.
Preliminary Assessment was conducted if the facility
is on the Federal Agency Hazardous Waste Compli-
ance Docket (53 FR 4280, Feb. 12,1988).
If audited property is transfered by a Federal agency
transfer, contract includes information regarding the
type and quantity of hazardous substances stored for
one year or more, or known to have been released or
disposed of on-site.
-------
EMERGENCY PLANNING
COMMUNITY RIGHT-TO-KNOW
-------
uu
EMERGENCY PLANNING AND COMMUNITY
RIGHT-TO-KNOW
Federal Statutes
The Emergency Planning and Community Right-to-Know Act of 1986 (EPCRA),
promulgated along with the Superfund Amendments and Reauthorization Act of 1986
(SARA), was designed to promote emergency planning efforts at State and local levels and
provide citizens and local governments with information concerning potential chemical
hazards in their communities. The Act, known as Title III, imposes requirements for
facilities to provide emergency hazardous chemical release notification, chemical inventory
reporting and toxic chemical release reporting. State emergency response commissions and
local emergency planning committees have been appointed within each state to receive this
information and to use it for chemical emergency preparation and community awareness.
Applicability
Federal facilities are not required by statute to comply with the provisions of SARA
Title m because Federal agencies are not included in the definition of a "person" contained in
Section 329 (7) of the Act. Some Federal agencies, however, have instituted policies
requiring their facilities to comply with the intent of the law if it applies to their operations.
Contractor operations are not exempted by definition under the Act and are therefore subject
to the provisions of Title III.
Regulatory Scope
The major provisions of Title HI include the following:
Emergency Planning (40 CFR Part 355.30) establishes the State and local
structure to prepare for chemical emergencies. In addition, planning
requirements apply if the facility has an extremely hazardous substance on-site
which exceeds its threshold planning quantity (TPQ).
Emergency Release Notification (40 CFR Part 355.40) - requires facilities to
notify the local emergency planning committee and State emergency response
commission immediately following an off-site release of a reportable quantity of
extremely hazardous substance.
Community Right-to-Know Reporting Requirements (40 CFR Part 370) -
establishes requirements for facilities to submit to State, local groups and the
local fire department information provided by a Material Safety Data Sheet
(MSDS) and Emergency and Hazardous Chemical Inventory (Tier 1 and 2).
Toxic Chemical Release Reporting Emissions Inventory (40 CFR Part 372) -
establishes reporting system for notifying EPA of toxic chemical releases from
designated manufacturing facilities thresholds.
11-1
-------
State and Local Regulatory Authority
Title III gives States the authority to implement the law's requirements. It is the
responsibility of each State Governor to assign an agency within the State to be responsible
for receiving and compiling Title III information. Many States have enacted their own
community right-to-know laws that are separate from the Federal EPCRA. State community
right-to-know often have the same exemptions as EPCRA, however, the State provisions
should be investigated.
Selected Management Considerations
While Federal facilities may not be required to conform with Title III by statute or
agency policy, the following management recommendations are designed to facilitate quick
and effective emergency response:
Compile and maintain an inventory of the hazardous chemical substances
present at the facility. The inventory could include reportable quantities and
threshold planning quantities (TPQs) of each of the hazardous substances listed.
This is a valuable aid for assessing the applicability of Title III regulations.
Contact the local fire department and coordinate an exchange of information
about facility operations, chemical inventories and chemical locations.
Designate a facility representative to participate in the local emergency planning
process if there are extremely hazardous substances on site.
Federal agencies may find that much of this information is being shared already with the local
community emergency services units as a commonsense approach to agency disaster
planning.
Agency Policy
Insert applicable agency policies here.
11-2
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AUDIT INFORMATION SOURCE LIST
Activity: Emergency Planning and Community
Right-to-Know
Records to Review:
Policy establishing whether or not the agency will comply with all or
portions of Title III.
People to Interview:
Headquarters Manager of Environmental Compliance Program
Environmental Compliance Coordinator
(A checklist for Emergency Planning and Community Right-to-Know is
not provided because Federal facilities are not required by the statute to imple-
ment the provisions of Title III. Caution: obtain agency policy regarding Title
III.)
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11-3
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PCB MANAGEMENT
-------
PCB MANAGEMENT
Description
The Toxic Substances Control Act (TSCA) of 1976 required EPA to regulate harmful
new chemicals entering commerce and control those toxic substances already in commercial
use. TSCA was enacted to reduce unreasonable risk to human health and the environment
from harmful chemicals. TSCA provides a means to regulate persons who manufacture,
process, distribute in commerce, use or dispose of toxic chemical substances or mixtures.
Specifically, Section 6 of TSCA addresses the need to regulate polychlorinated biphenyls
(PCBs). The subsequent regulations for the control of PCBs are codified in 40 CFR Part
761.
Applicability
TSCA primarily applies to manufacturers, distributors, processors and importers of
chemicals. All Federal facilities, however, who own or operate any PCB items are subject to
TSCA regulations. Any facility using PCBs in or for the following must be aware of the
applicable regulations:
Transformers
Railroad transformers
Heat transfer and hydraulic systems
Electromagnets, switches or voltage regulators
Circuit breakers, reclosers or cables
Capacitors
Pigments
Microscopy
Research and analysis.
All facilities distributing, processing, using^, servicing, storing, disposing or formerly
manufacturing PCBs or PCB items are subject to the PCB regulations discussed in this
chapter.
Regulatory Scope
All regulations pursuant to TSCA controlling the use, processing, distribution, storage
and disposal of PCBs are codified in 40 CFR Part 761. The regulatory requirements are:
Applicability (40 CFR Part 761.1) -- describes the activities and substances
which are subject to PCB regulations.
Definitions (40 CFR Part 701.3) -- provides operable definitions for the PCB
regulations. Important definitions are included in this section; e.g., "PCB
Transformer means any transformer that contains 500 ppm PCB or greater."
12-1
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Prohibitions (40 CFR Part 761.20) -- prohibits the use of any PCB or PCB
item other than in a totally enclosed manner. No person may manufacture
PCBs for use within the Unites States or manufacture PCBs for export without
an exemption.
Authorizations (40 CFR Part 761.30) ~ authorizes certain uses, and defines use
conditions for PCBs and PCB equipment (e.g., transformers, capacitors).
Marking (40 CFR Part 761.40) -- describes certain labeling requirements for
PCBs, PCB items, and doors or means of access to PCB transformers and
PCB storage for disposal areas.
Disposal (40 CFR Part 761.60) -- lists the disposal requirements for PCBs,
PCB transformers and capacitors. Identifies incineration, high efficiency
boiler, and landfilling as options for disposal.
Storage for Disposal (40 CFR Part 761.65) lists the storage for disposal
requirements for certain PCBs and PCB items. These include container
options, marking, recordkeeping and storage facility requirements.
Incinerators (40 CFR Part 761.70) -- applies to facilities that operate
incinerators for the disposal of PCBs. Describes the permit, and incinerator
specifications required to be approved by EPA.
Chemical Waste Landfills (40 CFR Part 761.75) -- applies to facilities operating
landfills to dispose of PCBs.
Decontamination (40 CFR Part 761.79) lists specific procedures for
decontaminating PCB containers and equipment.
PCB Spill Cleanup Policy (40 CFR Part 761.120) -- provides policy for
facilities that have encountered a spill of oil containing more than 50 ppm
PCBs. Spills are categorized into low and high concentration, and special
instructions are provided for the clean up, verification sampling and
recordkeeping.
Recordkeeping (40 CFR Part 761.180) requires facilities that use or store
more than 45 kg of PCBs, or one or more PCB transformers, or 50 or more
large PCB capacitors, to develop and maintain records on the disposition of
those items. Annual document and recordkeeping requirements are specified in
this section.
State and Local Regulatory Authority
Although States do not have the authority to administer TSCA regulations, some States
have declared PCB wastes a hazardous waste. These States (e.g., Rhode Island) have some
control over the management of PCB wastes. For example, they may impose a shorter
accumulation time and lower quantity limit on facilities storing PCBs for disposal.
Additionally, States may regulate materials containing PCBs in concentrations less than the
50 ppm limit imposed by TSCA regulations. The State of Washington regulates PCB wastes
containing PCBs in excess of 1 ppm.
12-2
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It is essential that Federal facilities storing PCBs for disposal be familiar with the State
hazardous waste regulations and the restrictions they may impose on PCB waste handling
and disposal.
Selected Management Considerations
Agency management is responsible for ensuring conformance with TSCA. The
following recommendations will further enhance the control of PCB-containing items and
waste:
Verify whether electrical equipment (especially transformers and including
fluorescent lights) contains PCBs in excess of 50 ppm. Verification should be
in the form of a gas chromatograph analysis. Maintain written verification at the
facility.
Clean up spills of PCB materials with concentrations of less than 50 ppm to the
background levels required for higher concentration spills (40 CFR Part
761.125). Document spill cleanups.
Document the intended reuse of PCBs stored for reuse on-site so auditors do
not mistake the material as PCBs stored for disposal. PCB items that are stored
for reuse are regulated much less stringently than those stored for disposal.
Consider installing secondary containment for PCB-containing equipment
located in sensitive areas.
Use PCB waste minimization programs to minimize disposal costs.
Agency Policy
Insert applicable agency policy here.
12-3
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AUDIT INFORMATION SOURCE LIST
Activity: PCB Management
Records to Review:
Inspection, storage, maintenance and disposal records for PCBs/PCB items
PCB equipment inventory and sampling results
Correspondence with regulatory agencies concerning PCB noncompliance
situations
Annual documents.
Physical Features to Inspect:
PCB storage areas
Equipment, fluids and other items used or stored at the facility that
contain PCBs.
People to Interview:
Environmental Compliance Coordinator
Facilities Manager
Electrical Maintenance Staff.
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12-5
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PCB MANAGEMENT CHECKLIST
Facility:
Auditor:
Date:
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
40CFR
761.30
40CFR
761.30
o>
Use of PCBs and PCB Items:
The extent of PCB use (e.g., transformers,
capacitors, heat transfer systems) at the facility has
been identified.
PCB large high voltage capacitors and PCB large
low voltage capacitors are not being used or stored
after October 1,1988 unless they are located in a
restricted access area (defined in 761.30).
PCB transformers:
- Are not used or stored near food, feed, or flam-
mable items (i.e., paints, solvents, paper, etc.)
- Are registered with local fire departments
- Are visually inspected every 3 months, or every
12 months for a tested PCB transformer with
under 60,000 ppm PCBs, or a transformer with
100% impervious, undrained containment (in
spection and maintenance records retained for 3
years after the disposal of the transformer)
- Any fire-related incident involving PCB trans-
formers has been reported to the National
Response Center.
-------
Activity: PCB Management
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
40CFR
761.30
40CFR
761.40
PCB transformers located in or near
commercial buildings:
Are registered with the building owner
Are removed by October 1, 1990 if network
PCB transformer with higher secondary voltage
Are equipped with electrical protection if lower
secondary voltage network, lower secondary
voltage radial, or higher secondary voltage
radial PCB transformer.
Marking and labelling requirements for
PCBs and PCB items (applies only to
50 ppm or more PCBs) are met for the following:
- PCB storage areas used to store PCB items for
disposal (vault doors, machinery room doors,
fences or other access areas)
- PCB containers, whether in storage or while
being used for waste collection
- PCB equipment (all PCB transformers and PCB
large high voltage capacitors; PCB large low
voltage capacitors at time of removal)
- Transport vehicles carrying PCB containers with
more than 45 kg (99.4 Ibs.) of liquid PCBs or at
least one PCB Transformer.
-------
Activity: PCB Management
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
40CFR
761.65
N>
do
Storage of PCB Items for Disposal:
PCB items are inspected every 30 days for leaks.
PCB items are stored in DOT-approved containers.
Moveable equipment used to handle PCB items is
decontaminated prior to leaving storage area.
Stored PCBs and PCB items are disposed of
within one year from date they were placed in
storage.
Storage area is managed so that PCB containers can
be located by the date they are initially entered into
storage.
Long-term storage facilities (between 30 days
and one year) meet the following requirements:
Roof and walls of the facility prevent rainwater
from reaching PCBs and PCB items
The floor has continuous curbing (minimum 6
inches)
The floor and curbing are made of continuously
smooth and impervious materials such as Port-
land cement or steel
Containment volume of the facility equals or
exceeds twice the internal volume of the largest
-------
Activity: PCB Management
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
ro
40CFR
761.79
PCB article or container or 25 percent of the
total internal volume of all PCB items, whichever
is greater
The storage facility is located above the 100-
year floodplain
The facility has no floor drains, cracks or open-
ings.
PCB items at 50-500 ppm temporarily stored (less
than 30 days) in areas not meeting the above require-
ments:
- Have a notation indicating the date they were
taken out of service and put into storage
Are not stored for more than 30 days
- Have an SPCC plan for containers of liquid
PCBs at 50-500 ppm
Have a notation on liquid storage containers
indicating that the concentration of PCBs does
not exceed 500 ppm PCB.
PCB containers are decontaminated in the
following manner:
Containers are flushed three times with a solvent
that contains less than 50 ppm PCBs
-------
Activity: PCB Management
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
40CFR
761.60
ro
-JL
o
40CFR
761.180
The solubility of PCBs in the solvent is 5
percent by weight
Each rinse is approximately 10 percent of the
volume of the PCB container
The solvent rinse is disposed of in accordance
with PCB disposal requirements (40 CFR
761.60)
PCB-contaminated waste (containing 50 ppm or
more PCBs) is disposed of at an EPA-approved
incinerator, high efficiency boiler or landfill.
Inspection, Storage and Disposal Records:
An annual document is prepared and maintained on
file at the facility if the facility stores at least 45 kg
(99.4 Ibs.) of PCBs during the year, has one or more
PCB transformers, or has 50 or more large PCB
capacitors. The report contains the following
information:
- Dates when PCB item is removed from service,
placed in storage, or placed into transport for
disposal
- Total number of PCB transformers and total
weight of PCBs they contain
- Total number of PCB large high voltage and
large low voltage capacitors.
-------
Activity: PCS Management
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
No citation
40CFR
761.120,125
Records contributing to the document are main-
tained at the facility for at least 5 years after the
facility ceases to use or store PCB items.
Records Referenced in Other Parts:
Records of quarterly visual inspection and mainte-
nance history for PCB transformers are maintained
by the facility, including transformer location, and
dates of visual inspection, repair, cleanup, or
discovery of a leak. (See Part 761.30)
Records of PCB transformer registration with the
local fire response personnel. (See Part 761.30)
Records of monthly visual inspection of the PCB
storage for disposal area. (See Part 761.65)
Records of weekly visual inspection of tempo-
rary or interim PCB storage for disposal area.
(See Part 761.65)
Records are readily available for inspection.
PCB Spills/Cleanup:
PCB cleanup is conducted in accordance with
regulations and EPA guidance.
Record certifying that an area has been decontami-
nated, is maintained at the facility for 5 years
following decontamination.
-------
Activity: PCB Management
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
PCB spills or leaks which occurring after
May 4,1987 are reported to the EPA Regional Ad-
ministrator within 24 hours and to the National
Response Center if:
- The spill contains 50 ppm or more PCBs and
involves more than 10 Ibs. of PCB-fluid (i.e.,
one gallon of PCB dielectric fluid), or
- The spill directly contaminates surface waters,
sewers, drinking water supplies, or grazing
lands, or
- The extent or volume of the spill is unknown
(such as spills that enter the drainage system),
or
- People come into direct and uncontrolled
contact with the spill.
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PESTICIDES
-------
PESTICIDES
Federal Statutes
The Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA) was enacted in 1947
and amended by the Federal Environmental Pesticide Control Act of 1972, which shifted the
emphasis of the legislation from safeguarding the consumer against fraudulent pesticide
products to the protection of public health and the environment. FIFRA was further amended
in 1975, 1978, and 1980 during reauthorization. Under FIFRA, EPA is responsible for the
registration of new pesticides and the reregistration of all existing pesticides to ensure that,
when used according to label directions, they will not present unreasonable risks to human
health or the environment. FIFRA regulations apply to persons who manufacture, market,
formulate, distribute, use or dispose of pesticides.
Applicability
All Federal government agencies are required to comply with the regulations specified
in FIFRA. Section 18, Exemption of Federal Agencies, states that the Administrator may
exempt any Federal or State agency from any provision of FIFRA if EPA determines that
existing emergency conditions warrant such an exemption. In addition, under Section 4, a
Federal agency, with EPA approval, may establish its own certification program for
applicators of restricted use pesticides to enable Federal employees to apply such pesticides.
Outside of these special circumstances, however, all Federal facilities formulating,
distributing, using, storing or disposing of pesticides are subject to FIFRA regulations.
Areas covered include:
All Federal buildings and grounds
Research stations
National parks, wilderness areas, and other public land
Areas in the vicinity of public roads, electric power lines, pipelines, and railway
rights-of-way
Public health programs
Pesticide demonstration and research programs
Products developed by the Federal Government that contain FIFRA-regulated
materials.
Regulatory Scope
Pesticide regulations applicable to Federal facilities are found at 40 CFR Parts 150-180.
The following regulations require attention by a Federal facility:
13-1
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Good Laboratory Practices Standards (40 CFR Part 160) prescribes good
laboratory practices for conducting studies in support of applications for
pesticide registration or experimental use permits. Outlines regulatory
requirements for organization and personnel, facilities, equipment, testing
facilities, operation, test and control substances, protocols and conduct, and
records and reports.
Disposal and Storage of Pesticides (40 CFR Part 165) -- specifies the
regulations and procedures for the disposal or storage of pesticides, pesticide
containers, and pesticide-related wastes, and for the acceptance for safe disposal
by EPA of pesticides whose registration has been cancelled.
Exemption of Federal and State Agencies for Use of Pesticides Under
Emergency Conditions (40 CFR Part 166) ~ describes four types of emergency
exemptions for Federal and State agencies which may be authorized by EPA:
specific, quarantine, public health, and crisis.
Worker Protection Standards for Agricultural Pesticides (40 CFR Part 170) --
specifies occupational safety and health standards ("reentry times") for all
persons performing hard labor operations in fields after ground (other than soil
incorporation), aerial, or other types of pesticide application. Authorizes State
regulatory agencies to set and enforce standards more restrictive than Federal
standards.
Certification of Pesticide Applicators (40 CFR Part 171) -- outlines the
requirements for applicators of restricted use pesticides. Includes the
categorization of commercial applicators, standards for certification of
commercial and private applicators and supervision of noncertified applicators,
submission and approval of State plans for applicator certification programs,
maintenance of State plans, submission and approval of government agency
plans, certification of applicators on Indian Reservations, and Federal
certification of applicators in States or on Indian Reservations without an
approved certification plan in effect. Deficiencies in application procedures or
applicator training programs may result in adverse effects on human health or
the environment.
Experimental Use Permits (40 CFR Part 172) outlines the requirements for
Federal or State issuance of Experimental Use Permits (EUPs) to persons
wishing to accumulate data necessary to support the registration of either a new
pesticide or a particular use of a pesticide not previously approved in the
registration of that pesticide. Includes regulations governing authorization by
EPA of State EUP programs.
There are many pesticides or certain uses of particular pesticides for which registration
has been suspended or cancelled. The facility should refer to Suspended, Cancelled and
Restricted Pesticides, EPA, Office of Pesticides and Toxic Substances, January 1985, 3rd
Revision.
State and Local Regulatory Authority
The 1972 amendments to FEFRA authorized "cooperative enforcement agreements"
between EPA and the States. In the 1972 amendments, the States were given primary
enforcement responsibility for pesticide use violations, subject to oversight by EPA.
