SEPA
                REGION I
             Multi-Media
      Federal Facility Conference
             November 27-28,1990
             Boston Copley Plaza Hotel

             Boston, Massachusettes



                Volume I

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            UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

                               REGION I

             J.F. KENNEDY FEDERAL BUILDING. BOSTON. MASSACHUSETTS 02203-2211
                                    November 27,  1990
Dear Conference Participant:


Welcome to the first Annual Federal Facility Multi-Media Conference
in Region  I.   We in EPA Region  I  are very pleased to  be  hosting
this event  which  has  been designed to address your environmental
compliance  needs.

As we begin a new  decade and celebrate the 20th anniversary of EPA,
the Region remains committed to EPA's goal of ensuring that Federal
agencies achieve compliance rates in each media program which meet
or exceed those of major industrial and major municipal facilities.
This conference should assist  you  in the  continued development of
vital, proactive environmental programs at your facilities.  It is
up to us as members of the Federal community to  set the example.

We have embarked on numerous  activities to account for our past and
current actions.   These activities include cleaning up the past
under Superfund,  and developing aggressive plans to achieve and
maintain compliance.   The current environmental protection  focus
is on the avoidance of pollution through prevention initiatives at
Federal  Facilities.   Much has  been done.    However,  much  more
remains to be accomplished.  Together we can meet the  challenge to
provide a safe and clean environment for  future  generations.

I trust that  you  will find this first conference  informative and
beneficial.   This conference has been designed  for you.  If you
have questions or need assistance please do not hesitate to contact
any of the  EPA  staff  members at the conference.  We  look  forward
to working  with you.
Sincerely,
      Belaga
Regional Administrator
                                                                   '3*'

                           PRINTED ON RECYCLED PAPER

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                             TABLE OF CONTENTS
                                                                      Page
Agenda	    v
List of Speakers	   1x
List of Attendees	 xiii
I ntroducti on	    I
The EPA Federal Facility Program and Compliance Strategy (Yellow
  Book)	   II
"The State Perspective" Federal Facility Compliance	  Ill
Waste Management Programs	 IV
      Introduction to Waste Management Division Programs	 IV-1
      Overview - Comprehensive Environmental Response, Compensation
      and Liability Act (CERCLA)	 IV-2
      Federal Facility Hazardous Waste Compliance Docket	 IV-3
      The Revised Hazard Ranking System (HRS) National Priority
      List/Non-Priority List	 IV-4
      The Revised National Contingency Plan (NCP) Subpart K,
      "Roadmap" to the NCP	 IV-5
      Interagency Agreement Process Status Installation Restoration
      Program Integration State Involvement	 IV-6
      RCRA/CERCLA Integration	 IV-7
      Emergency Response, Chemical Release and Oil Spills	 IV-8
Resource Conservation and Recovery Act (RCRA)	 V
      Overview of Resource Conservation and Recovery Act (RCRA)	 V-l
      Med1 cal  Waste	 Y-2
      Land Restriction Rules	 V-3
      Toxicity Characteristics Leaching Procedure (TCLP) Rule	 V-4
      Fact Sheets/References	 y-5
                                    -1-

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                             TABLE OF CONTENTS
                                (Continued)
                                                                       Page
Office of Regional Counsel	   VI
      Legal Responsibilities and Liabilities	   VI-1
Pol 1 utlon Prevent^on	   VII
Water Management Division Programs	   VIII
      Introduction to Water Management Division Programs Overview
      of the Clean Water Act and the Safe Drinking Water Act	   VIII-1
      NPDES Permit Program
        New Toxlclty Requirements
        Storm Water Permits
        Pretreatments	   VI11-2
      Compliance and Enforcement	   VIII-3
      Groundwater Protection
        Wellhead Protection
        Sole Source Aquifers	   VIII-4
      The Safe Drinking Water Act Amendments of 1986	   VIII-5
      Wetlands Protection
        404 Permit Program	   VIII-6
Harvard/MIT Mediation	   IX
      The Harvard/MIT Mediation/Negotiation Process "Getting to
      Yes"	   IX-1
Air, Pesticides and Toxics Management Division Programs	   X
      Introduction to the A1r, Pesticides and Toxics Management
      Division Programs	   X-l
      Emergency Planning and Community R1ght-to-Know Act (EPCRA)
        Obligations of Federal Facilities	   X-2
      PCBs
        PCB Regulations,  Inspections, and Compliance	   X-3

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                             TABLE OF CONTENTS
                                (Continued)

                                                                       Page

      Air Toxics Program	  X-4
        Rad1onucle1des (NESHAPs)
        Radioactive Wastes
        Radon

      Pesticides
        Pesticide Regulations, Inspections, and Compliance	  X-5

      Overview of the Clean Air Act Amendments	  X-6
        Area Attainment Status and New Requirements
        Title IV Operating Permits and Fees
        Title VI Compliance Certifications and Reporting

      Mobile Source Program	  X-7
        Fleet Vehicle Inspection and Maintenance
        Stage II Vapor Recovery

      Asbestos Demol 1 tion/Renovat1 on	  X-8
        Contractor Listing
        New Regulations
        Delegated States and State Regulations

Community Relations Program	  XI

      Community Relations Case Study Discussion	  XI-2
                                   -111-

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                                  AGENDA

                   U.S. ENVIRONMENTAL PROTECTION AGENCY
                           REGION I MULTI-MEDIA
                        FEDERAL FACILITY CONFERENCE
                           NOVEMBER 27-28, 1990
                         Boston Copley Plaza Hotel
November 27
 8:00-8:30 a.m. Registration

 8:30-8:45      Introduction and Administrative Announcements
                  Anne H. Fenn, Federal Facility Program Manager

 8:45-9:00      Welcome
                  Julie Belaga, Region I Administrator

 9:00-9:45      The EPA Federal Facility Program and Compliance Strategy
                (Yellow Book)
                  Gordon Davidson, Acting Director, Office of Federal
                  Facility Enforcement - EPA Headquarters

 9:45-10:30     "The State Perspective" Federal Facility Compliance
                  James Colman, Assistant Commissioner, Massachusetts
                  Department of Environmental Protection