13-2
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Through cooperative enforcement agreements, all States, with the exception of Nebraska and
Wyoming, have assumed primary enforcement responsibility. Restricted use pesticide
applicator certification and training programs are also conducted by the States, except in
Colorado, which has a program only for commercial applicators, and in Nebraska, where
EPA conducts the certification program. The State agency with lead responsibility for
pesticides, generally the State Department of Agriculture, handles all reports of pesticide
misuse or accidents.
Selected Management Considerations
Federal agencies using pesticides should consider developing pesticide management
techniques that protect non-target species and their habitats, particularly endangered species.
Agency Policy
Insert applicable agency policies here.
13-3
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AUDIT INFORMATION SOURCE LIST
Activity: Pesticides
Records to Review:
Records of pesticides purchased by the facility (purchase orders,
inventory)
Pesticide application records
Description of the facility's pest control program
Certificates of applicators of restricted-use pesticides
Facility applicator certification and training program, including
documentation of Federal approval of the program
Pesticide disposal manifests
Pesticide experimental use permits (EUP) granted to the Federal agency
Records of pesticide use under all EUP's, including statements of compliance
with Good Laboratory Practice Standards
Any emergency exemption granted to the Federal agency by EPA.
Physical Features to Inspect:
Pesticide storage areas, including storage containers
Pesticide research facilities, including laboratories, greenhouses, and test plots.
Personnel to Interview:
Pesticide applicators (certified and non-certified)
Administrator of facility's pest control program.
rr
13-5
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PESTICIDES CHECKLIST
Facility:
Auditor:
Date:
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
40CFR
162.2
40CFR
162.10,
30,31
40CFR
162.31,
171
40CFR
171.3
40CFR
164
Pesticide Use:
All pesticides purchased are registered by
the manufacturer.
Such pesticides are used in accordance with
label directions.
A restricted-use pesticide is applied only by
an applicator currently certified to apply
the pesticide by a Federal or an approved State or
government agency certification program, or by a
noncertified applicator under the direct supervision
of a certified applicator.
Applicator is certified in the appropriate
category or categories of commercial applicators in
which the restricted-use pesticide is intended for use.
A pesticide the registration, which has been
suspended, cancelled, or restricted (not to be con-
fused with restricted-use pesticide) under 40 CFR
164, is applied in accordance with the "Action"
section for the particular pesticide listed in Sus-
pended. Cancelled, and Restricted Pesticides. EPA,
Office of Pesticides and Toxic Substances, Jan.
1985,3rd Revision.
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Activity; Pesticides
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
40CFR
170
40CFR
172
40CFR
172
40GFR
160
40CFR
162.10
40CFR
165.10
v Worker protection standards are met during
all hand labor operations in fields following the
application of agricultural pesticides on Federal land
and/or in Federally-sponsored pesticide application
programs.
Experimental Use Pesticides:
A facility conducting research to support the
registration of either a new pesticide or a new use of
a registered pesticide has a Federally issued experi-
mental use permit (EUP).
The facility is operating in accordance with
the EUP.
All pesticide research conducted to support
applications for research or marketing permits,
including research to support applications for
pesticide registration and experimental use permits,
is conducted in compliance with Good Laboratory
Practice Standards.
Pesticide Storage: ^
Labels on pesticide containers meet labeling
requirements.
Pesticides classified as highly or moderately
toxic, as well as empty containers of such pesticides
are stored in accordance with pesticide storage
requirements.
-------
Activity: Pesticides
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
40CFR
165.7
40CFR
165.8
40CFR
165.8
40CFR
165.9
40CFR
166
Pesticide Disposal:
A pesticide that is disposed of in a manner
other than the procedure used to apply the pesticide
is NOT disposed of by open dumping, open burn-
ing, or in a manner that is inconsistent with its
labeling.
An organic or metallo-organic pesticide (not
including organic mercury, lead, cadmium, and
arsenic compounds), if disposed of onsite, is dis-
posed of according to recommended procedures for
these types of pesticides.
A pesticide containing organic mercury, lead,
cadmium, or arsenic, or any inorganic pesticide, if
disposed of onsite, is disposed of according to
recommended procedures for these types of pesti-
cides.
Pesticide containers and pesticide-related
waste (residues) are disposed of according to rec-
ommend procedures.
Exemption from FIFRA Regulations:
Facility NOT operating in compliance with
FIFRA regulations has been granted an emergency
exemption by EPA.
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RADIOACTIVE MATERIALS
-------
RADIOACTIVE MATERIALS
Federal Statutes
The major laws pertaining to the use of radioactive materials include the Atomic Energy
Act, Uranium Mill Tailings Radiation Control Act, Low-Level Waste Policy Act and Nuclear
Waste Policy Act. A brief description of each act follows:
The Atomic Energy Act (AEA) establishes a program of Federal regulation of
atomic energy and materials, including source, special nuclear and byproduct
material. (This protocol only addresses byproduct materials.) The Act includes
protection of the public from radiation exposure.
The Uranium Mill Tailings Radiation Control Act (UMTRCA) requires proper
disposal of uranium mill tailings and uranium byproduct materials. It is an
amendment to the AEA.
The Low-level Waste Policy Act (LLWPA) establishes the disposal of low-level
radioactive materials as a State responsibility and encourages the formation of
intrastate compacts to manage low-level waste on a regional basis.
The Nuclear Waste Policy Act (NWPA) provides for the development of
repositories for the disposal of high-level radioactive waste (HLW) and spent
nuclear fuel, and establishes a program of research, development and
demonstration regarding the disposal of high-level waste and spent nuclear fuel.
In addition to those acts noted above, the Clean Air Act addresses airborne radionuclide
emissions, and the Safe Drinking Water Act limits radioactivity in community water systems.
Limits provided for in these acts are not restricted to byproduct materials.
Applicability
Regulations pursuant to the acts discussed above apply to many types of Federal
operations, such as:
Uranium foundry and operations
Nuclear weapons research and development
Nuclear weapons activities
Nuclear reactors for research or power generation
Laboratory/research/field operations using byproduct radioactive sources,
standards or samples
Radiographic operations
14-1
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Medical practices involving radiation.
All Federal facilities using, storing or disposing of byproduct radioactive materials must be
aware of the applicable regulations and license provisions. Both specific and general license
for use of radioactive materials may be applicable to Federal agency operations.
Regulatory Scope
The following environment, health and safety regulations are promulgated pursuant to
theAEA:
Notices, Instructions, and Reports to Workers (10 CFR Part 19) establishes
requirements for handling radioactive material, including posting of notices to
workers, instructions to workers, and workers rights to the results of
monitoring data.
Standards for Protection Against Radiation (10 CFR Part 20) establishes
permissible doses levels and concentrations of radiation, precautionary
procedures, and waste disposal procedures; also addresses licensed activities.
General Requirements for Byproduct Materials (10 CFR Part 30) describes
general provisions, exemptions, and licenses for byproduct material.
General Domestic Licenses for Byproduct Material (10 CFR 31) ~ authorizes
users to transfer, receive, acquire, own, possess and use byproduct material
incorporated into certain devices and equipment.
Waste classification (10 CFR Part 61.55) establishes the classes used for
identifying and labelling radioactive waste.
Packaging and Transportation of Radioactive Material (10 CFR 71) provides
general provisions applicable to individuals who package licensed byproduct
material and arrange for transport off-site.
Environmental Radiation Protection Standards for Nuclear Power Operations
(40 CFR Part 190) --
Environmental Radiation Protection Standards for Management and Disposal of
Spent Nuclear Fuel, High-level and Transuranic Radioactive Wastes (40 CFR
Part 191)
In addition, the UMTRCA is implemented by the health and environmental protection
standards for uranium mill tailings (40 CFR Part 192).
The EPA and the NRC have an on-going joint effort to regulate low-level radioactive
waste. The proposed regulation includes:
(48 FR 39563) - on August 31, 1983, EPA published its intent to develop
standards for low-level radioactive waste disposal, and to determine, if
possible, some limit of exposure from the disposal of radioactive waste below
which radiation-related regulation is not warranted.
14-2
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(52 FR 11147) -- on April 7, 1987, EPA and NRC provided guidance to NRC
licenses on the definition and identification of commercial mixed low-level
waste. This is defined as waste that:
Satisfies the definition of low-level radioactive waste (LLW) in the
Low-Level Radioactive Waste Policy Amendments Act of 1985 (detailed
in 10 CFR Part 61.2), that is, radioactive waste not classified as HLW,
transuranic waste, spent nuclear fuel, or byproduct material as defined
in Section 1 l(e)(2) of the AEA (uranium or thorium tailings and waste;
and
Contains hazardous waste that is listed in RCRA regulation 40 CFR Part
261 Subpart D or exhibits a hazardous waste characteristic as described
in 40 CFR Part 261 Subpart C.
State and Local Regulatory Authority
The EPA established provisions for State regulatory authority over the commercial
uses, licensing, and disposal of byproduct radioactive materials. Sovereign immunity,
however, protects Federal facilities from State and local regulations. Therefore, State and
local requirements do not govern the management of nuclear material at Federal facilities.
Selected Management Considerations
Agency management is responsible for knowing and complying with the applicable
regulations for the radioactive materials it uses or the waste it generates. Since mixed-LLW
must currently be managed and disposed of in compliance with both EPA and NRC
regulations, there is a benefit for facilities to minimize the generation of mixed-LLW through
management practices such as waste segregation, materials substitution and materials
tracking.
Mixed-LLW temporarily stored to reduce the level of radioactivity prior to disposal or
treatment retains the mixed-LLW designation regardless of the levels of radioactivity; even if
below regulatory concern. A Federal facility should not exceed hazardous waste storage
time or quantity limits due to storing for the purpose of radioactivity reduction.
Agency Policy
Insert applicable agency policies here.
14-3
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AUDIT INFORMATION SOURCE LIST
Activity: Radioactive Materials
Records .to Review:
Equipment calibration inspection records
Credentials of dosimetry processor
Specific license and amendments
General license reference
Forms used to record rad dose
Inventory of byproduct material
Required postal documents
Minutes of radiation safety committee
Procedures for procurement of byproduct material
NRC and State inspection records
Physical Features to Inspect:
Restricted areas
Radioisotope storage and disposal areas
Laboratory equipment
People to Interview:
Radiation Safety Officer
Facilities Manager
One or more of the authorized users.
33
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RADIOACTIVE MATERIALS CHECKLIST Facility:
Auditor:.
Date:.
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
10CFR19
10CFR19.il
Facility using byproducts has special license for
quantity on site and use.
Notices to Workers:
Current copies of the following documents are
posted for the information of workers:
- Form NRC-3, "Notice to Employees"
- Title 10 CFR Parts 19 and 20
- The license, license conditions or documents in-
corporated into a license by reference, and
amendments thereto
- The operating procedures applicable to the li-
censed activities
- Any notice of violation involving radiological
working conditions and any response from the
licensee or, a notice is posted wnich describes
these documents and states where they may be
examined.
The postings appear in a sufficient number of places
to enable workers to observe them on the way to or
from licensed activities.
Documents pertaining to violations of the license
are posted within two days of availability and
remain posted for five days or until the violation
has been corrected, whichever is later.
-------
Activity: Radioactive Materials
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
10CFR19.12
10 CFR 19.13
Instructions to Workers:
Workers in or frequenting a restricted area are:
- Informed of storage, transfer and use of radioac-
tive materials and radiation in the area
- Instructed in: health protection; precautions or
procedures to minimize exposure; purposes and
functions of protective devices; their responsi-
bility to report license violations; the appropri-
ate response to warnings of unusual conditions;
and the radiation exposure reports they may
request.
Reports to Workers:
Radiation exposure data for an individual, to in-
clude any measurements, analyses and calculations
of radioactive material deposited in the body, are
reported to the individual in writing.
The report includes the statement that the report is
furnished under the provisions of 10 CFR 19 and
that the report should be preserved for future refer-
ence.
The licensee, upon request, advises each worker an-
nually of exposure to radioactive materials or radia-
tion as shown in the license records.
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Activity: Radioactive Materials
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
10 CFR 19.16
00
10 CFR 20.101
10 CFR 20.102
10 CFR 20.103
Inspections:
Workers are aware that they may write to the NRC
for an inspection when they believe that a violation
of the Atomic Energy Act, 10 CFR 19, or the
license provisions has occurred in their licensed
activity.
They are also aware that, upon their request, their
name will not be furnished to their employer except
for good cause shown.
Permissible Doses, Levels and Concentrations:
A record of each radiation worker's accumulated
occupational dose to the whole body is maintained
on Form NRC-4 or on a record containing all of the
information contained in the Form NRC-4.
Records used in preparing Form NRC-4 are re-
tained and preserved until the NRC authorizes their
disposition.
Where employees may be exposed to airborne con-
centrations of radioactive materials in restricted
areas, the licensee has implemented suitable air
measurements and, as appropriate, other methods
for detecting and determining intakes of radio-
activity.
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Activity: Radioactive Materials
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
Records of occurrences, evaluations, and actions
taken are maintained in a clear and readily identifi-
able form for summary review and evaluation.
Respiratory protective equipment used to limit the
inhalation of airborne radioactive material is certi-
fied by the National Institute for Occupational
Safety and Health/Mine Safety and Health Admini-
stration.
The respiratory protection program includes:
- Air sampling sufficient to identify the hazard,
permit proper equipment selection and estimate
exposures
- Surveys and bioassays to evaluate actual
exposures
- Written procedures regarding selection, fitting
and maintenance of respirators, and testing of
respirators for operability prior to each use
- Written procedures regarding supervision and
training of personnel and issuance records
- Determination by a physician prior to initial use
and at least every 12 months thereafter that the
individual is physically able to use the respira-
tory protective equipment.
The facility has issued a written policy statement on
respirator usage.
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Activity: Radioactive Materials
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
10CFR20.104
10CFR20.105
10CFR20.106
10 CFR 20.201
10 CFR 20.202
Only equipment that has been specifically certified
or had certification extended for emergency use by
N1OSH/MSHA is used as emergency devices.
Precautions are in place to preclude exposures in
excess of 10 percent of 10 CFR 20 standards to
individuals under 18 years of age.
Above-background levels of radiation in unre-
stricted areas are addressed in the license.
Monitoring is conducted to ensure that excessive
radioactivity contained in air and water effluents is
not released to unrestricted areas.
Precautionary Procedures:
Surveys are conducted to evaluate radiation hazards
incident to the production, use, release, disposal, or
presence of radioactive materials.
Appropriate personnel monitoring equipment is
provided and used by:
- Individuals entering a restricted area who are
likely to receive a dose in excess of 25 percent
of the applicable limit
- Individuals under 18 years of age entering a
restricted area who are likely to receive a dose
in excess of 5 percent of the applicable limit
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Activity: Radioactive Materials
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
10 CFR 20.203
- Each individual who enters a high radiation
area.
Personnel dosimeters that require processing to de-
termine the radiation dose are processed and evalu-
ated by a dosimetry processor:
- Currently accredited by the National Voluntary
Laboratory Accreditation Program (NVLAP) of
the National Bureau of Standards
- Approved by the NVLAP for the type of radia-
tion being monitored.
Each radiation area is conspicuously posted with a
sign bearing the radiation caution symbol and the
words:
Caution
Radiation Area
Each high radiation area is conspicuously posted
with a sign bearing the radiation caution symbol
and the words:
Caution
High Radiation Area
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Activity: Radioactive Materials
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
o
Entrances to high radiation areas either remain
locked except when entrance is required or are
equipped with controls to:.
- Limit exposure of entering personnel to pre-
scribed limits, or
- Energize a conspicuous visible or audible alarm
to signal entry by personnel.
Areas containing airborne radioactivity are posted
with a sign bearing the radiation caution symbol
and the words:
Caution
Airborne Radioactivity Area
Areas' in which licensed material is used or stored
and which contains any radioactive material in an
amount exceeding 10 times the amount specified in
Appendix C, 10 CFR 20, are posted with a sign
bearing the radiation caution symbol and the words:
Caution
Radioactive Material(s)
-------
Activity: Radioactive Materials
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
CO
10 CFR 20.204
Containers of licensed material bear a durable,
clearly visible label identifying the radioactive
contents.
The label bears the radiation caution symbol
and the words:
Caution
Radioactive Material
or
Danger
Radioactive Material
- Information is provided to allow individuals to
take precautions to avoid or minimize
exposures.
The labels of empty uncontaminated containers are
removed or defaced prior to the container being
moved to unrestricted areas.
Exceptions to the posting of signs are in accordance
with the provisions of 10 CFR 20.204 or the appli-
cable byproduct material license.
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Activity: Radioactive Materials
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
10 CFR 20.205
Procedures have been established and implemented
to:
- Receive shipments of radioactive material at the
facility when offered for delivery by the carrier,
or
- Receive notification from the carrier of ship-
ment arrival and to make arrangements to pick-
up shipments expeditiously at the carrier's
terminal
- Monitor the external surfaces of the package for
radioactive contamination caused by leakage of
the radioactive contents, when appropriate,
within three hours of receipt during normal
working hours or eighteen hours of receipt if
received after normal working hours
- Monitor the radiation levels external to the
package, when the shipment contains radioac-
tive material in quantities in excess of the Type
" A quantities specified in 10 CFR 20.205, within
three hours of receipt during normal working
hours or eighteen hours of receipt if received
after normal working hours
- Immediately notify the carrier and the NRC Re-
gional Office when: removable radioactive con-
tamination in excess of 0.01 microcuries per
100 square centimeters of package surface is
found on the external surfaces of the package;
-------
Activity: Radioactive Materials
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
10 CFR 20.207
en
10 CFR 20.301
or radiation levels on the package external
surface exceed 200 millirem per hour, or exceed
10 millirem per hour at three feet from the
external surface of the package
- Safely open packages in which licensed material
is received.
Licensed materials stored in an unrestricted area are
secured to prevent unauthorized removal.
Licensed materials in an unrestricted area but not in
storage are under constant surveillance and immedi-
ate control of the licensee.
Waste Disposal:
Licensed material is disposed of only:
- By transfer to an authorized recipient, or
- As authorized in the radioactive material li-
cense, or
- By authorized release into the sanitary sewerage
system, or
- As authorized by 10 CFR 20.106, or 10 CFR
20.306.
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Activity: Radioactive Materials
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
10 CFR 20.303
&
10 CFR 20.305
Licensed material discharged to the sanitary
sewerage system is readily soluble/dispersible in
water, and does not exceed:
- The quantity in any one day which, if diluted by
the average daily quantity of sewage released
into the sewer by the licensee, will result in an
average concentration equal to the limits speci-
fied in Appendix B, 10 CFR 20, or ten times the
quantity of such material specified in Appendix
C, 10 CFR 20
- The quantity in any one month which, if diluted
by the average monthly quantity of water
released by the licensee, will not result in an
average concentration exceeding the limits
specified in Appendix B, 10 CFR 20
One curie per year (excluding hydrogen-3 and
carbon-14)
- Five curies per year for hydrogen-3 and one
curie per year for carbon-14.
Treatment or disposal of licensed material by
incineration is limited to materials:
- Listed under 10 CFR 20.306, or
- Specifically approved by the NRC as listed in
the activity's radioactive material license.
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Activity: Radioactive Materials
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
10 CFR 20.306
10CFR20.311
When disposing of 0.05 microcuries or less of
hydrogen-3 or carbon-14, per gram of medium,
used for scintillation counting and per gram of
animal tissue averaged over the disposed weight of
the animal, records are maintained showing the
receipt, transfer and disposal of such by-product
material.
Each shipment of radioactive waste to a licensed
land disposal facility is accompanied by a manifest
that contains the following:
- Name, address and telephone number of the
person generating the waste, and
- Name, address and telephone number or the
name and EPA hazardous waste identification
number of the person transporting the waste to
the land disposal facility
- Physical description of the waste, the volume,
radionuclide identity and quantity, the total ra-
dioactivity, the principle chemical form, and the
solidification agent
- Certification by the generator that the materials
are properly classified, described, packaged,
marked and labeled and in proper condition for
transportation
- Date and signature of an authorized representa-
tive of the generator.
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Activity: Radioactive Materials
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
00
Waste is transferred to a land disposal facility or a
licensed waste collector only after:
- Classified according to 10 CFR 61.55 criteria
and meeting the waste characteristics require-
ments in 10 CFR 61.56
- Labeled to identify whether it is Class A, B or C
waste
- Manifested according to requirements of
10 CFR 20.311.
For wastes transferred to a land disposal facility, a
licensed waste collector or to a licensed waste proc-
essor who treats or repackages waste, a copy of the
manifest is:
- Forwarded to the intended recipient at the time
of shipment
- Provided to the collector at time of collection,
obtaining acknowledgement of receipt from the
collector
- Included with the shipment
- Retained as the record of transfer of licensed
material (along with documentation of receipt).
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Activity: Radioactive Materials
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
10 CFR 20.401
CD
For these wastes:
- A trace investigation is conducted for any ship
ments or any part of a shipment when ac
knowledgement of receipt has not been
received within 20 days after transfer of the
waste
- A written report is filed with the nearest NRC
Regional Office within two weeks of
completion of a trace investigation.
Records, Reports and Notification:
The results of personnel monitoring for radiation
exposure are maintained on Form NRC-5, or
equivalent other form, with doses entered for
periods of time not exceeding one calendar quarter.
The records of individual exposures are preserved
until the NRC authorizes disposition.
Records of the results of surveys and monitoring are
preserved for two years after completion of the
survey.
Records of the results of surveys to determine com-
pliance with 10 CFR 20.103, to determine external
radiation dose in the absence of personnel monitor-
ing data, and to evaluate the release of radioactive
effluents to the environment are maintained until
the NRC authorizes disposition.
Records of disposal of licensed materials are main-
tained until the NRC authorizes disposition.
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Activity: Radioactive Materials
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
10 CFR 20.402
10 CFR 20.403
10 CFR 20.405
10 CFR 30.3
10 CFR 30.7
The NRC Regional Office is phoned immediately
when theft or loss of licensed material occurs in
such quantities and if substantial hazard may result
to persons in unrestricted areas.
The telephone call is followed within 30 days with
a written report containing the information de-
scribed in 10 CFR 20.402.
The names of individuals who may have received
exposure to radiation are stated in a separate part of
the report.
The facility has established procedures for report-
ing incidents to the NRC.
The facility has established procedures for report-
ing overexposures, excessive levels of radiation
and excessive concentrations of radioactive materi-
als to the NRC.
Licensing of Byproduct Material:
Byproduct material in the facility is authorized by
either a general or specific license issued pursuant
to the regulations in 10 CFR 30 through 35 and 39.
For facilities having specific licenses, Form
NRC-3, "Notice to Employees" is posted on the
premises in sufficient locations to permit protected
employees to observe a copy on their way to or
from their place of work.
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Activity: Radioactive Materials
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
10 CFR 30.34
10 CFR 30.36
Licenses:
Possession and use of licensed byproduct material
is confined to the location and purposes authorized
in the license.
Application for license renewal or notification of
intent not to renew a license was submitted no less
than 30 days before the expiration date specified in
the specific license.
If the license is expired, the following actions were
taken on or before the expiration date:
- Use of byproduct material was terminated
Radioactive contamination was removed to the
extent practicable
- Byproduct material was disposed of properly
- Form NRC-314 was submitted to the NRC
Regional Office
- A radiation survey report was submitted to the
NRC to confirm the absence of radioactive
materials or to establish the levels of residual
radioactive contamination
A plan for decontamination, if required, was
submitted to the NRC.
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Activity: Radioactive Materials
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
10 CFR 30.41
10 CFR 30.51
ro
to
10 CFR 31.5
Access to restricted areas remained controlled until
the NRC notified the facility that the license was
terminated and that the areas were suitable for
release for unrestricted use.
Before transferring byproduct material to a specific
licensee, the facility verified that the transferee's
license authorized the receipt of the type, form, and
quantity of byproduct material.
Records, Inspections, Tests, and Reports:
Records showing the receipt, transfer and disposal
of licensed byproduct material are maintained as
follows:
- Receipts are maintained during possession and
for two years following transfer or disposal
- Transfer records are maintained for five years
after the transfer
- Disposal records are maintained as prescribed in
10 CFR 20.401 (c).
Licenses for Byproduct Material
Measuring, gauging and controlling devices are
operated under the following conditions:
- Labels, bearing the statement that removal is
prohibited, are not removed
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Activity: Radioactive Materials
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
Instructions and precautions provided on the
labels are implemented
The device is tested for leakage and proper
operation of the on-off mechanism and indica-
tor, if any, at no longer than six-month intervals
or as indicated on the label
Testing, installation, servicing, and removal
from installation involving the radioactive
material, its shielding or containment are per-
formed either in accordance with label instruc-
tions or by a person holding a specific license to
perform such activities
Records are maintained as specified in 10 CFR
31.5
Upon failure of or damage to the shielding or
on-off mechanism or upon detection of 0.005
microcurie or more of removable radioactive
material, the device is removed from service
until: repaired by the manufacturer or person
holding a specific license for repairs; or dis-
posed of by transfer to a person holding a
specific license to receive the material contained
in the device
Such failure, damage or leakage is reported to
the NRC Regional Office within 30 days
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Activity: Radioactive Materials
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
Jt
ro
10CFR71.0
10CFR71.5
- The device is not abandoned
- Transfer or disposal of the device is only by
transfer to a person having a specific license to
receive the device
- Such transfer, unless to receive a replacement
device, is reported to the NRC Regional Office
within 30 days.
Packaging and Transportation of Radioactive
Material:
The facility staff considers the requirements of 10
GFR Parts 20,21, 30, 39,40,70,71 and 73, as ap-
propriate, during packaging and transport of li-
censed material.
Shipments of licensed material conform to Depart-
ment of Transportation (DOT) regulations in 49
CFR Parts 170 through 189, especially regarding
the noted regulations for the following areas and
modes of transportation:
- Packaging - 49 CFR Part 173, Subparts A and B
and Parts 173.401 through 173.478
- Marking and Labeling - 49 CFR Part 172,
Subpart D and Parts 172.400 through 172.407
and 172.436 through 172.440
- Placarding - 49 CFR Parts 172.500 through
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Activity: Radioactive Materials
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
10 CFR 71.43
10 CFR 71.47
10 CFR 32
172.519,172.556 and Appendices B and C
- Monitoring - 49 CFR Part 172, Subpart C
- Accident Reporting - 49 CFR Part 171.15 and
171.16
- Shipping Papers - 49 CFR Part 172, Subpart C
- Rail - 49 CFR Part 174, Subparts A-D and K
- Air - 49 CFR Part 176, Subparts A-D and M
- Vessel - 49 CFR Part 176, Subparts A-D and M
- Public Highway - 49 CFR Part 177.
Packages meet the standards contained in 1.0 CFR
71.43.
External radiation levels for packages meet the
standards prescribed in 10 CFR 71.47.
Manufacture or Transfer of Certain Items
Containing Byproduct Material:
A facility introducing byproduct material, in ex-
empt concentrations, into products or materials and
transferring ownership or possession to others
complies with the provisions of 10 CFR Parts 32
and 30.
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Activity: Radioactive Materials
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
10 CFR 34
10 CFR 35
rv>
10 CFR 39
10 CFR 50
Radiographic Operations:
A facility using sealed sources containing bypro-
duct material to conduct radiographic operations
complies with the provisions of 10 CFR Parts 34
19,20, 21, and 30.
Medical Use of Byproduct Material:
A facility using licensed byproduct material for
medical purposes complies with the requirements
and provisions of 10 CFR Parts 35,19,20,21, 30,
71 and 170 unless specifically exempted.
Well Logging:
A facility using licensed byproduct materials such
as sealed sources, radioactive tracers, radioactive
markers, and uranium sinker bars in well logging in
a single well complies with the requirements and
provisions of 10 CFR Parts 39,19,20, 21, 30,40,
70,71, and 150.
Production and Utilization Facilities:
A facility operating a production and utilization fa-
cility2 under the provisions of either a Class 103, for
commercial or industrial facilities, or Class 104, for
medical therapy and research and development
facilities, license complies with the requirements
and provisions of 10 CFR Part 50.
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ENVIRONMENTAL NOISE
-------
ENVIRONMENTAL NOISE
Federal Statutes
The Noise Control Act of 1972 established that Federal agencies, when engaged in an
activity resulting in the emission of noise, should comply with Federal, State, interstate, and
local requirements respecting control and abatement of environmental noise to the same extent
as private entities. Even though the primary operational interest of this legislation, as well as
of the Aviation Safety and Noise Abatement Act, is directed to aircraft and airports, the
principles involved are applicable to any Federal agency operating equipment which produces
noise sufficient to result in noncompatible land uses in the surrounding community. Thus,
for most Federal agencies, the primary regulations of interest are those promulgated by State
and local governments in whose jurisdiction the agency's facilities are located.
In the Noise Control Act of 1972, Congress noted:
"...inadequately controlled noise presents a growing danger to the health and
welfare of the Nation's population, particularly in urban areas.
"...the major sources of noise include transportation vehicles and equipment,
machinery, appliances, and other products in commerce.
"...while primary responsibility for control of noise rests with state and local
governments, Federal action is essential to deal with major noise sources in
commerce control of which require national uniformity of treatment."
This Federal legislation primarily focuses on interstate conduct of commerce, such as:
Noise producing products
Aircraft noise and sonic booms
Railroad and motor carrier noise
Promotion of effective state and local noise control programs.
The Act exempts Federal agencies from following these "product" environmental noise
requirements for the following items:
Military weapons or equipment designed for combat use
Rockets or equipment designed for research, experimental, or developmental
work for the National Aeronautics and Space Administration
Other machinery or equipment designed for use in experimental work done by
or for the Federal government.
15-1
-------
Exemption from product labeling does not exempt the equipment from being operated in
conformance with State and local environmental noise requirements.
The Aviation Safety and Noise Abatement Act is intended primarily to provide
assistance to airport operators to prepare and carry out noise compatibility programs. The Act
provides a mechanism for airport operators to develop a noise exposure map and
accompanying documentation relating noncompatible land uses, because of the environmental
noise impact of aircraft operations, to the area surrounding the airport. When approved by
the Secretary of Transportation and made available to the public, the map and documentation
provide a degree of protection from subsequent area land owners seeking damages for noise
attributable to the airport operations.
The map and documentation do not preclude claims for present damages. The Act does
provide, however, that the map and documentation cannot be used as evidence in a suit
seeking damages or other relief for noise that results from the operation of an airport.
Applicability
Federal agencies whose activities result in increased environmental noise in the
surrounding community are responsible for compliance with State and local environmental
noise regulations. Examples of these activities include:
Aircraft operations related to agency test flights, airports and flight operation
sites
Weapon, rocket and missile firing ranges
Test tracks for vehicles
Outdoor power generating equipment
Demolition and explosive disposal sites.
The operating Federal agency is responsible for studies necessary to determine the impact of
environmental noise on the surrounding community and for making the community aware of
those impacts.
Regulatory Scope
Environmental noise legislation establishes State and local government as the primary
regulatory source. The Federal Aviation Agency is the primary program office of concern.
State and Local Regulatory Authority
State and local regulations on environmental noise vary too widely in scope and degree
for any generic use by Federal agencies in determining compliance for a specific operation at
a specific site. As a general rule, States tend to treat environmental noise as a source-specific
pollutant whose emission will be controlled depending on the community area specifically
affected.
15-2
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The Minnesota Pollution Control Law provides an example of the state approach taken
to control environmental noise:
Standards will be adopted "describing the maximum levels of noise in terms of
sound pressure level which may occur in the outdoor atmosphere, recognizing
that due to variable factors no single standard of sound pressure is applicable to
all areas of the State.
"Such standards shall give due consideration to such factors as the intensity of
noises, the types of noises, the frequency with which noises recur, the time
period for which noises continue, the times of day during which noises occur,
and such other factors as could affect the extent to which noises may be
injurious to human health or welfare, animal or plant life, or property or could
interfere unreasonably with the enjoyment of life or property."
Due recognition will be given to the fact that "the quantity or characteristics of
noise or the duration of its presence in the outdoor atmosphere, which may
cause noise pollution in one area of the state, may cause less or not cause any
noise pollution in another area of the state, and it shall take into consideration in
this connection such factors, including others which it may deem proper, as
existing physical conditions, zoning classifications, topography, meteorological
conditions and the fact that a standard which may be proper in an essentially
residential area of the state, may not be proper as to a highly developed
industrial area of the state.
"Such noise standards shall be premised upon scientific knowledge as well as
effects based on technically substantiated criteria and commonly accepted
practices.
"No local governing unit shall set standards describing the maximum levels of
sound pressure which are more stringent than those set by the pollution control
agency."
In this example; the scope of these criteria for developing environmental noise standards
establishes the need for Federal agencies to couple site-specific impacts of environmental
noise with State and local regulations to determine the compliance status of a facility.
Selected Management Considerations
It is the intent of the Noise Control Act of 1972 that Federal agencies consider the
impact of environmental noise on the surrounding community. The key concerns of a
Federal agency's response to noise are:
To protect the safety and health of the local community
To prevent degradation of the agency's capability to perform its mission
because of controversy and litigation over noise impacts.
The absence of state or local environmental noise regulations does not absolve an agency
from being aware of adverse impacts on the surrounding community.
15-3
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Unilateral implementation of an agency environmental noise compliance program may
elicit a variety of public responses, including:
Praise for the agency's interest in community welfare
Concerns that formal documentation of noise impacts on the community will
adversely affect property values, ability to obtain loans and financing within the
affected community and the ability to sell affected property
Demands that the agency provide soundproofing to source or affected facilities
sufficient to reduce noise levels to those experienced in a neighborhood not
subject to that noise
Demands that the agency curtail its environmental noise-producing activities
Demands that the agency make up the difference between appraised value of a
property without regards to noise impact and the property's value realized upon
sale in the open market.
Minimization of adverse public responses to an agency program is often achieved by the
agency initiating a coordinated cooperative approach with the community, emphasizing
mutual problem solving together with local governmental agencies and community
organizations.
The degree and extent to which the surrounding community perceives the Federal
agency as being responsible for an adverse environmental noise impact can usually be
determined by review of an agency's community complaint logbook. Effective logbooks
include not only the complaint but also the agency operations and the atmospheric conditions
present at the time as well as the actions taken in response to the complaint. The agency
public affairs official can be especially helpful in handling complaints and in advising the
community of actions being taken to minimize environmental noise impacts.
Compliance with Federal, State and local requirements is generally interpreted to mean
that Federal agencies will comply with the procedural as well as the substantive aspects of
environmental noise legislation. Obtaining permits for regulated functions would be an
example of procedural compliance.
Agency Policy
Insert applicable agency policy here.
15-4
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AUDIT INFORMATION SOURCE LIST
Activity: Environmental Noise
Records to Review:
Facility Master Plan Document
Complaint log from local community.
Physical Features to Inspect:
Power generating or other noise
Emergency generators
Test tracks.
People to Interview:
Facility Engineer
Public Affairs Officer.
in
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m
15-5
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ENVIRONMENTAL NOISE CHECKLIST
Facility:
Auditor:
Date:
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
42 USC 4903
CD
On-site equipment or operations produce noise loud
enough to be heard outside of the facility's boundary:
If not, the facility is in compliance with noise control
and abatement requirements and further auditing is
not necessary.
If noise can be heard outside of the facility boundary,
audit to determine compliance with agency, state,
interstate and local requirements.
Off-site equipment or operations produce noise loud
enough to be distinguished from background noise:
If not, the equipment or operations are in compliance
with noise control and abatement requirement and
further auditing is not necessary unless there is a
history of noise related complaints from the
community.
If equipment of operations noise can be distinguished
from local background noise at the site, audit to
determine if the activity complies with agency, state,
interstate and local requirements.
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NATURAL RESOURCES
-------
NATURAL RESOURCES
Federal Statutes
Natural resources include fish and wildlife, and water and land. Several acts mandate
preservation requirements for these resources.
Requirements pertaining to fish and wildlife protection include the following:
Executive Order 11987-Exotic Organisms restricts the introduction of species
into areas where they do not normally occur.
Endangered Species Act of 1973 and the Fish and Wildlife Coordination Act --
require Federal agencies to give consideration to wildlife conservation in the
actions they fund, authorize or carry out.
Marine Mammal Protection Act of 1972 mandates a moratorium on the
killing, capturing, harming and importation of marine mammals and the
importation of marine mammal products.
Preservation of water and land resources is mandated in the following requirements:
Executive Order 11990-Protection of Wetlands, and Executive Order 11988-
Floodplain Management address the actions Federal agencies must take to
identify and protect wetlands and floodplains, minimize the,risk of flood loss
and destruction of wetlands, and preserve and enhance the natural and beneficial
values of both floodplains and wetlands.
Farmland Protection Policy Act of 1981 minimizes the extent to which
Federal programs contribute to the unnecessary conversion of farmland to
nonagricultural uses.
Wild and Scenic Rivers Act of 1968 - prohibits the use of Federal funds which
would have adverse effect on those characteristics which caused a river to be
classified as wild, scenic, or recreational.
Coastal Zone Management Act of 1972 requires Federally funded actions to
be preceded by a determination of consistency with a State's coastal zone
management plan.
Deepwater Port Act of 1974 -- provides for the protection of the marine and
coastal environment from adverse impacts associated with the development of
ports.
More information on these acts and their applications can be obtained from the implementing
agency.
16-1
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Applicability
A facility may need to consider natural resources preservation requirements if:
Managing fish, wildlife, land or water.
Located near a water body, especially a wild and scenic river or a coastal zone.
Planning new construction in a floodplain or wetland.
Planning improvement of an existing facility in a floodplain or wetland..
Operating a deepwater port
Selling or leasing right-of-way of owned property.
This list is not comprehensive; there are many special cases.
Regulatory Scope
Many regulations implement the acts requiring natural resource preservation. In
addition, some agency-specific regulations on environmental protection include requirements
for the preservation of natural resources.
Regulations pertaining to natural resources include the following:
Interagency Cooperation-Endangered Species Act of 1973, as amended (50
CFR Part 402) interprets and implements section 7(a)-(d) of the Endangered
Species Act.
Endangered and Threatened Wildlife and Plants (50 CFR Part 17) ~ implements
the Endangered Species Act.
Regulations Governing Small Sites of Marine Mammals Incidental to Specified
Activities (50 CFR Part 228) provides a mechanism for allowing the
incidental, but not intentional, killing or harming of non-depleted marine
mammals by U.S. citizens.
Marine Mammals (50 CFR Part 18) implements the Marine Mammal
Protection Act of 1972.
Regulations Governing the Taking and Importing of Marine Mammals (50 CFR
Part 216) implements the Marine Mammal Protection Act.
Farmland Protection Policy Act (7 CFR Part 658) -- sets out criteria for Federal
agencies to identify and take into account the adverse effects of their programs
on the preservation of farmland.
Federal Consistency with Approved Coastal Management Programs (15 CFR
Part 930) specifies requirements for agencies in complying with the Federal
consistency provision of the Coastal Zone Management Act.
16-2
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Wild and Scenic Rivers (36 CFR Part 297) ~ provides rules applying to Federal
assistance in the construction of water resources projects affecting wild and
scenic rivers or study rivers.