10:30-10:45     Break

10:45-12:00     Introduction to Waste Management Division Programs
                  Merrill Hohman, Director of the Waste Management
                  Division, Region I

                Overview - Comprehensive Environmental Response,
                Compensation and Liability Act (CERCLA)
                  Mary Sanderson, Superfund Federal Facility Section
                  Chief, Region I

                Federal Facility Hazardous Waste Compliance Docket
                  Carol Keating, Remedial Project Manager

                The Revised Hazard Ranking System  (HRS)
                National Priority List/Non-Priority List
                  Nancy Smith, Pre-Remed1al Coordinator

                The Revised National Contingency Plan (NCP)
                Subpart K, "Roadmap" to the NCP
                  Mary Sanderson

                Interagency Agreement Process Status
                Installation Restoration Program Integration
                State Involvement
                  Mary Sanderson
                                     -v-

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12:00-1:15 p.m. Lunch
 1:15-1:45      RCRA/CERCLA Integration
                  Mary Sanderson
                Emergency Response, Chemical  Release and Oil  Spills
                  David Tordoff, Emergency Planning and Response
                    Branch, Region I
 1:45-2:00      Overview of Resource Conservation and Recovery Act (RCRA)
                  Stanley Chin, Chief, RCRA Support Section,  Region I
 2:00-2:30      Medical Waste
                  Austine Frawley, Medical Waste Coordinator, Region I
 2:30-3:15      Underground Tanks - Video Presentation
 3:15-3:30      Break
 3:30-3:45      Land Restriction Rules
                  Robert danclarulo, Land Disposal Restrictions
                  Coordinator, Region I
 3:45-4:00      Toxlcity Characteristics Leaching Procedure (TCLP) Rule
                  Mary Jo Krolewski, TLCP Coordinator, Region I
 4:00-5:00      Legal Responsibilities and Liabilities
                  Robert DiBiccaro, Deputy Regional Counsel
November 28
 8:00-8:15 a.m. Announcements
                  Anne Fenn
 8:15-9:00      State Issues on Federal Facility Compliance
                  Panel Discussion Including State Officials
 9:00-10:00     Pollution Prevention
                  James Edward, Deputy Chief, Pollution Integration Office,
                  EPA-Headquarters
                  Mark Mahoney, Pollution Prevention - Planning and
                  Analysis Section, Region I
                Panel Discussion Including Federal Facility Environmental
                  Managers
10:00-10:15     Break
                                    -vi-

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10:15-11:00     Introduction to Water Management Division Programs
                Overview of the Clean Water Act and the Safe Drinking
                Water Act
                  Larry Brill, Chief, Water Compliance Branch,  Region I

                NPDES Permit Program
                  New Toxicity Requirements
                  Storm Water Permits
                  Pretreatments
                    Kevin McSweeney, Chief, Wastewater Management  Branch,
                      Region I

                Compliance and Enforcement
                  Larry Brill

11:00-11:45     Groundwater Protection
                  Wellhead Protection
                  Sole Source Aquifers
                    Anthony J. Pisanelli,  Groundwater Management Section,
                      Region I

                The Safe Drinking Water Act Amendments of 1986
                    W. Mark Sceery, Water  Supply Section, Region I

                Wetlands Protection
                  404 Permit Program
                    Douglas Thompson, Chief, Wetland Protection Section,
                      Region I

11:45-12:30     The Harvard/MIT Mediation/Negotiation Process "Getting to Yes"
                  Lawrence Susskind

12:30-1:30 p.m. Lunch

 1:30-2:30      Introduction to the A1r, Pesticides and Toxics  Management
                Division Programs
                    Susan Studlien, Chief, Technical and Program Support
                      Branch

                EPCRA
                  Obligations of Federal Facilities
                    Leonard Wallace, Enforcement and Preparedness  Section

                PCBs
                  PCB Regulations,  Inspections, and Compliance
                    Robert McConnell, PCB  Compliance Toxic Substances
                      Control Section, Region I
                                  -vii-

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               A1r Toxics Program
                 Radlonucleldes  (NESHAPs)
                 Radioactive Wastes
                 Radon
                   James Chernlack, Radiation Representative, Region I

               Pesticides
                 Pesticide Regulations, Inspections, and Compliance
                   Wayne Toland, Pesticides Section, Region I

2:30-2:45      Community Relations Program
                 Douglas Gutro, Office of Public Affalrs/Superfund
                   Community Relations Coordinator, Region I

2:45-3:00      Break

3:00-4:00      Community Relations Case Study Discussion
                 Dan H. Fenn, Lecturer, Executive Programs,
                   Harvard John F. Kennedy School of Government

4:00-5:30      Overview of the Clean A1r Act Amendments
                 Area Attainment Status and New Requirements
                 Title IV Operating Permits and Fees
                 Title VI Compliance Certifications and Reporting
                   Susan Studllen

               Mobile Source Program
                 Fleet Vehicle Inspection and Maintenance
                 Stage II Vapor Recovery
                   Peter Hagerty, Technical Assistance Section, Region I

               Asbestos Demolition/Renovation
                 Contractor Listing
                 New Regulations
                 Delegated States and State Regulations
                   Damlen Houlihan, NESHAPS Asbestos Coordinator, Region I

5:30           Adjourn

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                              LIST OF SPEAKERS
                United  States  Environmental Protection Agency
                                 Region  I
                  Mu1t1-Media  Federal Facilities Conference
                            November 27-28, 1990
                                 Boston,  MA
 Julie  Belaga
 Regional  Administrator
 U.S. EPA,  Region  I
 J.F.K.  Federal  Building
 Boston, MA 02203
 617-565-3400

 Larry  Brill
 Chief,  Water  Compliance  Branch
 U.S. EPA,  Region  I
 J.F.K.  Federal  Building
 Boston, MA 02203
 617-565-3484

 James  Chernlack
 Radiation  Representative
 U.S. EPA,  Region  I
 J.F.K.  Federal  Building
 Boston, MA 02203
 617-565-3234