Deepwater Ports (33 CFR Part 148) ~ prescribes regulations for the licensing,
construction design and equipment, and operation of deepwater ports under the
Deepwater Port Act of 1974.
More comprehensive lists of regulations covering the specific acts may be obtained by
contacting the implementing agency or referring to the portions of the CFR for that agency.
State and Local Regulatory Authority
States and localities have many additional requirements iri the natural resource
protection area. Some facts to consider include the following:
State and local agencies must adopt minimum management strategies to avoid
future flood damage within their floodplain areas in order to receive National
Flood Insurance.
Federal agencies are not required to afford local endangered species the same
level of protection as Federally listed species. The policy of some agencies,
however, is to cooperate with the states to the maximum extent possible.
The Fish and Wildlife Conservation Act gives implementing authority to the
State.
The Coastal Zone Management Act requires that the Federal facility be
consistent with the State's Coastal Zone Management Plan.
Requirements vary too widely to provide generic guidance applicable to a specific
Federal facility. Agencies should contact State and local agencies for site-specific guidance.
Selected Management Considerations
To aid in maintaining compliance with natural resources protection regulations, facilities
can take the following steps:
Maintain a file of Federal regulations pertaining to natural resources
Maintain a file of the latest agency regulations and policies dealing with natural
resources
Designate and train a natural resources manager
Keep a record of natural resources management activities.
These actions will increase awareness of natural resources and help the facilities to stay
in compliance with all protection requirements.
Agency Policy
Insert applicable agency policies here.
16-3
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AUDIT INFORMATION SOURCE LIST
Activity: Natural Resources
Records to Review:
Permit for the taking of endangered species
Notifications to the FWS of the taking of endangered species without a
permit
Letter of Authorization for the incidental taking of marine mammals
Permit for the taking of marine mammals
Form AD 1006
Environmental Impact Statement
State Coastal Zone Management Plan compliance statement
License for ownership, construction or operation of a Deepwater Port.
Physical Features to Inspect:
Facilities constructed in the past 2 years
Wildlife containment areas
Wildlife habitat and land and water resources
Equipment which could damage wildlife, its habitat, or land and water
resources.
People to Interview:
Natural Resources Manager
Environmental Coordinator/Officer
Land Management Officer
Grounds Maintenance Crew.
c
o.
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NATURAL RESOURCES CHECKLIST
Facility:
Auditor:
Date:
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
50CFR402.10
50 CFR 402.12
50 CFR 228
50 CFR 17.21
(a-c)
50 CFR 18.22,
.33
Fish and Wildlife:
Facility confers with Fish & Wildlife Service (FWS)
on actions which are likely to jeopardize the contin-
ued existence of proposed endangered species or
adversely affect proposed critical habitat.
A biological assessment is performed on all major
construction activities. These activities are deter-
mined to be "no jeopardy" to endangered species, are
exempted, or their effects are mitigated to comply
with FWS requirements.
Any facility activity that causes the accidental harm-
ing, capturing, or killing of marine mammals, is
approved by a Letter of Authorization from the
National Marine Fisheries Service.
Facility does not import, expert, harm, capture or kill
any endangered species except as required in conser-
vation efforts or as authorized by a permit from the
FWS. Reports are made to the FWS of any killing,
capturing or harming of an endangered species in
conservation efforts.
Facility notifies the FWS of any killing, capturing or
harming of a marine mammal done in order to protect
the welfare of the mammal or to protect human health
or welfare. Any capturing or killing of marine mam-
mals for research purposes is authorized by a permit
from the FWS.
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Activity: Natural Resources
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
50CFR216
o>
EO 11987
Sec. 2(a)
EO 11987
Sec. 2(b, c)
7 CFR 658.4
EO 11988
Any facility activity that involves capturing, killing or
harming of cetacea (whales and porpoises) and
pinnipedia other than walrus (seals and sea lions) is
approved by an applicable permit from the Depart-
ment of Commerce.
Facility does not release, establish or risk the escape
of species of plants and animals not naturally occur-
ring in the United States into the natural ecosystems
of facility lands and waters unless the introduction is
approved by the Secretary of Agriculture or Interior.
Facility does not import species not naturally occur-
ring in the U.S. and does not export native species to
be released in areas outside the U.S. where they do
not naturally occur unless the import or export is ap-
proved by the Secretary of Agriculture or Interior.
Land and Water Resources:
An evaluation of prospective farmland conversion
impacts, including Form AD 1006 and use of criteria
found in 7 CFR Part 658.5 is performed for all con-
struction and improvement projects which involve ac-
quiring, managing, or disposing of federal lands
unless die project is an acquisition which is exempted
for national defense purposes.
Facility complies with the requirement that potential
effects of actions taken in floodplains are evaluated
and considered.
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Activity: Natural Resources
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
00
EO 11990
15 CFR 930.34,
930.44
36 CFR 297
33 CFR 148
Facility considers wetlands protection in decision-
making.
Facility provides the State with a statement of
compliance with the State's Coastal Zone Manage-
ment Program. Actions approved by the State are
subjected to continued monitoring by Federal and
State agencies.
Facility does not participate in any water resources
project on any portion of a Wild and Scenic River or
Study River.
If applicable, the facility is licensed by the Coast
Guard or authorized by an exemption to own, con-
struct, or operate a Deepwater Port.
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CULTURAL RESOURCES
-------
CULTURAL RESOURCES
Federal Statutes
Cultural resources include places of historic or archaeological interest. Several acts
specify requirements which Federal agencies must meet in order to protect these resources.
Requirements pertaining primarily to historic preservation include the following:
The National Historic Preservation Act of 1966 (NHPA) as amended 1980 --
establishes the National Register of Historic Places under the Department of
Interior. This register is designed to assist Federal and State agencies in
identifying those resources which must be considered before making
irrevocable decisions. Section 106 of the Act requires Federal agencies to
consider the effect of a funded, licensed, assisted or approved project on any
cultural resource listed, eligible or potentially eligible for listing in the National
Register and allows the Advisory Council on Historic Preservation opportunity
to comment on the undertaking.
Section 110 of the NHPA requires Federal agencies to carry out their
programs in accordance with, and in furtherance of the NHPA; to designate
historic preservation officers to coordinate the agency's activities under the Act;
to identify and preserve historic properties under their ownership or control; and
make efforts to minimize harm to National Historic Landmarks.
The Historic Sites Act of 1935 authorizes the establishment of National
Historic Sites and Landmarks and the preservation of properties of national
historical or archaeological significance.
Requirements pertaining primarily to protection of archaeological resources include the
following acts:
The Archaeological Resources Protection Act of 1979 ~ provides protection for
archaeological resources found on public lands and Indian lands of the United
States and prohibits the removal of archaeological resources on public lands and
Indian lands without first obtaining a permit from the affected Federal land
managing agency or Indian tribe.
The Reservoir Salvage Act of 1960 provides for the recovery and
preservation of historical and archaeological data, including relics and
specimens that might be lost or destroyed as a result of the construction of
dams, reservoirs, and attendant facilities and activities.
The Historic and Archaeological Data Preservation Act of 1974 amends the
Reservoir Salvage Act of 1960 to extend its provisions beyond the construction
of dams to any alteration of the terrain caused as a result of any Federal
construction project or federally-licensed activity or program. Provides a
mechanism for funding the protection of historical and archaeological data, and
17-1
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allows the use of a faster consultation process than Section 106 when an agency
discovers significant archaeological resources during construction.
More information on these acts may be obtained through consultation with the Department of
Interior or other appropriate Federal agencies.
Applicability
Facilities may have to consider cultural resources requirements if:
Management is planning construction, particularly excavation.
Management is planning non-construction activities which could affect a cultural
resource.
Facility is situated on historically or archaeologically significant land.
Facility or part of facility is considered an historical site.
A cultural resources survey has determined that the facility is significant to a
cultural resource.
In addition, facilities for which a cultural resources survey has not been conducted as part of
an environmental assessment may be subject to these requirements (See Chapter 18,
Environmental Assessment.)
Regulatory Scope
A number of regulations have been promulgated to implement acts protecting cultural
resources. The acts stand alone in providing a great deal of procedural guidance. In
addition, Federal agencies have their own procedures that are often published in the Federal
Register. Individual agencies write their own regulations, particularly for implementing the
Archaeological Resources Protection Act and Section 110 of NHPA. Federal facilities must
comply with their agency-specific regulations.
General regulations significant in the preservation of cultural resources include the
following regulations:
Protection of Historic and Cultural Properties (36 CFR Part 800) - implements
Section 106 of NHPA. Details the procedures for reports to the Council, the
roles and responsibilities of the Federal agency, the State Historic Preservation
Officer (SHPO), the ACHP and other interested parties.
Assessing Affects (36 CFR Part 800.5) requires agency to consult with
interested parties; heads of local government; applicants for and holders of
grants, permits and licenses involved in the undertaking; and representatives of
Indian tribes, when an undertaking will affect Indian lands.
National Register of Historic Places (36 CFR Part 60) ~ defines the procedural
requirements for listing properties on the National Register under the National
Historic Preservation Act of 1966.
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A more complete list of regulations covering a particular act may be found in the portions of
the CFR pertaining to the implementing agency. Land management facilities will often be
subject to additional regulations promulgated by their agencies.
State and Local Regulatory Authority
The SHPO is responsible for implementation of the National Historic Preservation Act.
SHPO and staff must be consulted during all cultural resources planning.
Selected Management Considerations
The presence of historic or archaeological places of interest on a Federal facility obliges
agency management to preserve our nation's heritage while performing the agency mission.
Fulfilling this obligation and complying with cultural resources regulations can be made
easier by carrying out suggested procedures:
Maintaining a file of Federal, State, local and agency regulations and policies
regarding cultural resources protection
Designating and training a cultural resources preservation manager
Keeping a record of facility cultural resources preservation activities.
In addition, historic or archaeological designation may restrict management's options for use,
repair, protection, modification, and maintenance of the place, structure or area. Procedures
are required to be in compliance with the law. It is sometimes the case that an agency is
preserving a cultural resource, but is not in compliance because consultation procedures are
not followed.
Agency Policy
Insert applicable agency regulation policies here.
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AUDIT INFORMATION SOURCE LIST
Activity: Cultural Resources
Records to Review:
For construction activities: documentation of finding of no adverse effect,
or Memorandum of Agreement with the SHPO or requests for comment
when there is no agreement
Notification of any contraction projects sent to Secretary of Interior.
Physical Features to Inspect:
Construction sites
Site or landmark of historic or archaeological interest.
People to Interview:
Archaeologist/Historic Preservation Officer
Grounds Maintenance Crew
Land Management Officer.
o
m
DO
§
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CULTURAL RESOURCES CHECKLIST
Facility:
Auditor:
Date:
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
36 CFR 800
36 CFR 60.9
16 USC 469
36 CFR 296.4*
36 CFR 296.5*
Historical Resources:
Projects and activities that can result in changes in the
character or use of historic properties are assessed for
effect on historic properties. The State Historic
Preservation Officer and the Advisory Council on
Historic Preservation are consulted in these assess-
ments.
Facility complies with agency's program to locate,
inventory, and nominate all properties under the
agency's control.
Archaeological Resources:
Written notice is given to the Secretary of Interior
concerning construction projects which could ad-
versely affect archaeological resources.
Excavation, removal, damage, or alteration of any
archaeological resource located on facility lands is
authorized by a permit from the Federal Land Man-
ager.
Any archaeological resource obtained in violation of
Federal law is NOT sold, purchased, exchanged, or
transported by the facility.
* These regulations for USDA-USFS. Similar regulations exist for Interior (43 CFR 7), TV A (18 CFR 1312), and DoD (32 CFR 229).
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ENVIRONMENTAL IMPACT
DOCUMENTATION
-------
ENVIRONMENTAL IMPACT
DOCUMENTATION
Federal Statutes
The mandated requirement to assess the environmental effects of major Federal actions
is based in the National Environmental Policy Act of 1969 (NEPA), the basic national charter
for protection of the environment. NEPA does not mandate that decision-makers must avoid
all adverse environmental effects in proceeding with a Federal action, but does require that the
decision to proceed with such an action must be an informed and procedurally correct
decision.
NEPA establishes Federal environmental assessment policy, sets goals, and provides
means for carrying out the policy. The Act, as implemented by Executive Orders 11514 and
11991 and the Council on Environmental Quality (CEQ) Regulations, requires that Federal
agencies perform the following actions:
Include in their decision-making processes appropriate and careful consideration
of all environmental effects of proposed actions
Analyze potential environmental effects of proposed actions and their
alternatives for public understanding and scrutiny
Avoid or minimize adverse effects of proposed actions
Restore and enhance environmental quality as much as possible.
The requirement for environmental assessments is somewhat unique compared with other
environmental legislation in that:
National security cannot be used as a reason for exempting a Federal action
from the provisions of NEPA.
Each Federal agency is required to adopt procedures to supplement the CEQ
regulations and to publish those procedures in the Federal Register for public
comment.
There are no provisions of law for the States to assume primacy for managing
the provisions of NEPA for all Federal agencies.
Contractors chosen by an agency to prepare an environmental impact statement
(EIS) must execute a disclosure statement specifying that they have no financial
or other interest in the outcome of the project.
In effect, NEPA requires that environmental concerns be given equal consideration with
economic and technical considerations of decision-makers.
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Executive Order 12114, Environmental Effects of Major Federal Actions Abroad,
establishes internal procedures for Federal agencies to consider the significant effects of their
actions on the environment outside the United States, its territories and possessions.
Environment is defined for this Order as the natural and physical environment and excludes
social, economic and other environments. Federal agencies are required to establish
procedures for actions significantly affecting:
The environment of the global commons outside the jurisdiction of any nation
(e.g., the oceans or Antarctica)
The environment of a foreign nation
Natural or ecological resources of global importance designated for protection.
Specific exemptions are provided for in this Order.
Applicability
The environmental impact analysis process is applicable to proposed major Federal
actions such as:
Construction Examples include both new and modifications to existing
buildings, roads, pipelines, airfields, transmission towers, fences, dams, and
pathways into remote areas.
Equipment development The environmental effects of mission equipment
such as missile systems, aircraft, vehicles, incinerators, waste treatment
devices, satellites, laser/microwave communication systems, and transportation
systems may require assessment.
New/changed mission programs ~ Environmental assessments may be required
for decisions on implementing new/changed programs such as genetic
engineering, changes in public land use, biochemical defense, space stations,
and opening or closing installations/facilities.
NEPA provides that the environmental assessment process is applicable when Federal
funding is used by non-Federal agencies to accomplish an action which may have significant
environmental effects. This condition is likely to exist in grant programs where Federal
funding is used to support actions taken by States under the provisions of Federal
environmental legislation.
Regulatory Scope
The basic working reference document for Federal environmental assessment programs
is the "CEQ Regulations on Implementing National Environmental Policy Act Procedures",
which is codified as 40 CFR Part 1500. The regulations implement section 102(2)(c) of
NEPA, which contains the provision for preparing environmental documentation to ensure
that Federal agencies act according to the letter and spirit of the Act.
18-2
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The CEQ regulations provide for Federal agencies to adopt procedures to supplement
the CEQ Regulations, to consult with the Council, and to publish the procedures in the
Federal Register for public comment. These agency-specific procedures are subject to
Council review. Federal agency procedures are required to include specific criteria for and
identification of those typical classes of action that:
Require EIS
Do not require either an EIS or an environmental assessment (categorical
exclusions)
Require environmental assessments but not necessarily EISs.
Since agency-written procedures rather than the CEQ Regulations are normally available to
operating personnel, consistency, completeness and currency are imperative for compliance
with NEPA. Failure to include CEQ requirements in agency procedures does not relieve the
agency of responsibility for compliance.
Functional examples that can result in a noncompliance condition or trigger revalidation
of documented environmental effects include the following conditions:
Mitigation - Environmental documentation used by decision makers frequently
contains actions to be taken during implementation of an action to mitigate
undesirable environmental effects. When the Record of Decision (ROD)
contains these mitigation actions for the selected alternative, the actions must be
followed in completing the action. Failure to translate mitigation in the ROD
into project actions could result in a noncompliance condition.
Tiering -- For multiphase major actions an initial programmatic EIS is
frequently used as a base on which to build later action decisions.
Noncompliance can occur when supplements are not prepared before specific
subsequent phase implementing decisions are made.
Project changes ~ Substantive changes to a project; i.e., substantively different
from the statement of the proposed action in the environmental documentation,
require documentation of the reconsideration of the environmental effects of the
project. Changes which can trigger a need for reconsideration include, but are
not limited to, siting of a project, installation of more or different equipment into
a proposed facility, different construction techniques, different equipment
serviced in facilities or airfields, introduction.of hazardous or toxic wastes, and
scope of the action.
Environmental setting -- Modification of surrounding land use, discovery of a
previously unknown endangered species or archaeological site, and population
shifts are examples of uncontrollable factors which may require
changes/additions to environmental documentation during the implementation
phase of a Federal action.
Project changes do not necessarily require preparation of new environmental impact
statements or even environmental assessments; however, agency management does need to
determine the impact of the changes and to document management's decision on the need, or
lack thereof, for additional environmental documentation.
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State and Local Regulatory Authority
More than half of the States have implemented environmental assessments within their
environmental programs. NEPA has multiple provisions with regards to State involvement in
the Federal environmental assessment process but generally does not provide for the States
assuming primacy for the Federal program. State and local regulatory authorities have the
power to do the following:
Comment on proposed Federal actions when those authorities are authorized to
develop and enforce environmental standards
Request a Federal agency to set time limits for the NEPA process
Participate in the scoping process
Act with a Federal agency as joint lead agencies to prepare an environmental
impact statement
Choose to use the system of clearinghouses established by Office of
Management and Budget Circular A-95 (Revised) for securing the views of
state and local environmental agencies regarding environmental documentation
for Federal actions
Have their EIS requirements, which are in addition to but not in conflict with
Federal requirements, included in the preparation of a Federal environmental
impact statement
Become a cooperating agency for a Federal action.
NEPA does provide that states and units of general local government and Indian tribes may
assume NEPA responsibilities for actions taken under section 104(h) of the Housing and
Community Development Act of 1974.
Selected Management Considerations
NEPA is a "cradle to grave" operational requirement for Federal decision-makers and
project personnel, i.e., the signing of a Record of Decision for an EIS does not ensure NEPA
compliance. As changes in the action become necessary for previously unforeseen reasons or
when the environmental setting for an action changes, decision-makers need to revalidate
their decision on the action.
The penalty for failure to follow the environmental impact assessment process has been
for a court to enjoin the proponent Federal agency from proceeding with the project. This
injunction normally lasts until the agency has complied with NEPA, has better documented
the action and environmental effects, or has improved the analysis of the environmental
documentation. -^"
Agency Policy
Insert applicable agency regulations and policies here.
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AUDIT INFORMATION SOURCE LIST
Activity: Environmental Impact Documentation
Records to Review:
Environmental Assessment
Environmental Impact Statement
Record of Decision
Finding of No Significant Impact
List of any facilities constructed since 1970.
Physical Features to Inspect:
X x
Mitigation features.
People to Interview:
x Facilities Manager
General Services Administration
NEPA Program Office staff.
rn
o
*»
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ENVIRONMENTAL IMPACT
DOCUMENTATION CHECKLIST
Facility:
Auditor:
Date:
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
40 CFR 1501.3
40CFR
1500.2, .5
1501.2
40 CFR 1502.6
40 CFR 1501.3
40 CFR 1502.9
40 CFR
1500.4, .5
40 CFR
1500.4, .5
1501.4
40 CFR
1507.3
Evaluation of Program:
Environmental documentation is
prepared:
According to agency procedures.
Early in the planning and review
process.
By individuals with relevant technical back-
grounds.
When required by agency procedures and
when necessary to assist planning and deci-
sionmaking.
When substantial changes are made to or
significant new information is learned about a
previously documented proposed action.
In preparing documentation:
Categorical exclusions are used for
similar actions with no significant
environmental effect.
A finding of no significant impact
(FNSI) is prepared when a nonexcluded
action is determined to have no
significant impact.
Security regulations are followed for clas-
sified information.
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Activity: Environmental Impact Documentation
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
40CFR
1500.4, .5
1501.4, .7
40CFR
1500.4, .5
1506.2, .3
40CFR
1506.5
40CFR
1506.5
40CFR
1503.4
40CFR
1501.3
40CFR
1501.3
The scoping process is used to identify
issues for environmental impact
statements (EIS).
Duplication of effort is avoided by
joint preparation and adoption of existing
documentation.
Information from outside sources is evalu-
ated and verified prior to inclusion in an EIS.
Contractors, who prepare an EIS, execute a
disclosure statement specifying that they
have no financial or other interest in the out-
come of the project.
Public review comments are considered and
included in a final EIS.
Evaluation of Operations:
Environmental documentation has been
prepared on:
Construction projects such as buildings,
roads, pipelines, airfields, dams, and trans-
mission towers.
Equipment development for items that have
potential for significant impact on the
environment.
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Activity: Environmental Impact Documentation
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
40CFR
1501.3
40CFR
1503
400311
1506.6
40CFR
1506.6
40CFR
1502.2
40CFR
1501.4
40CFR
1506.1
New or significant changes to mission
programs that have potential for significant
impact on the environment.
Environmental documentation:
Is circulated for comments of interested
Federal, State and local agencies and the
public.
Is publicized through mailings and notices.
Is made available to the public without
charge or at actual cost.
For a proposed project:
Alternative selection is not prejudiced by
resource commitments before making the
final decision.
A finding of no significant impact (FNSI)
is made available for public review.
Actions which limit alternatives or have an
adverse environmental effect are not taken
until the Record of Decision (ROD) is
signed.
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Activity: Environmental Impact Documentation
Regulatory
Citation
Auditors' Checklist
Comments
Finding
Number
40CFR
1505.2, .3
40CFR
1505.3
For a completed project:
Mitigation measures are conducted as
described in a monitoring and enforcement
program contained in the ROD.
Mitigation monitoring results are available to
the public.
CO
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ENVIRONMENTAL MANAGEMENT
SYSTEMS
-------
ENVIRONMENTAL MANAGEMENT
SYSTEMS
Purpose
The previous chapters aid an audit team in assessing a facility's environmental management
system on an issue-by-issue basis. An agency may use the opportunity of onsite visits to collect
information on the overall environmental compliance management program. The questionnaire in
Exhibit 19-1 can be used for identifying the strengths and weaknesses of an existing environmental
compliance program or may help determine a model compliance program for an agency. It
addresses management processes, procedures and responsibilities that will enhance compliance
with environmental requirements addressed previously. The questionnaire is equally valuable to
facility personnel assessing their own environmental compliance program. The facility manager
generally completes the questionnaire.
19-1
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EXHIBIT 19-1
Environmental Compliance Program Questionnaire
Facility Name:.
Facility Manager
Major Activity of Facility :
A. Current Environmental Compliance Program Description
1. Considering your mission, facilities and operations, how applicable is an Environmental
Compliance Program (ECP) to your program?
12345
(little) (very)
2. What are the basic goals and objectives for your ECP?
3. How are these goals and objectives, and responsibilities for implementation conveyed to your
personnel? (Check all appropriate blanks)
Policy statement(s)
Environmental management committee
Standard operating procedures
Training
Other formal guidance
If any of the above documentation exists, please append copies.
4. What is the basis for your ECP? Please fill-in title/brief description
Policy Statements . '
Guidance from line management '
Self-generated guidance
Direction from regulators
Other (briefly describe)
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5. Please attach an organizational chart detailing the reporting chain between you and the
environmental compliance coordinator(s).
Does your environmental compliance coordinator (ECC) report directly to you?
Are you comfortable with the reporting chain between you and your ECC?
If not, please briefly describe the problem.
6. How often do you meet with the ECC?
7. What is the critical job element weight allotted for the area of environmental compliance?
Do you have performance standards in the area of environmental compliance for your
subordinates?
B.
1.
Implementation of the ECP
Please rate the resources you have provided for the ECP.
Personnel 1
(understaffed)
Training
(minimal)
1
Equipment 1
(minimal)
Facilities 1
(inadequate)
4 5
(fully staffed)
4 5
(fully trained)
4 5
(meets requirements)
4 5
(meets requirements)
Please complete the following chart showing personnel allocation.
Number of
Personnel
Total
Hrs/wk
Environmental Compliance
Coordinator(s)
Hazardous Waste Disposal
Officer(s)
What are the dollar resources provided for the ECP?
Is it enough?
Hrs/wk Required
for Fully-
Effective Program
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2. Are you provided with sufficient funding for training in the area of environmental
compliance?
Please describe your needs in this area:
3. Do you have authority to delegate monetary resources and personnel to the area of
environmental compliance?
4. Please describe the mechanisms you use to communicate environmental compliance
initiatives from upper management to facility staff (i.e., briefings, staff meetings,
informal conversation):
... the mechanisms upper management uses to communicate environmental compliance
initiatives to you:
5. How comfortable are you with the authority you have been delegated to allocate
resources in the area of environmental compliance?
12345
(not comfortable) (very comfortable)
6. Have you been provided with management indicators and personnel performance
standards related to environmental compliance for incorporation into your own
performance standards?
If not, have you developed your own?
7. In either case, have you provided environmental compliance performance standards to
subordinate personnel?
8. What type of appropriated funds are you getting to support environmental compliance
activities?
9. Who do you turn to for advice for environmental compliance programs? Are you satisfied
with the advice?
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C. Program Evaluation
1. Are you comfortable with your facility's compliance with environmental regulations?
12345
(not comfortable) (very comfortable)
How are you informed of compliance status?
Are you the responsible official for initiating corrective actions? If not, who is?
Are existing resources a restraint in implementing corrective actions? (Please be specific)
3. Overall, do you think your ECP is effective?
4, What is your biggest ECP management problem?
5. Please briefly describe the greatest assets and deficiencies of your ECP?
6. Describe your perception of the appropriate role for your agencies environmental staff at
the headquarters.
7. Describe your perception of the appropriate role for line personnel in the ECP.
Name of person completing this form:.
Signature: Date:.
19-5
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APPENDICES
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APPENDIX A
ERA'S ENVIRONMENTAL AUDITING
POLICY STATEMENT
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ENVIRONMENTAL PROTECTION
AGENCY
IOPPE-FBL-3046-61
Environmental Auditing Policy
Statement
AGENCY: Environmental Protection
Agency (EPA).
ACTION: Final policy statement.
SUMMARY: It is EPA policy to encourage
the use of environmental auditing by
regulated entities to help achieve and
maintain compliance with
environmental laws and regulations, as
well as lo help identify and correct
unregulated environmental hazards.
EPA first published this policy as
interim guidance on November 8.1985
(50 FR 46504). Based on comments
received regarding the interim guidance.
the Agency is issuing today's final
policy statement with only minor
changes.
This final policy statement
specifically:
Encourages regulated entities to
develop, implement and upgrade
environmental auditing programs;
Discusses when the Agency may or
may not request audit reports;
Explains how EPA's inspection and
enforcement activities may respond to
regulated entities' efforts to assure
compliance through auditing;
Endorses environmental auditing at
federal facilities:
Encourages state and local
environmental auditing initiatives; and
Outlines elements of effective audit
programs.
Environmental auditing includes a
variety of compliance assessment
techniques which go beyond those
legally required and are used to identify
actual and potential environmental
problems. Effective environmental
auditing; can lead to higher levels of
pverall compliance and reduced risk to
human health and the environment. EPA
endorses the practice of environmental
auditing; and supports its accelerated
use by regulated entities to help meet
the goals of federal, state and local
environmental requirements. However.
the existence of an auditing program
does not create any defense to. or
otherwise limit, the responsibility of any
regulated entity to comply with
applicable regulatory requirements.
Statei) are encouraged to adopt these
or similar and equally effective policies
in order to advance the use of
environmental auditing on a consistent.
nationwide basis.
DATES: This final policy statement is
effective July 9.1988.
FOR FURTHER INFORMATION CONTACT:
Leonard Fleckenstein. Office of Policy.
Planning and Evaluation. (202) 382-
2728;
or
Cheryl Wasserman. Office of
Enforcement and Compliance
Monitoring. (202) 382-7550.
SUPPLEMENTARY INFORMATION:
ENVIRONMENTAL AUDITING
POLICY STATEMENT
I. Preamble
On November 8.1985 EPA published
an Environmental Auditing Policy
Statement, effective as interim guidance,
and solicited written comments until.
January 7,1986.
Thirteen commenters submitted
written comments. Eight were from
private industry. Two commenters
represented industry trade associations.
One federal agency, one consulting firm
and one law firm also submitted
comments.
Twelve commenters addressed EPA
requests for audit reports. Three
comments per subject were received
regarding inspections, enforcement
response and elements of effective
environmental auditing. One commenter
addressed audit provisions as remedies
in enforcement actions, one addressed
environmental auditing at federal
facilities, and one addressed the
relationship of the policy statement to
state or local regulatory agencies.
Comments generally supported both the
concept of a policy statement and the
interim guidance, but raised specific
concerns with respect to particular
language and policy issues in sections of
the guidance.
General Comments
Three commenters found the interim
guidance to be constructive, balanced
and effective at encouraging more and
better environmental auditing.
Another commenter, while
considering the policy on the whole to
be constructive, felt that new and
identifiable auditing "incentives" should
be offered by EPA. Based on earlier
comments received from industry. EPA
believes most companies would not
support or participate in an "incentives-
based" environmental auditing program
with EPA. Moreover, general promises
to forgo inspections or reduce
enforcement responses in exchange for
companies' adoption of environmental
auditing programsthe "incentives"
most frequently mentioned in this
contextare fraught with legal and
policy obstacles.
Several commenters expressed
concern that states or localities might
use the interim guidance to require
auditing. The Agency disagrees that the
policy statement opens the way for
states and localities to require auditing.
No EPA policy can grant states or
localities any more (or less) authority
than they already possess. EPA believes
that the interim guidance effectively
encourages voluntary auditing. In fact.
Section Il.B. of the policy states:
"because audit quality depends to a
large degree on genuine management
commitment to the program and its
objectives, auditing should remain a
voluntary program."
Another commenter suggested that
EPA should not expect an audit to
identify all potential problem areas or
conclude that a problem identified in an
audit reflects normal operations and
procedures. EPA agrees that an audit
'report should clearly reflect these
realities and should be written to point
out the audit's limitations. However.
since EPA will not routinely request
audit reports,- the Agency does not
believe these concerns raise issues
which need to be addressed in the
policy statement.
A second concern expressed by the
same commenter was that EPA should
acknowledge that environmental audits
are only part of a successful
environmental management program
and thus should not be expected to
cover every environmental issue or
solve all problems. EPA agrees and
accordingly has amended the statement
of purpose which appears at the end of
this preamble.
Yet another commenter thought EPA
should focus on environmental
performance results (compliance or non-
compliance), not on the processes or
vehicles used to achieve those results. In
general. EPA agrees with this statement
and will continue to focus on
environmental results. However. EPA
also believes that such results can be
improved through Agency efforts to
identify and encourage effective
environmental management practices,
and will continue to encourage such
practices in non-regulatory ways.
A final general comment
recommended that EPA should sponsor
seminars for small businesses on how to
start auditing programs. EPA agrees that
such seminars would be useful.
However, since audit seminars already
are available from several private sector
organizations, EPA does not believe it
should intervene in that market, with the
possible exception of seminars for
government agencies, especially federal
agencies, for which EPA has a broad
mandate under Executive Order 12088 to
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provide technical assistance for
environmental compliance.
Requests for Reports
EPA received 12 comments regarding
Agency requests for environmental audit
reports, far more than on any other topic
in the policy statement. One conunenter
felt that EPA struck an appropriate
balance between respecting the need for
self-evaluation with some measure of
privacy, and allowing the Agency
enough flexibility of inquiry to
accomplish future statutory missions.
However, most commenters expressed
concern that the interim guidance did
not go far enough to assuage corporate
'oars that EPA will use audit reports for
environmental compliance "witch
hunts." Several commenters suggested
additional specific assurances regarding
the circumstances under which EPA will
request such reports.
One commenter recommended that
EPA request audit reports only "when
the Agency can show the information it
needs to perform its statutory mission
cannot be obtained from the monitoring,
compliance or other data that is
otherwise reportable and/or accessible
to EPA, or where the Government deems
an audit report material to a criminal
investigation." EPA accepts this
recommendation in part The Agency
believes it would not be in the best
interest of human health and the
environment to commit to making a
"showing" of a compelling information
need before ever requesting an audit
report While EPA may normally be
willing to do so, the Agency cannot rule
out in advance all circumstances in
which such a showing may not be
possible. However, it would be helpful
to further clarify that a request for an
audit report or a portion of a report
normally will be made when needed
information is not available by
alternative means. Therefore, EPA has
revised Section 1ILA., paragraph two
and added the phrase: "and usually
made where the information needed
cannot be obtained from monitoring.
reporting or other data otherwise
available to the Agency."
Another commenter suggested that
(except in the case of criminal
investigations) EPA should limit
requests for audit documents to specific
questions. By including the phrase "or
relevant portions of a report" in Section
HI.A-, EPA meant to emphasize it would
not request an entire audit document
when only a relevant portion would
suffice. Likewise. EPA fully intends not
to request even a portion of a report if
needed information or data can be
otherwise obtained. To further clarify
this point EPA has added the phrase.
"most likely focused on particular
information needs rather than the entire
report," to the second sentence of
paragraph two. Section III.A.
Incorporating the two comments above.
the first two sentences in paragraph two
of final Section Ill.A. now read: "EPA's
authority to request an audit report, or
relevant portions thereof, will be
exercised on a case-by-case basis where
the Agency determines it is needed to
accomplish a statutory mission or the
Government deems it to be material to a
criminal investigation. EPA expects such
requests to be limited, most likely
focused on particular information needs
rather than the entire report and usually
made where the information needed
cannot be obtained from monitoring.
reporting or other data otherwise
available to the Agency."
Other commenters recommended that
EPA not request audit reports under any
circumstances, that requests be
"restricted »?» only those legally
required," that requests be limited to
criminal investigations, or that requests
be made only when EPA has reason to
believe "that the audit programs or
reports are being used to conceal
evidence of environmental non-
compliance or otherwise being used in
bad faith." EPA appreciates concerns
underlying all of these comments and
has considered each carefully. However,
the Agency believes that these
recommendations do not strike the
appropriate balance between retaining
the flexibility to accomplish EPA's
statutory missions in future, unforeseen
circumstances, and acknowledging
regulated entities' need to self-evaluate
environmental performance with some
measure of privacy. Indeed, based on
prime informal comments, the small
number of formal comments received,
and the even smaller number of adverse
comments, EPA believes the final policy
statement should remain largely
unchanged from the interim version.
Elements of Effective Environmental
Auditing
Three commenters expressed
concerns regarding the seven general
elements EPA outlined in the Appendix
to the interim guidance.
One commenter noted that were EPA
to further expand or more fully detail
such elements, programs not specifically
fulfilling each element would then be
judged inadequate. EPA agrees that
presenting highly specific and
prescriptive auditing elements could be
counter-productive by not taking into
account numerous factors which vary
extensively from one organization to
another, but which may still result in
effective auditing programs.
Accordingly, EPA does not plan to
expand or more fully detail these
auditing elements.
Another commenter asserted that
states and localities should be cautioned
not to consider EPA's auditing elements
as mandatory steps. The Agency is fully
aware of this concern and in the interim
guidance noted its strong opinion that
"regulatory agencies should not attempt
to prescribe the precise form and
structure of regulated entities
environmental management or auditing
programs." While EPA cannot require
state or local regulators to adopt this or
similar policies, the Agency does
strongly encourage them to do so. both
in the interim and final policies.
A final commenter thought the
Appendix too specifically prescribed
what should and what should not be
included in an auditing program. Other
commenters, on the other hand, viewed
the elements described as very general
in nature. EPA agrees with these other
commenters. The elements are in no
way binding. Moreover, EPA believes
that most mature, effective
environmental auditing programs do
incorporate each of these general
elements in some form, and considers
them useful yardsticks for those
considering adopting or upgrading audit
programs. For these reasons EPA has
not revised the Appendix in today's
final policy statement
Other Comments
Other significant comments addressed
EPA inspection priorities for, and
enforcement responses to, organizations
with environmental auditing programs.
One commenter. stressing that audit
programs are internal management
tools, took exception to the phrase in the
second paragraph of section lll.B.l. of
the interim guidance which states that
environmental audits can 'complement'
regulatory oversight By using the word
'complement' in this context, EPA does
not intend to imply that audit reports
must be obtained by the Agency in order
to supplement regulatory inspections.
'Complement' is used in a broad sense
of being in addition to inspections and
providing something (i.e.. self-
assessment) which otherwise would be
lacking. To clarify this point EPA has
added the phrase "by providing self-
assessment to assure compliance" after
"environmental audits may complement
inspections" in this paragraph.
The same commenter also expressed
concern that as EPA sets inspection
priorities, a company having an audit
program could appear to be a 'poor
performer' due to complete and accurate
reporting when measured against a
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company which reports something less
than required by law. EPA agrees that it
is important to communicate this fact to
Agency and state personnel, and will do
so. However, the Agency does not
believe a change in the policy statement
is necessary.
A further comment suggested EPA
should commit to take auditing
programs into account when assessing
all enforcement actions. However, in
order to maintain enforcement flexibility
under varied circumstances, the Agency
cannot promise reduced enforcement
responses to violations at all audited
facilities when other factors may be
overriding. Therefore the policy
statement continues to state that EPA
niri> exercise its decretion to consider
auditing programs as evidence of honest
and genuine efforts to assure
compliance, which would then be taken
into account in fashioning enforcement
responses to violations.
A final commenter suggested the
phrase 'expeditiously correct
environmental problems" not be used in
the enforcement context since it implied
EPA would use an entity's record of
correcting nonregulated matters when
evaluating regulatory violations. EPA
die! not intend for such an inference to
be made. EPA intended the term
"environmental problems" to refer to the
underlying circumstances which
eventually lead up to the violations. To
clarify this point. EPA is revising the
first two sentences of the paragraph to
which this comment refers by changing
"environmental problems" to "violations
and underlying environmental
problems" in the first sentence and to
"underlying environmental problems" in
the second sentence.
In a separate development EPA is
preparing an update of its January. 1984
Federal Facilities Compliance Strategy.
which is referenced in section HI. C. of
the auditing policy. The Strategy should
'be completed and available on request
from EPA's Office of Federal Activities
later this year.
EPA thanks all commenters for
responding to the November 8.1985
publication. Today's notice is being
issued to inform regulated entities and
the public of EPA's final policy toward
environmental auditing. This policy was
developed to help (a) encourage
regulated entities to institutionalize
effective audit practices as one means of
improving compliance and sound
environmental management, and (b)
guide internal EPA actions directly
related to regulated entities'
environmental auditing programs.
EPA will evaluate implementation of
this final policy to ensure it meets the
above goals and continues to encourage
better environmental management,
while strengthening the Agency's own
efforts to monitor and enforce
compliance with environmental
requirements.