 Stanley Chin
 Chief, RCRA Support Section
 U.S. EPA,  Region  I
 J.F.K. Federal  Building
 Boston, MA 02203
 617-573-5750

 Robert Clandarulo
 Land Disposal Restrictions
  Coordinator
 U.S. EPA,  Region  I
 J.F.K. Federal  Building
 Boston, MA 02203
 617-573-5778

James Colman
Assistant  Commissioner
Massachusetts Dept. of
  Environmental Protection
One Winter Street
Boston, MA  02108
617-292-5648
Gordon Davidson
Acting Director
Office of Federal Facility
  Enforcement
U.S. EPA
401 M Street, SW
Washington, DC  20460
202-475-9807

Robert D1B1ccaro
Deputy Regional Counsel
U.S. EPA, Region I
J.F.K. Federal Building
Boston, MA  02203
617-565-3451

James Edward
Deputy Chief
Pollution Integration Office
U.S. EPA
401 M Street, SW
Washington, DC  20460
202-382-6920

Anne H. Fenn
Federal Facility Program Manager
U.S. EPA, Region I
J.F.K. Federal Building
Boston, MA  02203
617-565-3927

Dan H. Fenn
Lecturer
Executive Programs
Harvard John F. Kennedy School of
  Government
79 John F. Kennedy Street
Cambridge, MA  02138
617-495-0911

Austlne Frawley
Medical Waste Coordinator
U.S. EPA, Region I
J.F.K. Federal Building
Boston, MA  02203
617-573-5758
                                  -ix-

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 Douglas Gutro
 Office of Public Affairs
 Superfund Community Relations
   Coordinator
 U.S.  EPA, Region I
 J.F.K. Federal  Building
 Boston, MA  02203
 617-565-3383

 Peter Hagerty
 Technical Assistance Section
 U.S.  EPA, Region I
 J.F.K. Federal  Building
 Boston, MA  02203
 617-565-3224

 Merrill Hohman
 Director, Waste Management Division
 U.S.  EPA, Region I
 J.F.K. Federal  Building
 Boston, MA  02203
 617-573-5700

 Damlen Houlihan
 NESHAPS Asbestos Coordinator
 U.S.  EPA, Region I
 J.F.K. Federal  Building
 Boston, MA  02203
 617-565-3265

 Carol  Keating
 Remedial  Project Manager
 U.S.  EPA,  Region I
 J.F.K.  Federal  Building
 Boston,  MA  02203
 617-573-5764

 Mary Jo Krolewskl
 TCLP Coordinator
 U.S. EPA,  Region I
 J.F.K.  Federal  Building
 Boston,  MA  02203
 617-573-5722

 Mark Mahoney
 U.S. EPA,  Region  I
 Pollution  Prevention
 Planning and Analysis Section
J.F.K.  Federal Building
Boston, MA  02203
617-565-1155
 Robert McConnell
 PCB Compliance, Toxic Substances
  Control Section
 U.S.  EPA, Region I
 J.F.K. Federal Building
 Boston, MA  02203
 617-565-3278

 Kevin McSweeney
 Chief, Wastewater Management Branch
 U.S.  EPA, Region I
 J.F.K. Federal Building
 Boston, MA  02203
 617-565-3560

 Anthony J. Plsanein
 Groundwater Management Section
 U.S.  EPA, Region I
 J.F.K. Federal Building
 Boston, MA  02203
 617-565-3563

 Mary  Sanderson
 Superfund Federal Facility Section
 U.S.  EPA, Region I
 J.F.K. Federal Building
 Boston, MA  02203
 617-565-5711

 W. Mark Sceery
 Water Supply Section
 U.S.  EPA, Region I
 J.F.K. Federal Building
 Boston, MA  02203
 617-565-3604

 Nancy Smith
 Pre-Remedlal  Coordinator
 U.S.  EPA, Region I
J.F.K. Federal Building
Boston, MA  02203
617-573-9697

Susan StudHen
Chief, Technical  and Program
  Support Branch
U.S. EPA, Region I
J.F.K. Federal Building
Boston, MA  02203
617-565-3221
                                   -x-

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Lawrence Sussklnd
Massachusetts Institute of
  Technology
77 Massachusetts Avenue
Cambridge, MA 02139
617-253-2026

Douglas Thompson
Chief, Wetland Protection Section
U.S. EPA, Region I
J.F.K. Federal Building
Boston, MA  02203
617-565-4421

Wayne Toland
Pesticides Section
U.S. EPA, Region I
J.F.K. Federal Building
Boston, MA  02203
617-565-3241

David Tordoff
Emergency Planning and Response
  Branch
U.S. EPA, Region I
60 Westview Street
Lexington. MA  02173
617-860-4362

Leonard Wallace
Enforcement and Preparedness
  Section
U.S. EPA, Region I
60 Westview Street
Lexington, MA  02173
617-860-4694
                                      -xi-

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                              U.S. EPA Region I
                    Multi-Media Conference for Federal Facilities
                            November 27-28,1990
                               Attendees List
 Vincent J.  Amatucci
 Automotive  Mechanic Supt.
 Wellesley Air National  Guard
 14 Mlnuteman  Lane
 Wellesey, MA  02181-3687

 Warren  Angell
 Principal Engineer
 RI DEM
 291 Promenade Street
 Providence, RI 02908

 John P.  Anselmo
 Chief,  Project Branch II
 U.S. Coast  Guard
 BLDG 107
 Governors Island,  NY 10004-5039

 Gregory A.  Apraham
 Environmental Engineer
 U.S. Navy
 Naval Air Station
 Brunswick,  ME 04011

 Jon Atkinson
 Staff Hydrologist
 HQ AFRES
 Robins  AFB, GA 31098-6001
Dennis Babcock
Plant Engineer
Stratford Army Engine Plant
550 Main Street
Stratford, CT 06497

Eleanora Bablj
Military Div. Environmental Mgr,
MA National Guard
Camp Curtis Guild
Reading, MA 01867-1999

Brian Balukonis
Environmental Engineer
NiW.I.R.P.
Raytheon Co., MS-MI-38
Bedford, MA 01730

Joseph Barber
Architect/Engineer Staff
U.S. Postal Service
24 Corliss Street
Providence, RI 02904-9991
R.T. Bartlett
Commanding Officer
USCG Shore Maintenance Detachment
107 Governors Island
New York, NY 10004-5039

Carl Baxter
Pease Air Force Base
NH DES
6 Hazen Drive
Concord, NH 03301

James Begley
Branch Chief Publicy Funded Sites
DEP SERO
Route 105
Lakeville, MA 02346

Mark Begley
Section Chief Site Remediation SERO
DEP
Route 105
Lakeville, MA 02346

Henry P. Beltramini
Environmental Protection Specialist
U.S. Navy
Naval Air Station
Brunswick, ME 04011

Ed Benoit
Regional Engineer for Central Reg.
DEP
75 Grove Street
Worcester, MA 01605

Marcus Berry
Staff Industrial Specialist
DCMDN - Boston
495 Summer Street
Boston, MA 02210-2184

Ken Berta
Manager, RC/ESH
Knolls Atomic Power Laboratory
P.O. Box 545
Windsor, CT 06095

LTC Lou Berube
Environmental Project Manager
MA National Guard
Camp Curtis Guild, Haverhill Street
Reading, MA 01867
                                -xiii-

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 Michael Bingham
 Branch Chief Technical Support
 DEP
 75 Grove Street
 Worcester,  MA 01605

 Salo Birman
 Industrial  Hygienist
 V.A.  Medical Center
 150 S.  Huntington Avenue  (13BS)
 Boston,  MA  02130

 Tom Blair
 Defense Fuel Supply Center
 Attn: DFSC-FQ,  Cameron Station
 Alexandria,  VA  22304-6160
 Peter Bogy
 IRP Division Director
 HQ AFSC
 Andrews AFB, MD  20334
Willie V. Booker
Hatchery Manager
US Fish & Wildlife Service
144 Mansfield Road
North Attleboro, MA 02760

Robert c. Bragg
Base Commander
New Boston AFS
DET 2, 2STG/CC, New Boston AFS
Amherst, NH 03031

David R. Brouillette
Facility Management Specialist
Boston National Historical Park
Charlestown Navy Yard
Boston, MA 02129

Henry Brown, Jr.
General Supervisor
US Postal Service
85 Weston Street
Hartford, CT 06101-9321

John J. Burchill
Superintendent
Boston National Historical Park
Charlestown Navy Yard
Boston, MA 02129

Stanely J. Burzycki
Base Civil Engineer
Vermont Air National Guard
158 FIG/DE, Burlington IAP
Burlington, VT 05401
Everett Butcher
Public Works Officer
Naval Construction Battalion Center
Davisville, RI 02854
Martin Byrne
Environmental Compliance Br,
HQ Space Command
Peterson AFB, CO 80914-5001
Chief
Bob Cannon
Environmental Protection Specialist
Camp Edwards MA ARNG
ARNG Training Site,
Camp Edwards, MA 02542-5003

Roger T. Carpenter
DPRO
General Electric Co.
100 Plastics Avenue
Plttsfield, MA 01201

Lynne Chappell
Section Chief Technical Support
DEP
75 Grove street
Worcester, MA 01605

Robert E. Chase
Safety Director
US Army Material Technology Lab
405 Arsenal Street
Watertown, MA 02172-0001

Robert P. Cheney Jr.
Associate Attorney General
Pease AFB
25 Capitol Street
Concord, NH 03301

Mark Chrisos
Div. Environmental Mgr.
Raytheon Co.
Hartwell Road  MS-MI-38
Bedford, MA 01730

Kurt A. Clason
Industrial Manager
USCG Group Portland
259 High Street
S. Portland, ME 04106

Rick Colangeli
Naval Underwater Systems Center
Code 3832, Fort Trumbull
New London, CT 06320
                                  -xiv-

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 Hugh Colasacco
 Engineering Plans & Services
 Department of the Army
 Headquarters Fort Devens
 Fort Devens, MA 01433-5100

 Tony Compano
 Chief Bldg & Land Mgmt.
 US Army - Natick RD&E Ctr.
 Kansas Street STRNC-DF
 Natrick, MA 01760

 Edward A. Connearney
 Safety Program Manager (00IS)
 VA Medical Center
 Route 9
 Northampton, MA 01060

 Roger W. Corey,  LT,  JAG
 Station Judge Advocate
 US Navy
 Naval Air Station
 Brunswick, ME 04011

 Paul  Craffey
 Environmental Engineer III
 DEP
 1  Winter Street
 Boston,  MA 02108

 Paul  Crane
 Attorney,  Off. of Staff Judge  Adv,
 Department of the Army
 Headquarters Fort Devens
 Fort  Devens,  MA  01433-5100

 Jeff  Crawford
 Senior Engineer
 RI DEP
 291 Prominade Lane
 Providence,  RI 02908

 Darrell  Cullins
 Chief, Recycling
 Loring AFB
 42 CES/DEVP
 Loring AFB, ME 04751

 Rebecca  Cutting
 Legal Council
 MA DEP
 1 Winter Street
 Boston,  MA 02108

A. G.  D'Eramo
US DOT
VOLPE National Trans.  Systems Ctr.
 55 Broadway Street
Cambridge, MA 02142
 R.W.  Danahy
 LT. USCG Group Engineer
 USCG  Group Woods  Hole
 Commander,  USCG Group
 Woods Hole, MA 02543-1099

 Debra Darby
 Environmental  Analyst  III
 DEP
 1 Winter
 Boston,  MA 02108

 Denis W.  Dean
 General  Maintenance Foreman
 CT AVCRAD
 139 Tower Avenue
 Groton,  CT 06340

 Robert Diehl
 Reserve  Centers:  CT, VT, RI
 CDR,  76  Division  (TNG)
 Attn: AFKA-GCA-EN
 West  Hartford, CT 06110-1292

 Emile G.  Diggs
 Asst. Hazardous Waste Coordinator
 USCG  Group Woods  Hole
 Woods Hole, ESA
 Woods Hole, MA 02543-1099