II. General EPA Policy on
Environmental Auditing
A. Introduction
Environmental auditing is a
systematic, documented, periodic and
objective review by regulated entities '
of facility operations and practices
related to meeting environmental
requirements. Audits can be designed to
accomplish any or all of the following:
verify compliance with environmental
requirements: evaluate the effectiveness
of environmental management systems
already in place: or assess risks from
regulated and unregulated materials and
practices.
Auditing serves as a quality assurance
check to help improve the effectiveness
of basic environmental management by
verifying that management practices are
in place, functioning and adequate.
Environmental audits evaluate, and are
not a substitute for, direct compliance
activities such as obtaining permits,
installing controls, monitoring
compliance, reporting violations, and
keeping records. Environmental auditing
may verify but does not include
activities required by law, regulation or
permit (e.g.. continuous emissions
monitoring, composite correction plans
at wastewater treatment plants, etc.).
Audits do not in any way replace
regulatory agency inspections. However.
environmental audits can improve
compliance by complementing
conventional federal, state and local
oversight.
The appendix to this policy statement
outlines some basic elements of
environmental auditing (e.g.. auditor
independence and top management
support) for use by those considering
implementation of effective auditing
programs to help achieve and maintain
compliance. Additional information on
environmental auditing practices can be
found in various published materials.1
1 "Regulated enlitiei" include private firmi and
public agencies with facilities subject to
environmental regulation. Public agenciei can
include federal, state or local agencies a* well as
special-purpose organizations such as regional
sewage commissions.
* See. e.g.. "Current Practices in Environmental
Auditing." EPA Report No. EPA-230-09-8J-006,
February 1984: "Annotated Bibliography on
Environmental Auditing." Fifth Edition. September
19K5. both available from: Regulatory Reform Staff.
PM-223. EPA. 401 M Street SW. Washington. DC
20460.
Environmental auditing has developed
for sound business reasons, particularly
as a means of helping regulated entities
manage pollution control affirmatively
over time'instead of reacting to crises.
Auditing can result in improved facility
environmental performance, help
communicate effective solutions to
common environmental problems, focus
facility managers' attention on current
and upcoming regulatory requirements,
and generate protocols and checklists
which help facilities better manage
themselves. Auditing also can result in
better-integrated management of
environmental hazards, since auditors
frequently identify environmental
liabilities which go beyond regulatory
compliance. Companies, public entities
and federal facilities have employed a
variety of environmental auditing
practices in recent years. Several
hundred major firms in diverse
industries now have environmental
auditing programs, although they often
are known by other names such as
assessment, survey, surveillance, review
or appraisal.
While auditing has demonstrated its
usefulness to those with audit programs.
many others still do not audit. .
Clarification of EPA's position regarding
auditing may help encourage regulated
entities to establish audit programs or
upgrade systems already in place.
B. EPA Encourages the Use of
Environmental Auditing
EPA encourages regulated entities to
adopt sound environmental
management practices to improve
environmental performance. In
particular, EPA encourages regulated
entities subject to environmental
regulations to institute environmental
auditing programs to help ensure the
adequacy of internal systems to achieve.
maintain and monitor compliance.
Implementation of environmental
auditing programs can result in better
identification, resolution and avoidance
of environmental problems, as well as
improvements to management practices.
Audits can be conducted effectively by
independent internal or third party
auditors. Larger organizations generally
have greater resources to devote to an
internal audit team, while smaller
entities might be more likely to use
outside auditors.
Regulated entities are responsible for
taking all necessary steps to ensure
compliance with environmental
requirements, whether or not they adopt
audit programs. Although environmental
laws do not require a regulated facility
to have an auditing program, ultimate
responsibility for the environmental
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performance of the facility lies with top
management, which therefore has a
strong incentive to use reasonable
means, such as environmental auditing.
to secure reliable information of facility
compliance status.
EPA does not intend to dictate or
interfere with the environmental
management practices of private or
public organizations. Nor does EPA
intend to mandate auditing (though in
certain instances EPA may seek to
include provisions for environmental
auditing as part of settlement
agreements, as noted below). Because
environmental auditing systems have
been widely adopted on a voluntary
basis in the past, and because audit
quality depends to a large degree upon
genuine management commitment to the
program and its objectives, auditing
should remain a voluntary activity.
III. EPA Policy on Specific
Environmental Auditing Issues
A. Ag~. -y Requests for Audit Reports
EPA has broad statutory authority to
request relevant information on the
environmental compliance status of
regulated entities. However. EPA
believes routine Agency requests for
audit reports 3 could inhibit auditing in
the long run. decreasing both the
quantity and quality of audits
conducted. Therefore, as a matter of
policy. EPA will not routinely request
environmental audit reports.
EPA's authority to request an audit
report, or relevant portions thereof, will
be exercised on a case-by-case basis
where the Agency determines it is
needed to accomplish a statutory
mission, or where the Government
deems it to be material to a criminal
investigation. EPA expects such
requests to be limited, most likely
focused on particular information needs
rather than the entire report, and usually
made where the information needed
cannot be obtained from monitoring,
reporting or other data otherwise
available to the Agency. Examples
would likely include situations where:
audits are conducted under consent
decrees or other settlement agreements:
a company has placed its.management
practices at issue by raising them as a
defense: or state of mind or intent are a
relevant element of inquiry, such as
during a criminal investigation. This list
' An "environmental audit report" ii a written
report which candidly and thoroughly presents
findings from a review, conducted as part of an
environmental audit as described In section H.A.. of
facility environmental performance and practices.
An audit report is not a substitute for compliance
monitoring reports or other reports or records which
may be required by EPA or other regulatory
agencies.
is illustrative rather than exhaustive.
since there doubtless will be other
situations, not subject to prediction, in
which audit reports rather than
information may be required.
EPA acknowledges regulated entities
need to self-evaluate environmental
performance with some measure of
privacy and encourages such activity.
However, audit reports may not shield
monitoring, compliance, or other
information that would otherwise be
reportable and/or accessible to EPA,
even if there is no explicit 'requirement'
to generate that data.4 Thus, this policy
does not alter regulated entities' existing
or future obligations to monitor, record
or report information required under
environmental statutes, regulations or
permits, or to allow EPA access to that
information. Nor does this policy alter
EPA's authority to request and receive
any relevant informationincluding thai
contained in audit reportsunder
various environmental statutes (e.g..
Clean Water Act section 308. Clean-Air
Act sections 114 and 208) or in other
administrative or judicial proceedings.
Regulated entities also should be
aware that certain audit findings may by
law have to be reported to government
agencies. However, in addition to any
such requirements. EPA encourages
regulated entities to notify appropriate
State or Federal officials of findings
which suggest significant environmental
or public health risks, even when not
specifically required to do so.
B. EPA Response to Environmental
Auditing
1. General Policy
EPA will not promise to forgo
inspections, reduce enforcement
responses, or offer other such incentives
in exchange for implementation of
environmental auditing or other sound
environmental management practices.
Indeed, a credible enforcement program
provides a strong incentive for regulated
entities to audit.
Regulatory agencies have an
obligation to assess source compliance
status independently and cannot
eliminate inspections for particular firms
or classes of firms. Although
environmental audits may complement
inspections by providing self-
assessment to assure compliance, they
are in no way a substitute for regulatory
oversight. Moreover, certain statutes
(e.g. RCRA) and Agency policies
establish minimum facility inspection
frequencies to which EPA will adhere.
However. EPA will continue to
address environmental problems on a
priority basis and will consequently
inspect facilities with poor
environmental records and practices
more frequently. Since effective
environmental auditing helps
management identify and promptly
correct actual or potential problems,
audited facilities' environmental
performance should improve. Thus.
while EPA inspections of self-audited
facilities will continue, to the extent that
compliance performance is considered
in setting inspection priorities, facilities
with a good compliance history may be
subject to fewer inspections.
In fashioning enforcement responses
to violations. EPA policy is to take into
account, on a case-by-case basis, the
honest and genuine efforts of regulated
entities to avoid and promptly correct
violations and underlying environmental
problems. When regulated entities take
reasonable precautions to avoid
noncompliance. expeditiously correct
underlying environmental problems
discovered through audits or other
means, and implement measures to
prevent their recurrence. EPA may
exercise its discretion to consider such
actions as honest and genuine efforts to
assure compliance. Such consideration
applies particularly when a regulated
entity promptly reports violations or
compliance data which otherwise were
not required to be recorded or reported
to EPA.
2. Audit Provisions as Remedies in
Enforcement Actions
EPA may propose environmental
auditing provisions in consent decrees
and in other settlement negotiations
where auditing could provide a remedy
for identified problems and reduce the
likelihood of similar problems recurring
in the future.5 Environmental auditing
provisions are most likely to be
proposed in settlement negotiations
where:
A pattern of violations can be
attributed, at least in part, to the
absence or poor functioning of an
environmental management system: or
The type or nature of violations
indicates a likelihood that similar
noncompliance problems may exist or
occur elsewhere in the facility or at
other facilities operated by the regulated
entity.
4 See. for example. "Duties to Report or Disclose
Information on the Environmental Aspects of
Business Activities." Environmental Law Institute
report lo EPA. final report. September 1985.
EPA is developing guidance for use by Agency
negotiators in structuring appropriate environmental
audit provisions for consent decrees and other
settlement negotiations.
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Through this consent decree approach
und other means. EPA may consider
how to entourage effective auditing by
publicly owned sewage treatment works
(POTWs). POTWs often have
compliance problems related to
operation und maintenance procedures
which can be addressed effectively
through thn use of environmental
auditing. Under its National Municipal
Policy EPA already is requiring many
POTWs to develop composite correction
plans to identify and correct compliance
problems.
C. Environmental Auditing at Federal
Ficilities
EPA encourages all federal agencies
subject to environmental laws and
regulations to institute environmental
auditing systems to help ensure the
adequacy of internal systems to achieve,
maintain and monitor compliance.
Environmental auditing at federal
facilities can be an effective supplement
to EPA and state inspections. Such
federal facility environmental audit
programs should be structured to
promptly identify environmental
problems and expenditiously develop
schedules for remedial action.
To the extent feasible, EPA will
provide technical assistance to help
federal agencies design and initiate
audit programs. Where appropriate, EPA
will enter into agreements with other
agencies to clarify the respective roles,
responsibilities and commitments of
each agency in conducting and
responding to federal facility
environmental audits.
With respect to inspections of self-
audited facilities (see section III.B.I
above) and requests for audit reports
(see section HI.A above). EPA generally
will respond to environmental audits by
federal facilities in the same manner as
it does for other regulated entities, in
keeping with the spirit and intent of
Executive Order 120B8 and the EPA
Federal Facilities Compliance Strategy
(January 1984. update forthcoming in
late 1986). Federal agencies should.
however, be aware that the Freedom of
Information Act will govern any
disclosure of audit reports or audit-
generated information requested from
federal agencies by the public.
When federal agencies discover
significant violations through an
environmental audit. EPA encourages
them to dubmit the related audit findings
and remedial action plans expeditiously
to the applicable EPA regional office .
(and responsible state agencies, where
appropriate) even when not specifically
required to do so. EPA will review the
audit findings and action plans and
either provide written approval or
negotiate a Federal Facilities
Compliance Agreement. EPA will utilize
the escalation procedures provided in
Executive Order 12088 and the EPA
Federal Facilities Compliance Strategy
only when agreement between agencies
cannot be reached. In any event, federal
agencies are expected to report pollution
abatement projects involving costs
(necessary to correct problems
discovered through the audit) to EPA in
accordance with OMB Circular A-106.
Upon request, arid in appropriate
circumstances, EPA will assist affected
federal agencies through coordination of
any public release of audit findings with
approved action plans once agreement
has been reached.
IV. Relationship to State or Local
Regulatory Agencies
State and local regulatory agencies
have independent jurisdiction over
regulated entities. EPA encourages them
to adopt these or similar policies, in
order to advance the use of effective
environmental auditing in a consistent
manner.
EPA recognizes that some states have
already undertaken environmental
auditing initiatives which differ
somewhat from this policy. Other states.
also may want to develop auditing
policies which accommodate their
particular needs or circumstances.
Nothing in this policy statement is
intended to preempt or preclude states
from developing other approaches to
environmental auditing. EPA encourages
state and local authorities to consider
the basic principles which guided the
Agency in developing this policy:
Regulated entities must continue to
report or record compliance information
required under existing statutes or
regulations, regardless of whether such
information is generated by an
environmental audit or contained in an
audit report. Required information
cannot be withheld merely because it is
generated by an audit rather than by
some other means.
Regulatory agencies cannot make
promises to forgo or limit enforcement
action against a particular facility or
class of facilities in exchange for the use
of environmental auditing systems.
However, such agencies may use their
discretion to adjust enforcement actions
on a case-by-case basis in response to
honest and genuine efforts by regulated
entities to assure environmental
compliance.
When setting inspection priorities
regulatory agencies should focus to the
extent possible on compliance
performance and environmental results.
Regulatory agencies must continue
to meet minimum program requirements
(e.g.. minimum inspection requirements.
etc.).
Regulatory agencies should not
attempt to prescribe the precise form
and structure of regulated entities'
environmental management or auditing
programs.
An effective state/federal partnership
is needed to accomplish the mutual goal
of achieving and maintaining high levels
of compliance with environmental laws
and regulations. The greater the
consistency between state or local
policies and this federal response to
environmental auditing, the greater the
degree to which sound auditing
practices might be adopted and
compliance levels improve.
Dated: June 28,1966.
Lee M. Thomas.
Administrator.
AppendixElements of Effective
Environmental Auditing Programs
Introduction: Environmental auditing
is a systematic, documented, periodic
and objective review by a regulated
entity of facility operations and
practices related to meeting
environmental requirements.
Private sector environmental audits of
facilities have been conducted for
several years and have taken a variety
of forms, in part to accommodate unique
organizational structures and
circumstances. Nevertheless, effective
environmental audits appear to have
certain discernible elements in common
with other kinds of audits. Standards for
internal audits have been documented
extensively. The elements outlined
below draw heavily on two of these
documents: "Compendium of Audit
Standards" (*1983, Walter Willborn,
American Society for Quality Control)
and "Standards for the Professional
Practice of Internal Auditing" (*1981,
The Institute of Internal Auditors, Inc.).
They also reflect Agency analyses
conducted over the last several years.
Performance-oriented auditing
elements are outlined here to help
accomplish several objectives. A general
description of features of effective,
mature audit programs can help those
starting audit programs, especially
federal agencies and smaller businesses.
These elements also indicate the
attributes of auditing EPA generally
considers important to ensure program
effectiveness. Regulatory agencies may
use these elements in negotiating
environmental auditing provisions for
consent decrees. Finally, these elements
can help guide states and localities
considering auditing initiatives.
A-5
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Federal Register / Vol. 51, No. 131 /Wednesday. July 9. 1986 / Notices
25009
An effective environmental auditing
system will likely include the following
general elements:
I. Explicit top management support for
environmental auditing and
commitment to follow-up on audit
findings. Management support may be
demonstrated by a written policy
articulating upper management support
for the auditing program, and for
compliance with all pertinent
requirements, including corporate
policies and permit requirements as well
as federal/state and local statutes and
regulations.
Management support for the auditing
program also should be demonstrated
by an explicit written commitment to
follow-up on audit findings to correct
identified problems and prevent their
recurrence.
II. An environmental auditing function
independent of audited activities. The
status cr organizational locus of
environmental auditors should be
sufficient to ensure objective and
unobstructed inquiry, observation and
testing. Auditor objectivity should not
be impaired by personal relationships,
financial or other conflicts of interest,
interference with free inquiry or
judgment, or fear of potential
retribution.
III. Adequate team staffing and
auditor training. Environmental auditors
should possess or have ready access to
the knowledge, skills, and disciplines
needed to accomplish audit objectives.
Each individual auditor should comply
with the company's professional
standards of conduct. Auditors, whether
full-time or part-time, should maintain
their technical and analytical
competence through continuing
education and training.
IV. Explicit audit program objectives.
scope, resources and frequency. At a
minimum, audit objectives should
include assessing compliance with
applicable environmental laws and
evaluating the adequacy of internal
compliance policies, procedures and
personnel training programs to ensure
continued compliance.
Audits should be based on a process
which provides auditors: all corporate
policies, permits, and federal, state, and
local regulations pertinent to the facility:
and checklists or protocols addressing
specific features that should be
evaluated by auditors.
Explicit written audit procedures
generally should be used for planning
audits, establishing audit scope,
examining and evaluating audit findings,
communicating audit results, and
following-up.
V. A process which collects, analyzes,
interprets and documents information
sufficient to achieve audit objectives.
Information should be collected before
and during an onsite visit regarding
environmental compliance!;),
environmental management
effectiveness^), and other matters (3)
related to audit objectives and scope.
This information should be sufficient
reliable, relevant and useful to provide a
sound basis for audit findings and
recommendations.
a. Sufficient information is factual.
adequate and convincing so that a
prudent, informed person would be
likely to reach the same conclusions as
the auditor.
b. Reliable information is the best
attainable through use of appropriate
audit techniques.
c. Relevant information supports audit
findings and recommendations and is
consistent with the objectives for the
audit.
d. Useful information helps the
organization meet its goals.
The audit process should include a
periodic review of the reliability and
integrity of this information and the
means used to identify, measure.
classify and report it. Audit procedures,
including the testing and sampling
techniques employed, should be selected
in advance, to the extent practical, and
expanded or altered if circumstances
warrant. The process of collecting.
analyzing, interpreting, and
documenting information should provide
reasonable assurance that audit
objectivity is maintained and audit goals
are met.
VI. A process which includes specific
procedures to promptly prepare candid.
clear and appropriate written reports on
audit, findings, corrective actions, and
schedules for implementation.
Procedures should be in place to ensure
that such information is communicated
to managers, including facility and
corporate management, who can
evaluate the information and ensure
correction of identified problems.
Procedures also should be in place for
determining what internal findings are
reportable to state or federal agencies.
VII. A process which includes quality
assurance procedures to assure the
accuracy and thoroughness of
environmental audits. Quality assurance
may be accomplished through
supervision, independent internal
reviews, external reviews, or a
combination of these approaches.
Footnotes to Appendix
[1] A comprehensive assessment of
compliance with federal environmental
regulations requires an analysis of facility
performance against numerous
environmental statutes and implementing
regulations. These statutes include:
Resource Conservation and Recover}' Act
Federal Water Pollution Control Act
Clean Air Act
Hazardous Materials Transportation Act
Toxic Substances Control Act
Comprehensive Environmental Response.
Compensation and Liability Act
Safe Drinking Water Act
Federal Insecticide. Fungicide and
Rodenticide Act
Marine Protection. Research and Sanctuaries
Act
Uranium Mill Tailings Radiation Control Act
In addition, state and local government are
likely to have their own environmental laws.
Many states have been delegated authority to
administer federal programs. Many local
governments' building, fire, safety and health
codes also have environmental requirements
relevant to an audit evaluation.
(2) An environmental audit could go well
beyond the type of compliance assessment
normally conducted during regulatory
inspections, for example, by evaluating
policies and practices, regardless of whether
they are part of the environmental system or
the operating and maintenance procedures.