 Arthur L. Ditto
 Chief Envir. & Contract Planning
 Pease Air Force Base
 509 CSG/DEEV, Bldg 149
 Pease AFB, NH 03803

 Donald G. Dobay
 President
 CT Environmental  Engineering Ser.
 107 B Old Windsor Road
 Bloomfleld, CT 06002

 LTC Robert M. Donahue
 US Army Reserve Centers: CT, RI, VT
 Cdr,  76th Div. (TNG)
 Attn:AFK-GCA-EN;  70 S. Quaker Lane
 West Hartford, CT 06110-1292

 Dennis Donlan
 Intern-Maintenance, DOL
 Department of the Army
 Headquarters Fort Devens
 Fort Devens, MA 01433-5100

Tim Dore
 Field Technician
TRICIL Environmental Management
 69 Harrison
Haverhill, MA 01830
                                  -xv-

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 LTC Dennis Dowdy
 Director of Engineering & Housing
 Department of the Army
 Headquarters Fort Devens
 Fort Devens, MA 01433-5100

 Dale E.  Drake
 Safety/Hazmat Officer
 Naval Reserve Readiness Center
 Fields Point
 Providence,  RI 02905-4233

 Peter Drivas
 Hazardous Minimization Mgr.
 Naval Systems Command
 C  Systems,  Code 300  H
 Portsmouth,  NH 03804-5000

 John Duff
 Deputy Commander
 US Army-  Natick RD&E Ctr.
 Kansas Street- STRNC-DF
 Natick, MA 01760

 Thomas E.  Ellingson
 Civil Engineer
 Hanscom AFB
 3245 ABG/DEEV
 Hanscom AFB,  MA 01731

 Robert Faherty
 Supervisor Env.  Technicians
 FAA
 One Mass  Tech Center,  Suite 214N
 E.  Boston, MA 02128

 Earl  Fahey
 Env.  Coordinator
 US  Army-  Natick  RD&E  Ctr.
 Kansas Street STRNC-DF
 Natick, MA 01760

 Christopher M. Faux
 Environmental  Management Officer
 Otis Air National Guard Base
 Bldg.  868
 Otis ANG Base, MA 02542-5001

Louis  Fayan
 Supervisory General Engineer
Naval  Construction Battalion Center
Davlsville, RI 02854
John C. Fink Jr.
Technical Director
USCG- Shore Maintenance Detachment
107 Governors Island
New York, NY 10004-5039

                                -xvl-
Michael Flach
Senior Engineer
Stratford Army Engine Plant
550 Main Street
Stratford, CT 06497

Palvel J. Flagg II
CT AVCRAD
139 Tower Avenue
Groton-New London Airport
Groton, CT 06340

Harold E. Flagg Jr.
Environmental Engineer
Pease AFB
509 CSG/DEEV, Bldg 149
Pease AFB, NH 03803

John Fleming
Supr. Envir. Eng.
Stratford Army Engine Plant
550 Main Street
Stratford, CT 06497

William J. Foley
Acting Deputy Superintendent
Boston National Historical Park
Charlestown Navy Yd. BNHP: BLDG. 1
Charlestown, MA 02129

Kenneth E. Follette
Industrial Specialist
DCMAO-Syracuse
600 Main Street
Johnson City, NY 13790

Richard Foskitt
Environmental Systems Specialist
FAA
One Mass Tech Center, Suite 214N
E. Boston, MA 02128

Bruce Fraser
Safety & Occupational Health Mgr.
SUPSHIP - Boston
495 Summer Street
Boston, MA 02210-2181

Wilford Gagne
Chief, Engineering Service
VA Medical Center
718 Smyth Road
Manchester, NH 03104

Cynthia M. Gianfrancesco
Engineer
RI DEM - Air & Hazardous
291 Promenade Street
Providence, RI 02908

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 Samuel  J.  Gilfix
 Environmental  Manager
 US  Army Material Technology Lab.
 Attn: SLCMT-DHS
 Watertown, MA  02172-0001
                Joseph Hohmann
                Chief Engrg. & Housing Division
                US Army- Natick RD&E Ctr.
                Kansas Street STRNC-DF
                Natick, MA 01760
 Patrick Gouveia
 US Army- Natick  RD&E  Ctr.
 Kansas  Street  STRNC-DF
 Natick,  MA 01760
 Joseph  Green
 Regional  Loss  Control Manager
 National  Park  Service
 15  State  Street
 Boston, MA  02109
       /
 Richard Green
 Engineering Design
 Department  of  the Army
 Headquarters Fort Devens
 Fort Devens, MA 01433-5100
Michael K. Grimes
Commanding Officer
USCG Communication Sta.
P.O. Box 608
Marshfield, MA 02050
Boston-NMF
Glen Hagstrom
Construction Management
Department of the Army
Headquarters Fort Devens
Fort Devens, MA 01433-5100
Mark Hammond
Naval Underwater System
Fort Trumbull
New London, CT 06320
 Code 3832
Thomas Hargis
Base Commander
439th Combat Support Group
439 CSG/CC
Westover, MA 01022

Peggy Harlow
State Environmental Specialist
CT Army National Guard
360 Broad Street
Hartford, CT 06105-3795

Glendon Hatton
Contracting Officer
Department of the Army
Headquarters Fort Devens
Fort Devens, MA 01433-5100
                                 -xvii-
                David Hopkins
                Environmental Coordinator
                Loring AFB
                42 CES/DEVP
                Loring AFB, ME 04751

                Stephen Hopkins
                Haz. Mat./Haz. Waste Manager
                Fort Devens
                AFZD-DEQ, Box 10
                Fort Devens, MA 01433-5100

                Sherry L. Howard
                Environmental Compliance Coord.
                Naval Medical Clinic, IH Division
                Portsmouth, NH 03804
George Howe
Facilities Engineer
USCG Air Station Cape Cod
Building 5215
Otis ANGB, MA 02542

Scott A. Huddleson
Comm. 6th Missle Warning Squadron
USAF, Cape Cod AFS
6th Missile Warn. Sq. P.O. Box 428
Sagamore, MA 02561-0428

Robert V. Humphreys
Deputy Director for Public Works
Naval Education 6 Training Center
Building 1-NECT
Newport, RI 02841

Paul Jameson
Env. Analyst
CT DEP
165 Capital Avenue
Hartford, CT 06106

Paul A. Johnson
Facilities Management Specialist
CT Army National Guard
360 Broad Street
Hartford, CT 06105-3795

David C. Jordon
Hazardous Materials Coordinator
USCG Communication Sta. Boston- NMF
P.O. Box 608
Marshfield, MA 02050

-------
Ernest Keating
Installation Commander
Otis Air National Guard Base
Bldg 158
Otis ANG Base, HA 02542-5001

Harvey Keene
Public Affairs Officer
US Army- Natick RD&E Ctr.
Kansas Street STRNC-OF
Natick, MA 01760

Robert Keller
Supervisory Industrial Specialist
Defense Logistics Agency- DPRO
c/o Unisys
Great Neck, NY 11020

William P. Kelly
Environmental & Design Engineer
VT Air National Guard
158 FIG/DEV
Burlington IAP, VT 05401

Dan Kiley
Safety & Health Manager
Federal Aviation Administration
12 N.E. Executive Park
Burlington, MA 01803

Jon Kirschner
Ind. Specialist
Defense Logistics Agency
615 Erie Blvd. West
Syracuse, NY  13204

William w. Knox
State Environmental Specialist
NY Army National Specialist
330 Old Niskayuna Road
Latham, NY 12110-2224

David Kocot
Civil Engineer
Westover AFB
439 CSG/DEEE
Westover AFB, MA 01022

Robert Kruzewski
Contracting Officer
Department of the Army
Headquarters  Fort Devens
Fort Devens,  MA  01433-5100

Paul Kulpa
Engineer
RI DEM- Air & Haz. Mat.
291 Promenade Street
Providence, RI  02908-5767
Paul H. Kwiatkowski
Base Civil Engineer
104th Tactical Fighter Group
Barns Municipal Airport
Westfleld, MA 01085-1385

Kathy LaFountain
Environmental Protection Specialist
DRMO-Devens
P.O. Box 69
Fort Devens, MA 01433-5690

Brenda Lacroix
Industrial Hygenlst
Naval Medical Clinic
IH DIV, Portsmouth Naval Shipyard
Portsmouth, NH 03801

Richard L. Lapan, Jr..
Environmental Compliance Manager
US EPA, Environmental Research Lab
27 Tarzwell Drive
Narragansett, RI 02882

Michael Lever
Manager, Support Services
US Post Office
24 Corliss Street
Providence, RI 02904-9991

Victor H. Liebnick
Chief Engineer
VA Medical Center
555 Willard Avenue
Newington, CT 06111

Mike Lilya
Asst. Base Engineer
Bradley ANG Base, CTANG
103CES/DEE Bradley ANG  Base
East Granby, CT  06026-5000

Dennis R. Lundervill
Director
NH  Air Resources Division
64  N.  Main  Street
Concord,  NH 03301

Bernice Mader
Aide to Mayor  of Quincy
City of Quincy
 1305 Hancock Street
Quincy, MA 02169

Anthony T.  Maida II
 Base Engineer
 Bradley ANG Base
 CT Air Nat'l Guard
 East Granby, CT 06026
                               -xvili-

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 Darryl Hansel
 Capt., USAF
 Cape Cod AFS
 P.O. Box 428
 Sagamore, MA 02561-0428

 W.  L. Mansfield
 Environmental  Engineer
 Naval Submarine Base New London
 Box 400
 Groton, CT 06349

 Rachel Marino
 Environmental  Engineer
 US  Navy Newport
 Public Works Dept. Bldg I/Code 424
 Newport, RI 02882

 John W. McBride
 Capt., USCG
 USCG Support Center
 427 Commercial Street
 Boston, MA 02109

 Jim McConnell
 Defense Contract Management
 N.E. District
 495 Summer Street
 Boston, MA 02210-2184

 Chris Melillo
 Principal
 CT Environmental Engineering Ser.
 107 B Old Windsor Rd.
 Blcornfield, CT 06002

 Roxanne Meyers
 Legal Counsel
MA DEP
 1 Winter Street
 Boston, MA 02108

 Bruce Miller
 Environmental Engineer
US First Army Reserve Centers
Hq First US Army, Attn: AFKA-EN
 Fort Meade, MD 20755

 John B. Mitchell
Natural Resources Planner
New Boston AFS
DET 2, 2 STG/DEEV
Amherst, NH 03031

William L.  Mitchell
Collateral Duty Safety Officer
USCG Support Center Boston
427 Commercial Street
Boston, MA 02109
Richard Mobley
Attorney
US Army- Natick RD&E Ctr.
Kansas Street STRNC-DF
Natick, MA 01760

Allen Mohr
W. Hartford USARL
CDR, 76 Division (TNG)
Attn:AFKA-GCA-EN.
W. Hartford, CT 06110

Jack Moriarty
Environmental Engineer
Westover AFB
439 CSG/DEEV
Westover AFB, MA 01022

John Moroney
Asst. Counsel
Defense Logistics Agency
435 Summer Street
Boston, MA 02210

Frank Morris
Cape Cod Canal
US Corp of Engineers
Acadamy Dr., P.O. Box J
Buzzards Bay, MA 02532

David Moynihan
Engineer Officer
VA Medical Center
150 S. Huntington Avenue
Boston, MA 02130

Mark Murray
Asstlstant Staff Judge Advocate
MA National Guard
Camp Curtis Guild,  Haverhill Street
Reading, MA 01867

Richard M. Neumann
Industrial Hygienist
VA Medical Center
Route 9
Northampton, MA 01060

Ken Nugent
Environmental Engineer
Loring AFB
42 CES/DEVC
Loring AFB, ME 04751

Jack 0'Donovan
Environmental Engineer
Defense Fuel Supply Center
Attn: DFSC-FQ, Cameron Station
Alexandria, VA 22304-6160
                               -xix-