Specifically, audits can evaluate the extent to
which systems or procedures:
1. Develop organizational environmental
policies which: a. implement regulatory
requirements: b. provide management
guidance for environmental hazards net
specifically addressed in regulations:
2. Train and motivate facility personnel to
work in an environmentally-acceptable
manner and to understand and comply with
government regulations and the entity's
environmental policy:
3. Communicate relevant environmental
developments expeditiously to facility and
other personnel;
4. Communicate effectively with
government and the public regarding serious
environmental incidents:
5. Require third parties working for. with or
on behalf of the organization to follow its
environmental procedures:
A-6
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25010 Federal Register / Vol. 51. No. 131 / Wednesday. July 9. 1986 / Notices
6. Make proficient personne^available at
all times to carry out envirortmeiftal
(especially emergency) procedures;
7. Incorporate environmental protection
into written operating procedures:
8. Apply best management practices and
operating procedures, including "good
housekeeping" techniques;
9. Institute preventive and corrective
maintenance systems to minimize actual and
potential environmental harm;
10. Utilise best available process and
control technologies:
11. Use most-effective sampling and
monitoring; techniques, test methods,
recordkeeping systems or reporting protocols
(beyond minimum legal requirements):
12. Evaluate causes behind any serious
environmental incidents and establish
procedures to avoid recurrence;
13. Exploit source reduction, recycle and
reuse potential wherever practical: and
14. Substitute materials or processes to
allow use of the least-hazardous substances
feasible.
(J) Auditors could also assess
environmental risks and uncertainties.
|FR Doc. 96-15423 Filed 7-8-86 8:45 am]
BILLING CODE SMO-9O-M
A-7
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APPENDIX B
LIST OF STATE AGENCIES AND ADDRESSES
ALABAMA
Waste
Department of Environmental Management
Land DivisionSolid/Hazardous Waste
1751 Federal Drive
Montgomery, AL 36130
205/271-7761/271-7735
Water
Department of Environmental Management
Water DivisionWater Quality Planning
1751 Federal Drive
Montgomery, AL 36130
205/271-7825
Air
Department of Environmental Management
Air Division
1751 Federal Drive
Montgomery, AL 36130
205/271-7861
Noise
Air Pollution Control Board
645 South McDonough Street
Montgomery, AL 36130
205/834-6570
ALASKA
Waste
Department of Environmental Conservation
Environmental Quality Management Section
Solid Waste Management Section
Pouch O
Juneau, Alaska 99811
907/465-2667
Water
Department of Environmental Conservation
Division of Environmental Quality Management
Pouch 0
Juneau, Alaska 99811
907/465-2640
B-1
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Air
Department of Environmental Conservation
Pouch 0
Juneau, Alaska 99811
907/465-2666
ARIZONA
Waste
Department of Health Services
Office of Waste and Water Quality Management
2005 North Central Avenue
Phoenix, AZ 85004
602/257-2235
Water
Department of Health Services
Office of Waste and Water Quality Management
2005 N. Central Avenue
Phoenix, AZ 85004
602/257-2305
Air
Department of Health Services
Office of Air Quality Control
2005 N. Central Avenue
Phoenix, AZ 85004
602/257-2308
Noise
Department of Health Sciences
1740 West Adams Street
Phoenix, AZ 85007
ARKANSAS
Waste
Department of Pollution Control and Ecology
Solid Waste Division
P.O. Box 9583
Little Rock, AR 72219
916/562-7444
Water
Department of Pollution Control and Ecology
Water Division, 208 Planning Section
8001 National Drive
Little Rock, AR
501/562-7444
B-2
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his.
Department of Pollution Control and Ecology
Air Division
8001 National Drive
Little Rock, AR 72219
501/562-7444
Noise
Motor Vehicle Division
Department of Finance and Administration
7th and Wolf Streets
Little Rock, AR 72201
CALIFORNIA
Waste
Solid Waste Management Board
1020 9th Street, Suite 300
Sacramento,/CA 95814
916/322-3/330
Water Resources Control Board
P.O. Box 100
901 P Street
Sacramento, CA 95801
Mr
Air Resources Board
P.O. Box 2815
1102 Q Street
Sacramento, CA 95812
916/322-2990
Noise
Highway Patrol
P.O. Box 898
2555 First Avenue
Sacramento, CA 95818
COLORADO
Waste
Department of Health
Hazardous Materials and Waste Management Division
4210 East llth Avenue
Denver, CO 80220
303/331-4830
B-3
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Water
Department of Health
Water Quality Control Division
4210 East llth Avenue
Denver, CO 80220
303/320-8333
Air
Department of Health
Air Pollution Control Division/Commission
4210 East llth Avenue
Denver, CO 80220
303/331-8500
Noise
Department of Health
4210 East llth Avenue
Denver, CO 80220
CONNECTICUT
Waste
Department of Environmental Protection
Division of Environmental Quality
Solid Waste Management Unit
State Office Building
165 Capitol Avenue
Hartford, CT 06106
203/566-4869
Water
Department of Environmental Protection
Water Compliance and Hazardous Substances
122 Washington Street
Hartford, CT 06106
203/566-3245
Air
Department of Environmental Protection
Air Compliance Unit
State Office Building
165 Capitol Avenue
Hartford, CT 06106
203/566-4030
Noise
Department of Motor Vehicles
60 State Street
Wethersfield, CT 06109
B-4
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DELAWARE
Waste
Department of Natural Resources and Environmental Control
Division of Environmental Control
Solid Waste/Hazardous Waste Section
Edward Tatnall Building, P.O. Box 1401
Dover, DE 19903
302/736-4781
Water
Department of Natural Resources and Environment Control
Division of Water Resources
89 Kings Highway
P.O. Box 1401
Dover, DE 19903
302/736-4761
Air
Department of Natural Resources and Environmental Control
Air Resources Section
P.O. Box 1401
89 Kings Highway
Dover, DE 19903
302/736-4791
DISTRICT OF COLUMBIA
Waste
Public Space Maintenance Administration
Bureau of Sanitation Services
Solid Waste Disposal Division
4701 Shepherd PKWY., SW
Washington, D.C. 20032
202/767-8512
Water
Department of Consumer and Regulatory Affairs
Environmental Control Division
5010 Overlook Avenue, SW
Washington, D.C. 20032
202/767-7370
Air
Department of Consumer and Regulatory Affairs
Environmental Control Division
5010 Overlook Avenue, SW
Washington, D.C. 20032
202/767-7370
B-5
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FLORIDA
Waste
Department of Environmental Regulation
Division of Environmental Programs
2600 Blairstone Road
Tallahassee, FL 32301
904/487-1855
Water
Department of Environmental Regulation
Division of Environmental Programs
Water Quality Planning Section
2600 Blair Stone Road, Suite 531
Twin Towers Office Bldg.
Tallahassee, FL 32301
904/488-0780
Air
Department of Environmental Regulation
Air Quality Management Bureau
Twin Towers Office Bldg.
2600 Blair Stone Road
Tallahassee, FL 32399-2400
904/488-1344
GEORGIA
Waste
Department of Natural Resources
Environmental Protection Division
Land Protection Branch
270 Washington Street, SW
Atlanta, GA 30334
404/656-2833
Water
Department of Natural Resources
Environmental Protection Division, Water Protection Branch
270 Washington Street, SW, Room 702
Atlanta, GA 30334
404/656-4887
Air
Department of Natural Resources
Environmental Protection Division, Air Protection Branch
270 Washington Street, SW, Room 816
Atlanta, GA 30334
404/656-6900
B-6
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HAWAII
Waste
Department of Health
Pollution Investigation and Enforcement Division
P.O. Box 3378
Honolulu, HI 96801
808/548-6355
Water
Department of Health
Pollution Investigation and Enforcement Division
P.O. Box 3378
Honolulu, HI 96801
808/548-6505
Air:
Department of Health
Pollution Investigation and Enforcement Division
P.O. Box 3378
Honolulu, HI 96801
808/548-6505
IDAHO
Waste
Department of Health and Welfare
Division of Environment
Bureau of Hazardous Materials
450 W. State Street
Boise, ID 83720
208/334-5879
Water
Department of Health and Welfare
Bureau of Water Quality
State House
Boise, ID 83720
208/334-5867
AjLr
Department of Health and Welfare
Division of Environment
Bureau of Air Quality
450 W. State Street
State House
Boise, ID 83720
208/334-5898
B-7
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ILLINOIS
Waste
Environmental Protection Agency
Land Pollution Control Division
2200 Churchill Road
P.O. Box 19276
Springfield, IL 62706
217/782-6762
Water
Environmental Protection Agency
Division of Water Pollution Control
2200 Churchill Road
P.O. Box 19276
Springfield, IL 62794-9276
217/782-1654
Air
Environmental Protection Agency
Division of Air Pollution Control
2200 Churchill, IL 62794-9276 62706
217/782-7326/7327
Noise
Pollution Control Board
309 W. Washington Street, Suite 300
Chicago, IL 60606
INDIANA
Waste
Office of Solid and Hazardous Waste Management
105 South Meridian Street
P.O. Box 6015
Indianapolis, IN 46206-6015
317/232-3210
Water
Office of Water Management
105 South Meridian Street
P.O. Box 6015
Indianapolis, IN 46206-6015
317/232-8488
Air
Office of Air Management
105 South Meridian Street
P.O. Box 6015
Indianapolis, IN 46206-6015
317/232-8221
Noise
Environmental Management Board
1330 W. Michigan Street
Indianapolis, IN 46206
B-8
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IOWA
Waste
Department of Natural Resources
Environmental Protection Division
Air Quality and Solid Waste Protection Bureau
Wallace State Office Building
900 East Grand Avenue
Des Moines, IA 50319
515/281-8690
Water
Department of Natural Resources
Surface and Ground Water Protection
Wallace State Office Building
900 East Grand Avenue
Des Moines, IA 50319
515/281-8690
Air
Department of Natural Resources
Environmental Protection Division
Air Quality and Solid Waste Protection Bureau
Wallace State Office Building
900 East Grand Avenue
Des Moines, IA 50319
515/281-8690
KANSAS
Waste
Department of Health and Environment
Solid Waste Management Division
740 Forbes Building
Topeka, KS 66620
913/862-9360
Water
Department of Health and Environment
Division of Environment
Bureau of Water Quality
Forbes AFB Building No. 740
Topeka, KS 66620
913/862-9360, x257
Air
Department of Health and Environment
Division of Environment
Air Quality and Radiation Control
Forbes AFB Building No. 740
Topeka, KS 66620
913/296-1500
B-9
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Noise
Department of Transportation
Engineering Services
State Office Building
Topeka, KS 66612
KENTUCKY
Waste
Natural Resources and Environmental Protection Cabinet
Division of Waste Management
18 Reilly Road, Ft. Boone Plaza
Frankfort, KY 40601
502/564-6716
Water
Natural Resources and Environmental Protection Cabinet
Division of Water
18 Reilly Road, Ft. Boone Plaza
Frankfort, KY 40601
502/564-3410
Air
Natural Resources and Environmental Protection Cabinet
Division for Air Quality
18 Reilly Road, Ft. Boone Plaza
Frankfort, KY 40601
502/564-3382
Noise
Department For Environmental Protection
Natural Resources and Environmental Protection Cabinet
18 Reilly Road, Ft. Boone Plaza
Frankfort, KY 40601
502/564-5576
LOUISIANA
Waste
Department of Environmental Quality
Office of Solid and Hazardous Waste ,
Solid Waste Division
P.O. Box 44307
Baton Rouge, LA 70804
504/342-4677
Water
Department of Health and Human Resources
Office of Preventive and Public Health Services
Safe Drinking Water Program
P.O. Box 60630
New Orleans, LA 70160
504/568-5101
B-10
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A:Lr
Department of Environmental Quality
Air Quality Division
P.O. Box 44096
Baton Rouge. LA 70804
504/342-1206
MAINE
Waste
Department of Environnmental Protection
Bureau of Oil & Hazardous Materials Control
State House Station 17
Augusta, ME 04333
207/289-2631
Water
Department of Environmental Protection
Bureau of Water Quality Control
State House, Station 17
Augusta, ME 04333
207/289-3355
Air
Department of Environmental Protection
Bureau of Air Quality Control
State House, Station 17
Augusta, ME 04333
207/289-2437
MARYLAND
Waste
Department of the Environment
Hazardous and Solid Waste Management Administration
201 West Preston Street
Baltimore, MD 21201
301/225-5647
Water
Department of Natural Resources
Water Resources Administration
Tawes State Office Building
Annapolis, MD 21401
301/974-3846
Department of the Environment
Water Management Administration
201 West Preston Street
Baltimore, MD 21201
301/225-6300
B-11
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Air
Department of the Environment
Air Management Administration
Bureau of Air Quality Control
201 West Preston Street
Baltimore, MD 21201
301/225-5235
MASSACHUSETTS
Waste
Executive Office of Environmental Affairs
Department of Environmental Quality Engineering
Solid and Hazardous Waste Division
1 Winter Street
Boston, MA 02108
617/292-5589
Water
Department of Environmental Quality Engineering
Division of Water Pollution Control
1 Winter Street
Boston, MA 02108
617/292-5673
Department of Environmental Quality Engineering
Division of Water Supply
1 Winter Street
Boston, MA 02108
617/292-5770
Air
Department of Environmental Quality Engineering
Division of Air & Hazardous Materials
1 Winter Street
Boston, MA 02108
617/292-5630
Noise
Division of Air Quality Control
Department of Environmental Quality Engineering
1 Winter Street
Boston, MA 02108
617/292-5630
MICHIGAN
Waste
Department of Natural Resources
Ground Water Quality Division - Solid Waste
P.O. Box 30028
Lansing, MI 48909
517/373-2794
B-12
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Water
Department of Natural Resources
Water Resources Commission
Surface Water Quality Division
P.O. Box 30028
Lansing, MI 48909
517/373-1949
Air:
Department of Natural Resources
Air Quality Division
P.O. Box 30028
Lansing, MI 48909
517/373-7023
Noise
Department of Transportation
425 West Ottawa
P.O. Box 30050
Lansing, MI 48909
517/373-2090
MINNESOTA
Waste
Minnesota Pollution Control Agency
Solid and Hazardous Waste Division
520 Lafayette Road North
St. Paul, MN 55155
612/296-7340
Water
Minnesota Pollution Control Agency
Division of Water Pollution Control
520 Lafayette Road North
St. Paul, MN 55155
612/296-7202
Air
Minnesota Pollution Control Agency
Division of Air Quality
520 Lafayette Road North
St. Paul, MN 55155
612/296-7331
Noise
Noise Pollution Control Section
Pollution Control Agency
1935 West County Road B-2
Roseville, MN 55113
B-13
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MISSISSIPPI
Waste
Department of Natural Resources
Bureau of Pollution Control
P.O. Box 10385
Jackson, MS 39209
601/961-5063
Water
Department of Natural Resources
Bureau of Pollution Control
P.O. Box 10385, Southport Mall
Jackson, MS 39209
601/961-5171
Air
Department of Natural Resources
Bureau of Pollution Control
P.O. Box 10385, Southport Mall
Jackson, MS 39209
601/961-5171
Noise
Department of Natural Resources
Bureau of Pollution Control
P.O. Box 10385, Southport Mall
Jackson, MS 39209
601/961-5171
MISSOURI
Waste
Department of Natural Resources
Division of Environmental Quality
Waste Management Program
Jefferson State Office Bldg.,
205 Jefferson Street
P.O. Box 176
Missouri Boulevard
Jefferson City, MO 65102
314/751-3176
Water
Department of Natural Resources
Water Quality Program
Division of Environmental Quality
Jefferson State Office Bldg.,
101 Jefferson Street
Jefferson City, MO 65102
314/751-1300
B-14
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Air
Department of Natural Resources
Division of Environmental Quality
Air Pollution Control Program
Jefferson State Office Bldg.,
205 Jefferson Street
P.O. Box 176
Missouri Boulevard
Jefferson City, MO 65102
314/751-4817
Noise
Highway and Transportation Division
P.O. Box 270
Jefferson City, MO 65102
314/751-2551
MONTANA
Waste
Department of Health and Environmental Sciences
Environmental Sciences Division
Solid Waste Management Bureau
Cogswell Building
Helena, MT 59620
406/444-2821
Water
Department of .Health and Environmental Sciences
Division of Environmental Sciences
Water Quality Bureau
Cogswell Bldg. Room A206
Helena, MT 59620
406/444-2406
Air
Department of Health and Environmental Sciences
Division of Environmental Sciences
Air Quality Bureau
Cogswell Bldg. Room A116
Helena, MT 59620
406/444-3454
NEBRASKA
Waste
Department of Environmental Control
P.O. Box 94877
State Office Building
Lincoln, NE 68509
402/471-2186
B-15
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Water
Department of Environmental Control
Water Pollution Control Division
P.O. Box 94877
301 Centennial Mall
Lincoln, NE 68509
402/471-2186
Air
Department of Environmental Control
Air Pollution Division
P.O. Box 94877
301 Centennial Mall
Lincoln, NE 68509
402/471-2186
Noise
Air Pollution Control Division
Department of Environmental Control
Box 94877, State House Station
Lincoln, NE 68509
NEVADA
Waste
Department of Conservation and Natural Resources
Division of Environmental Protection
201 South Fall Street, Capitol Complex
Carson City, NV 89710
702/885-4670
Water
Department of Conservation and Natural Resources
Water Resources Division
201/South Fall Street, Capitol Complex, Nye Bldg,
Carson City, NV 89710
702/885-4380
Air
Department of Conservation and Natural Resources
Air Quality Office
Capitol Complex
201 South Fall Street
Carson City, NV 89710
702/885-4670
Noise
Department of Motor Vehicles
555 Wrightway
Carson City, NV 89701
B-16
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NEW HAMPSHIRE
Waste
Department of Health and Human Services
Bureau of Solid Waste Management/Hazardous Waste Management
6 Hazen Drive
Concord, NH 03301
603/271-2900
Water
Water Supply and Pollution Control Commission
Health and Human Services Bldg.
(5 Hazen Drive
P.O. Box 95
Concord, NH 03301
603/271-3504
Air.
Air Resources Agency
64 N. Main Street
Concord, NH 03301
603/271-4582
NEW JERSEY
Waste
Department of Environmental Protection
Solid Waste Division/Hazardous Waste Bureau
401 East State Street
CN 402
Trenton, NJ 08625
609/292-9120/292-9877
Water
Department of Environmental Protection
Division of Water Resources
401 East State Street
P.O. Box CN029
Trenton, NJ 08625
609/292-1638
Air
Department of Environmental Protection
Division of Environmental Quality
Bureau of Air Pollution Control
401 East State Street
Trenton, NJ 08625
609/292-5450
Noise
Office of Noise Control
65 Prospect Avenue
Trenton, NJ 08618
B-17
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NEW MEXICO
Waste
Health and Environment Department
Environment Improvement Division
Harold Runnels State Office Bldg.
1190 St. Francis Drive
P.O. Box 968
Santa Fe, NM 87504
505/827-2779; 827-2929
Water
Health and Environment Department
Environment Improvement Division
Surface Water Quality
Harold Runnels State Office Bldg.
1190 St. Francis Drive
P.O. Box 968
Santa Fe, NM 87504-0968
505/827-2918
Air
Health and Environment Department
Environment Improvement Division
Air Quality Bureau
Harold Runnels State Office Bldg.