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 Pat O'Leary
 State EPA Liaison
 U.S. EPA
 JFK Federal Building
 Boston, MA 02203

 Michael Ochs
 Asst.  for Congressional Relations
 US EPA
 JFK Federal Bldg/RTR-72
 Boston,  MA 02203

 Eric J.  Osinalo
 Chief,  Environmental  Compliance
 Lorlng AFB
 42 CES/DEVC
 Loring AFB, ME  04751

 Raymond R. Ozanne
 Supply Officer
 CT AVCRAD- 139  Tower  Ave.
 Groton New London Airport
 Groton,  CT 06340

 David  S. Parker
 Hazardous Waste Coordinator Asst.
 USCG
 427 Commercial  Street
 Boston, MA 02109

 John Parrish
 Env. Protection Specialist
 Coast Guard Fac. Design & Constr.
 5505 Robin Hood Road, Suite K
 Norfolk, VA 23513

 Richard Pease
 Supervisor/Remedial Project Manager
 Pease AFB
 NH DES- Waste Mgmt Div.
 Concord, NH 03301

 Peter Pettit
 Civil Structural Branch Chief
 Coast Guard Fac. Design & Constr.
 5505 Robin Hood  Road, Suite K
Norfolk, VA 23513

Joseph Pierce
Chief,  Environ. Management Office
Fort Devens
AFZD-DEQ BOX 10
Fort Devens,  MA  01433-5100

Ken Plalsted
Environmental Director
Naval Systems Command
C Systems, Code  30OH
Portsmouth, NH  03804-5000
Tim Prior
Environmental Protection Specialist
Fort Devens
AFZD-DEQ, Box 10
Fort Devens, MA 01433-5100

Gary Puryear
Env. Coordinator
94th ARMCOM
Hanscom AFB, ME 01731
Susan Quigley
Environmental Management Specialist
MA National Guard
Camp Curtis Guild, Haverhill Street
Reading, MA 01867-1999

Gene Ramistella
Principal
CT Environmental Engineering Srvs.
107 B Old Windsor Rd.
Bloomfield, CT 06002

Warren L. Randolph
MK2, Hazmat Assistant
USCG
427 Commercial Street
Boston, MA 02109

Armando Rivera
Saf. & Env. Coor., Moore Army Airf.
Department of the Army
Headquarters Fort Devens
Fort Devens, MA 01433-5100

David A. Rose
Facility Manager
Boston National Historical Park
Charlestown Navy Yard
Boston, MA 02129

Robert R. Roy
Safety Program Manager
ENRM Veterans Hospital
200 Springs Road
Bedford, MA 01730

Hans J. Runshe
Chief, Building Management Service
VA Medical Center
200 Springs Road
Bedford, MA 01730

David Russel
Chief, DERA & NPL Activities
Loring AFB
42 CES/DEVP
Loring AFB, ME 04751
                                 -xx-

-------
 Daniel  Santos
 Civil Engineer
 Otis Air National  Guard Base
 Bldg 868
 Otis ANG Base, MA  02542-5001

 Heather Sargent
 Conservation Enforcement Officer
 City of Quincy
 1305 Hancock Street
 Quincy,  MA  02169

 Maurice M.  Savage
 Facilities  Management Specialist
 New York Army  National Guard
 330 Old Niskayuna  Road
 Latham,  NY  12110-2224

 Clem F.  Schimikowskl
 Manager,  Environment and Safety
 GE-Knolls Atomic Power Laboratory
 P.O. Box 1072, Bldg G2-Rm 311
 Schenectady, NY 12301

 Wanda J.  Schroeder
 Environmental  Engineer
 HQ SAG
 Offutt AFB, NE 68113-5001
Daniel P. Scott
Hazerdous Material Officer
USCG Station Portsmouth Harbor
New Castle, NH 03854-0600
Andrew R. Seepo
Dir., Radiological/Env. Ctrl & Saf.
US-DOE-Schenectady Naval Reactors
P.O. Box 1069
Schenectady, NY 12301-1069

Victor J. Segarich
Project Leader
Nashua National Fish Hatchery
151 Broad Street
Nashua, NH 03063

Joel Seifer
Facility Engineer
US Army-Natick RD&E Ctr.
Kansas Street STRNC-DF
Natick, MA 01760

Chuck Sheehan
Civil Engineering staff Officer
Bradley ANG Base
103 CES/DEE Bradley ANG Base
East Granby, CT 06026-2377
Sherrill w. shepherd
Regional Environmental Officer
Air Force Regional Environmental
77 Forsyth Street SW
Atlanta, GA 30335-6801

Roger Simmons
Facilities Management Specialist
MA National Guard
Camp Curtis Guild, Haverhill Street
Reading, MA 01867

David M. Singer
Aviation Material Officer
USCG Air Station Cape Cod
Otis ANG Base, MA 02542
Nelson J. Smith
Environmental TID
FAA
188 Maine Avenue
Bangor, ME 04401

Robert Spelfogel
Environmental Engineer
Hanscom Air Force Base
3245 ABG/DEEV
Hanscom AFB, MA 01731

Anthony R. Stadie
CW04 Industrial Manager
USCG Group Woods Hole
Commander: Eng. Support Activity
Woods Hole, MA 02543

Ray Sterling
Unit Administrator
US Army Reserve Center
1072 Minot Avenue
Auburn, ME 04210

Joseph Stlllings
Safety & Occupational Health Mgr.
VA Medical Center
718 Smyth Road
Manchester, NH 03104

John A. Stockhaus
Facilities Management Officer
MA National Guard
Camp Curtis Guild, Haverhill Street
Reading, MA 01867-1999

Stanely B. strange
Maintenance Programs Specialist
US Postal Service
141 Weston Street
Hartford, CT 06101-9341
                                -xxi-

-------
 Colleen Streln
 Env.  Rep.
 US Army-Natick  RD&E Ctr.
 Kansas  Street STRNC-DF
 Natick,  MA 01760

 Robert  Swartz
 Shop  Operation  Manager/ DDL
 Department of the Army
 Headquarters Fort Devens
 Fort  Devens, MA 01433-5100