1190 St. Francis Drive
P.O. Box 968
Santa Fe, NM 87504-0968
505/827-0070
Noise
Transportation Department
Motor Vehicle Division
Manual Lujan Sr. Building
St. Francis and Luisa Streets
Santa Fe, NM 87503
NEW YORK
Waste
Department of Environmental Conservation
Solid Waste Management Division/Bureau of Hazardous Waste
50 Wolf Road
Albany, NY 12233
518/457-5861/457-3254
Water
Department of Environmental Conservation
Division of Waters
50 Wolf Road
Albany, NY 12233
518/457-6674
B-18
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Air
Department of Environmental Conservation
Division of Air Resources
50 Wolf Road
Albany, NY 12233
518/457-7230
Noise
Department of Environmental Conservation
Division of Solid Waste
Bureau of Hazardous Waste Technology
50 Wolf Road
Albany, NY 12233-0001
NORTH CAROLINA
Waste
Department of Human Resources
Division of Health Services
Solid and Hazardous Waste Management Branch
P.O. Box 2091
225 North McDowell Street
Raleigh, NC 27602
919/733-2178
Water
Department of Human Resources and Community Development
Division of Environmental Management
Water Quality Section
P.O. Box 27687
Raleigh, NC 27611
919/733-5083
Air
Department of Natural Resources and Community Development
Division of Environmental Management
Air Quality Section
P.O. Box 27687
Raleigh, NC 27611
919/733-6126
Noise
Noise Control Program
Air Quality Section
Division of Environmental Management
Department of Natural Resources and Community Development
P.O. Box 27687
Raleigh, NC 27611
B-19
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NORTH DAKOTA
Waste
Health Department
Environmental and Waste Management Research
Division
1200 Missouri Avenue
Bismarck, ND 58502
701/224-2382
Water
Department of Health
Division of Water Supply and Pollution Control
1200 Missouri Avenue, Room 203
Bismarck, ND 58502
701/224-2354
Air
Department of Health
Division of Environmental Engineering
1200 Missouri Avenue, Room 304
Bismarck, ND ' 58502
701/224-2348
OHIO
Waste
Environmental Protection Agency
Office of Land Pollution Control
361 East Broad Street
P.O. Box 1049
Columbus, OH 43215
614/466-7220
Water
Environmental Protection Agency
Waste Water Pollution Control
361 East Broad Street
P.O. Box 1049
Columbus, OH 43215
614/466-7427
Air
Environmental Protection Agency
Office of Air Pollution Control
361 East Broad Street
P.O. Box 1049
Columbus, OH 43215
614/466-6116
B-20
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Noise
Bureau of Motor Vehicles
240 Parsons Avenue
P.O. Box 7167
Columbus, OH 43295
614/466-2550
OKLAHOMA
Waste
Health Department
Environmental Health Services
Industrial and Solid Waste Service
1000 NE 10th Street
Oklahoma City, OK 73152
405/271-5338
Water
Department of Pollution Control
P.O. Box 53504
1000 N.E. 10th Street
Oklahoma City, OK 73152
405/271-4677
Air
Department of Health
Environmental Health Services
Air Quality Service
1000 N.E. 10th Street, P.O. Box 53551
Oklahoma City, OK 73152
405/271-5220
Noise
Department of Health
1000 N.E. 10th Street, P.O. Box 53551
Oklahoma City, OK 73152
OREGON
Waste
Department of Environmental Quality
Solid Waste Division
Executive Building
811 SW Sixth Avenue
Portland, OR 97204
503/229-5356
Water
Department of Environmental Quality
Water Quality Division
Executive Building
811 SW Sixth Avenue
Portland, OR 97204
503/229-5324
B-21
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Air
Department of Environmental Quality
Air Quality Division
Executive Building
811 SW Sixth Avenue
Portland, OR 97204
503/229-5397
Noise
Air Quality Control Division
Department of Environmental Quality
P.O. Box 1760
522 S.W. Fifth
Portland, OR 97207
PENNSYLVANIA
Waste
Department of Environmental Resources
Office of Environmental Protection
Bureau of Solid Waste Management
Fulton Building, P.O. Box 2063
Harrisburg, PA 17120
717/787-9870
Water
Department of Environmental Resources
Bureau of Waiter Quality Management
P.O. Box 2063 llth Floor/Fulton Bldg,
200 N. 3rd Street
Harrisburg, PA 17120
717/787-2666
Air
Department of Environmental Resources
Bureau of Air Quality Control
P.O. Box 2063 - 18th Floor/Fulton Bldg.
200 N. 3rd Street
Harrisburg, PA 17120
717/787-9702
Noise
Department of Environmental Resources
P.O. Box 2062
Fulton Bank Building
Harrisburg, PA 17120
B-22
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PUERTO RICO
Waste
Environmental Quality Board
Solid and hazardous Waste Bureau
P.O. Box 11488
Santurce, PR 00910
809/725-5140
Water
Environmental Quality Board
Division of Water/Water Resources
P.O. Box 11488
Santurce, PR 00910
809/725-5140
Environmental Quality Board
Air Quality Bureau
P.O. Box 11488
Santurce/ PR 00910
809/725-5140
RHODE ISLAND
Waste
Department of Environmental Management
Division of Land Resources
75 Davis Street
Providence, RI 02908
401/277-2787
Water
Department of Environmental Management
Division of Water Resources
75 Davis Street, 209 Canon Bldg.
Providence, RI 02908
401/277-2734
Air
Department of Environmental Management
Division of Air and Hazardous Materials
75 Davis Street
Providence, RI 02908
401/277-2808
B-23
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SOUTH CAROLINA
Waste
Board of Health and Environmental Control
Bureau of Solid and Hazardous Waste
2600 Bull Street
Columbia, SC 29201
803/734-5200
Water
Department of Health and Environmental Control
Environmental Quality Control
2600 Bull Street
Columbia, SC 29201
803/734-5300
Air
Department of Health and Environmental Control
Bureau of Air Quality Control
2600 Bull Street
Columbia, SC 29201
803/734-4750
SOUTH DAKOTA
Waste
Department of Water and Natural Resources
Environmental Health Division
Joe Foss Building
Pierre, SD 57501
605/773-3329
Water
Department of Water and Natural Resources
Office of Drinking Water
Joe Foss Bldg., Room 209
120 E. Capitol
Pierre, SD 57501
605/773-3351
Air
Department of Water and Natural Resources
Office of Air Quality & Solid Waste
Joe Foss Bldg.,. 120 E. Capitol, Rm. 217.
Pierre, SD 57501
605/773-3329
B-24
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TENNESSEE
Waste
Department of Public Health
Bureau of Environmental Health Services
Solid Waste Management Division
Cordell Hull Building
Nashville, TN
615/741-3424
Water
Department of Public Health
Bureau of Environmental Health
Water Quality Control Division
344 Cordell Hull Bldg.
Nashville, TN 37219
615/741-3111
Air
Department of Public Health
Bureau of Environmental Health Services
Air Pollution Control Division
150 9th Ave. N.
Nashville, TN 37203
615/741-3931
TEXAS
Waste
Texas Water Commission
P.O. Box 13087
Capitol Station
Austin, TX 78711
512/463-7760
Water
Texas Water Commission
P.O. Box 13087
Capitol Station
Austin, TX 78711
512/463-8069
Air;
Air Control Board
6330 Highway 290 East
Austin, TX 78723
512/451-5711
B-25
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Noise
Department of Health
Division of Occupational Health & Radiation Control
Occupational Health Branch
1100 W. 49th Street
Austin, TX 78756
512/458-7111
UTAH
Waste
Department of Health
Division of Environmental Health
Bureau of Solid Waste Management
150 West North Temple Street
P.O. Box 2500
Salt Lake City, UT
801/533-4145
Water
Division of Environmental Health
Bureau of Water Pollution Control
P.O. 2500
150 West North Temple Street
Salt Lake City, UT
801/533-6146
Air
State Department of Health
Bureau of Air Quality
150 West North Temple Street
P.O. Box 2500
Salt Lake City, UT ,
801/533-6111
Noise
Department of Transportation
4501 South 27th West Street
Salt Lake City, UT 84119
801/965-4266
VERMONT
Waste
Environmental Conservation Agency
Waste Management Division
West Office Building
103 S. Main Steet
Waterbury, VT 05676
802/244-8702
B-26
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Water
Water Quality
Department of Water Resources
103 South Main Street
Room 10 North
Waterbury, Vermont 05676
802/244-5638
Air
Agency of Environmental Conservation
Air Pollution Control
Bldg. 3 South
103 S. Main Steet
Waterbury, VT 05676
802/244-8731
Agency of Transportation
Division of Engineering and Construction
133 State Street
Montpelier, VT 05602
VIRGINIA
Waste
Department of Waste Management
101 North Fourteenth Street
llth Floor, Monroe Building
Richmond, VA 23219
804/225-2667
Water
State Water Control Board
P.O. Box 11143
Richmond, VA 23230
804/257-0056
Air
State Air Pollution Control Board
P.O. Box 10089
Richmond, VA 23240
804/786-2378
Noise
Virginia Department of Highways and Transportation
1404 E. Broad Street
Richmond, Virginia 23219
804/786-4304
B-27
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WASHINGTON
Waste
Department of Ecology
Hazardous Waste Program
Mail Stop PV-11
Olympia, WA 98504
206/459-6000
Water
Department of Ecology
Office of Water Programs
Mail Stop PV-11
Olympia, WA 98504-8711
206/459-6000
Air
Department of Ecology
Office of Air Programs
Mail Stop PV-11
Olympia, WA 98504-8711
206/459-6000
WEST VIRGINIA
Waste
Department of Natural Resources
1201 Greenbriear St.
Charleston, WV 25311
304/348-5935
Water
Department of Natural Resources
Division of Water Resources
1800 E. Washington Street
Charleston, WV 25305
304/348-2107
Air
Air Pollution Control Commission
1558 Washington Street, East
Charleston, WV 25311
304/348-2275
WISCONSIN
Waste
Department of Natural Resources
Bureau of Solid Waste Management
101 South Webster Street
Madison, Wisconsin 53707
608/266-1327
B-28
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Water
Department of Natural Resources
Division of Environmental Standards
Bureau of Water Resources & Mgt.
P.O. Box 7921
Madison, WI 53707
(508/266-2121
Air
Department of Natural Resources
Division of Environmental Standards
Air Pollution Control Section
P.O. Box 7921
Madison, WI 53707
(508/266-2121
Moise
Wisconsin Department of Natural Resources
Box 7921
Madison, WI 53707
WYOMING
Waste
Department of Environmental Quality
Solid Waste Management Program
122 West 25th Street
Cheyenne, WY 82002
307/777-7752
Department of Environmental Quality
Water Quality Division
122 West 25th Street
Cheyenne, WY 82002
307/777-7781
Air
Department of Environmental Quality
Air Quality Division
122 West 25th St.
Cheyenne, WY 82002
307/777-7391
B-29
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APPENDIX C
PRE-AUDIT ENVIRONMENTAL MANAGEMENT
QUESTIONNAIRE
This pre-audit environmental management questionnaire is used by the U.S. EPA's
environmental compliance program. It is intended to elicit background information from EPA
operating facilities pertaining to their environmental pollution control activities. This
background information assists EPA or their representatives in the planning and conducting of
facility audits. Accurate and timely completion is requested.
YES NQ_ N/A UNK
1. Air Pollution Control
Does the facility:
a. Have air emission permits or registrations?
b. Conduct air emission monitoring?
c. Conduct performance tests of air pollution
control systems?
d. Emit any of the following air contaminants:
Beryllium?
Asbestos?
Mercury?
Vinyl Chloride?
Benzene?
Volatile Organic Compounds?
Arsenic?
Radionuclides?
e. Dispense any fuels to trucks, automobiles
or other vehicles?
f. Have an Air Episode Plan?
g. Perform maintenance on air cleaning devices,
dispose of filters?
C-1
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2. Water Pollution Control
Does the facility:
a. Discharge wastewater to:
Navigable Waters?
A Publicly-Owned Treatment Facility?
A Privately-Owned Treatment Facility?
A Deep Well by Injection?
A Septic System?
b. Have permits for these discharges?
c. Make use of any on-site wastewater pretreatment
or treatment?
d. Monitor its wastewater discharges?
e. Discharge any detectable amounts of the following:
Aldrin/Dieldrin?
DDT/DDD/DDE?
Endrin?
Toxaphehe?
Benzene?
PCBs?
Metals?
Corrosives?
VOCs?
3. Safe Drinking Water
Does the facility:
a. Obtain any portion of its drinking water from
on-site wells or surface water sources?
b. Monitor its drinking water?
C-2
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YES NO N/A UNK
4. SPCC plan for oil in UST or
above ground tank, or PCBs in
temporary storage for disposal.
Does the facility:
a. Have a Spill Prevention Control and
Countermeasure Plan?
b. Conduct spill prevention training?
c. Have a spill response team?
5. Solid and Hazardous Waste Management
Does the facility:
a. Have buried storage tanks containing oil
or hazardous substances?
b. Generate hazardous waste in amounts:
Less than 100 kg/mo?
Between 100 -1000 kg/mo?
In excess of 1000 kg/mo?
c. Generate acutely hazardous waste?
In excess of 1 kg/rno?
d. Generate hazardous waste classified as:
Listed Wastes?
Ignitable?
Corrosive?
Reactive?
EP Toxic?
e. Have an EPA ID number?
f. Store wastes for longer than 90 days?
For longer than 180 days?
For longer than 270 days?
C-3
-------
YES NO N/A UNK
g. Treat or dispose of hazardous wastes on-site
using the following?
Incineration?
Other Thermal Treatment?
Landfill?
Land Treatment?
Physical/Chemical Treatment?
Biological Treatment?
Underground Injection?
Elementary Neutralization Unit?
h. Have a written analysis plan?
i. Have a closure or post-closure plan?
j. Have a contingency plan?
k. Have a preparedness and prevention plan?
1. Transport its own wastes off-site?
6. PCB Management
Does the facility:
a. Have in use or storage (for reuse or disposal)
any PCBs or PCB contaminated:
Transformers?
Capacitors?
Electromagnets?
Hydraulic Systems?
Lab Samples?
Laboratory Standards?
Other?
Specify
C-4
-------
YES SQ N/A UNK
7. Past Disposal Practices/Reporting of Releases
Does the facility:
a. Have a list of all potentially reportable hazardous
substances on-site, with their locations and
quantities?
b. Have a spill reporting procedure?
8. Environmental Assessment/Impact Statements
Does the facility:
a. Possess completed environmental impact
statements or FNSIs for projects
initiated within the last two years?
9. Radioactive Waste Management
Does the facility:
a. Have a Nuclear Regulatory Commission (NRC)
License?
b. Generate radioactive waste from any of the
following activities:
Tracers used for laboratory analysis?
Radioactive samples?
Other?
c. Generate mixed low level radioactive wastes?
10. Pesticide Control
Does the facility:
a. Generate any pesticide wastes?
b. S tore pesticides for use as standards?
c. Engage in the application of pesticides?
C-5
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11. The matrix below is designed to determine what regulatory areas
apply to your facility, what regulatory agency administers
applicable regulations (Federal/State/local government), and if
your facility is required to have permits in any of these areas.
Please check the appropriate boxes below.
Applicable Federal State Local Permit
Air
Water
Sewer Discharge
Surface Water
Discharge
Drinking Water
Non-Hazardous
Waste
Hazardous Waste/
RCRA
Full Generator
100-1000 kg/
month
Conditionally
Exempt SQG
Underground Storage
Tanks
Pesticide Control
PCBs:
Research
Activities
Contaminated
Equipment
Radioactive Materials
C-6
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APPENDIX D
CLEAN AIR ACT: NEW STATIONARY
SOURCES FOR AIR POLLUTION
40 CFR PART 60
SOURCE CATEGORY
Fossil fuel-fired steam generators (Subpart D)
Electric utility steam generating units (Subpart Da)
Industrial-Commercial-Institutional
steam generating units (Subpart Db)
Incinerators (Subpart E)
Portland cement plants (Subpart F)
Nitric acid plants (Subpart G)
Sulfuric acid plants (Subpart H)
Asphalt concrete plants (Subpart I)
Petroleum refineries (Subpart J)
Storage vessels for petroleum liquids-for
construction, reconstruction, or modifica-
tion commenced after June 11,1973 and prior
to May 19,1978 (Subpart K)
Storage vessels for petroleum liquids-for
construction, reconstruction, or modifica-
tion, commended after May 18,1978, and prior
to July 23,1984 (Subpart Ka)
Volatile Organic Liquid Storage Vessels
(including petroleum liquid storage vessesl)
for which construction, reconstruction, or
modification commenced after July 23,1984
(Subpart Kb)
Secondary lead smelters (Subpart L)
Secondary brass and bronze production (Subpart M)
plants
Iron and steel plants (primary emissions from
basic oxygen furnaces constructed after
June 11, 1973) (Subpart N)
PROPOSAL DATE
August 17, 1971
September 18,1978
June 19, 1984
August 17, 1971
August 17, 1971
August 17, 1971
August 17, 1971
June 11, 1973
June 11, 1973
June 11, 1973
May 18,1978
July 12, 1984
July 11, 1973
June 11, 1973
June 11, 1973
D-1
-------
SOURCE CATEGORY
PROPOSAL DATE
Iron and steel plants (secondary emissions from
basic oxygen furnaces constructed after
January 20,1983) (Subpart Na)
Sewage treatment plants (Subpart O)
Primary smelters: Copper, Zinc, Lead (Subparts P-R)
Primary aluminum reduction plants (Subpart S)
Phosphate fertilizer industry: Wet process
phosphoric acid plants; Superphosphoric
acid plants; Triple superphosphate plants;
Granular triple superphosphate storage facilities
(Subparts T-X)
Coal preparation plants (Subpart Y)
Ferroalloy production facilities (Subpart Z)
Steel Plants: Eletric arc furnaces; Electric
arc furnaces and Argon-Oxygen decarburization
vessels constructed after August 17,1983
(Subpart AA)
Kraft pulp mills (Subpart BB)
Glass manufacturing plants (Subpart CC)
Grain elevators (Subpart DD)
Surface coating of metal furniture (Subpart EE)
Stationary gas turbines (Subpart GG)
Lime manufacturing plants (Subpart HH)
Lead-acid battery manufacturing plants (Subpart KK)
Metallic mineral processing plants (Subpart LL)
Automobile and light-duty truck surface coating
(Subpart MM)
Phosphate rock plants (Subpart NN)
Ammonium sulfate manufacture plants (Subpart PP)
Graphic Arts Industry: Publication rotogravure
printing (Subpart QQ)
January 20, 1983
June 11, 1973
October 16,1974
October 23,1974
October 22,1974
October 24,1974
October 21,1974
August 17, 1983
September 24,1976
June 15, 1979
January 13, 1977
November 28, 1980
October 3,1977
May 3,1977
January 14, 1980
August 24,1982
October 5,1979
September 21, 1979
April 10,1980
October 28,1980
D-2
-------
SOURCE CATEGORY
PROPOSAL DATE
Pressure sensitive tape and label surface
coating operations (Subpart RR)
Industrial surface coating: large appliances
(Subpart SS)
Metal coil surface coating (Subpart TT)
Asphalt processing and asphalt roofing
manufacture (Subpart UU)
Equipment leaks of VOC in the synthetic organic
manufacturing industry (Subpart VV)
Beverage can surface coating industry (Subpart WW)
Bulk gasoline terminals (Subpart XX)
New residential wood heaters (Subpart AAA)
Rubber tire manufacturing industry (Subpart BBB)
Flexible vinyl and urethane coating and
printing (Subpart FFF)
Equipment leaks of VOC in petroleum
refineries (Subpart GGG)
Synthetic fiber production facilities (Subpart HHH)
Petroleum dry cleaners (Subpart JJJ)
Onshore natural gas processing plants (Subpart KKK)
Onshore natural gas processing: SO2 Emissions
(Subpart LLL)
Nonrnetallic mineral processing plants (Subpart OOO)
Wool Fiberglass Insulation Manufacturing Plants
(Subpart PPP)
Magent tape coating facilities (Subpart SSS)
Industrial surface coating: Plastic parts for
business machines (Subpart TIT)
December 30,1980
December 24,1980
Januarys, 1981
November 18, 1980
May 26,1981
Januarys, 1981
November 26, 1980
December 17,1980
February 18, 1987
January 20, 1983
January 18, 1983
October 11, 1983
January 4, 1983
July 13, 1983
December 14,1982
January 20, 1984
January 20, 1984
August 31, 1983
February 7, 1984
January 22, 1986
January 8, 1986
D-3
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