 Wes Sykes
 Coast Guard Facility
 Design & Constr. Center
 5505  Robin Hood Road, Suite K
 Norfolk, VA 23513

 Joseph Tammaro
 Deputy Director, DEH
 Department of the Army
 Headquarters Fort Devens
 Fort  Devens, MA 01433-5100

 Evelyn Tapani
 Environmental Analyst III
 DEP
 1 Winter Street
 Boston, MA 02108

 Judith A.  Tarbox
 Commanding Officer
 Naval Communication Unit Cutler
 East Machias, ME 04630-1000
Emery W. Teoli
Safety Program Manager
VA Medical Center
150 S. Huntington Avenue
Boston, MA 02130

R. E. Terry
Public Works Officer
US Navy
Naval Air Station
Brunswick, ME 04011

Betty J. Thompson
Chief, Defense Reutilization & Mktg
Loring AFB
DRMO Loring, P.O. Box 1021
Loring AFB, ME 04751-6100

Kenneth Torrisi
Hazardous Waste Manager
Federal Aviation Administration
12 New England Executive Park
Burlington, MA 01803
Robert W. Varney
Commissioner
NH Dept. of Env. Services
P.O. Box 95
Concord, NH 03302-0095

Franklin H. Violette
Chief, Environmental Management
Loring Air Force Base
42 CES/DEV
Loring AFB, ME 04751

Helen Waldorf
Response & Remediation Branch Chief
MA DEP
1 Winter Street
Boston, MA 02108

Eric E. Weiss
Judge Advocate
OL-AS14-2400RRMS/JA Westover AFB
439th Combat Support Group
Westover, MA 01022

Michael C. Whittington
US Air Force Regional Counsel
USAF/JACE-ER; 77 Forsyth Street SW
Atlanta, GA 30335-6801
Stephen E. Willette
Industrial Hygenist
Portsmouth Naval Shipyard
Naval Medical Clinic Bldg H-l,
Portsmouth, NH 03801

Robert D. Williams
Executive Officer
USCG Station Portsmouth Harbor
New Castle, NH 03854-0600
Linda Wofford
Sr. Engineer
RI DEM Div. of Air & Haz. Mat.
291 Promenade Street
Providence, RI 02908

Gordon Wright
Industrial Hygenist
Portsmouth Naval Shipyard
Industrial Hygiene Dept., Bldg H-l
Portsmouth, NH 03801

William Zoulias
Field Supervisor
Tricll Env. Mgmt.
69 Harrison
Haverhill, MA 01830

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             Region I Federal Facilities Program
                                  Introduction
                                 Anne H. Fenn
-I-

-------
Anne H. Fenn
Region I Federal Facility Program Manager
Anne H. Fenn is the EPA Regional Program Manager for the Federal
Facility Program.  In this capacity, she is responsible for
developing and managing the implementation of a cross-media
program to ensure environmental compliance at Federal Facilities
in Region I.  Prior to accepting this position in June 1989, Ms.
Fenn was on assignment from the EPA Washington DC Headquarters
Office to the Massachusetts Department of Environmental
Protection (DEP) for two years.  At Mass DEP, she was the Project
Manager responsible for developing the Massachusetts Contingency
Plan (the regulations to clean up hazardous waste disposal sites
in Massachusetts).

Before moving to Massachusetts, Ms. Fenn spent eight years with
the EPA Office of Emergency and Remedial Response "Superfund
Office", and the Office of Pesticides and Toxic Substances.  She
also worked at the Congressional Office of Technology Assessment
for two years, and with two National Environmental Public
Interest Organizations.  Ms. Fenn received her Masters Degree in
Science, Technology, and Public Policy from George Washington
University.

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    Federal Facility Program
               Goal

  EPA shall help ensure that Federal
 Agencies achieve compliance rates in
  each media program which meet or
 exceed those of major industrial and
major municipal facilities. EPA will use
full range of enforcement authorities to
         ensure compliance.

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        Activities
Build internal capability for
Cross-Media Program

Identify and conduct outreach
with Federal Facilities

Conduct 1st Federal Facility
Conference

Develop  Federal Facility
Tracking System

Develop  Multi-Media Compliance
Strategy "Environmentally
Significant" Facilities

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The EPA Federal Facility Program and Compliance Strategy
                                   Gordon Davidson
     -II-

-------
                              BIOGRAPHY

     Gordon Davidson is Acting Director of the U.S. EPA's Office of
Federal Facilities Enforcement (OFFE) in the Office of Enforcement.
Mr. Davidson manages a national enforcement program for overseeing
the cleanup of Federal facilities and ensuring that Federal
facilities comply with all environmental lavs.  Mr. Davidson has
over ten years experience in hazardous waste management including
policy, field and management applications.  He has been involved in
numerous Superfund and RCRA sites and has managed environmental
compliance and regulatory programs for a major waste management
company.  Mr. Davidson managed EPA's RCRA/Superfund Hotline program
from 1984 to 1986 and has consulted to all levels of government and
the private sector.  He currently teaches hazardous waste management
courses in Duke University's environmental management graduate
program.  Mr. Davidson holds a biology degree from Wittenberg
University and MEM in Environmental Management from Duke University.

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Notes

-------
Notes

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 "me State Perspective" Federal Facility Compliance
                               James Colman
-in-

-------
                              James C. Colman
                          Assistant Commissioner

           Massachusetts Department of Environmental  Protection
                       Bureau of Waste Site Cleanup
                             100 Winter Street
                        Boston, Massachusetts 02108
                              (617) 292-5500

James Colman Is the Assistant Commissioner of the Bureau of Waste Site
Cleanup for the Massachusetts Department of Environmental  Protection.   In
this capacity, he Is responsible for directing and managing the
Commonwealth's hazardous material emergency response program, and all  waste
site assessment and cleanup programs.

Mr. Colman began working with the Department in 1977.  In 1979 he became
the Director of the Wetland Protection Division, where he worked on the
coastal wetland regulations.

In 1980 he became the Director of the Regulatory Task Force In the Division
of Hazardous Waste where he worked on the Phase I regulations.

In 1983 Mr. Colman was named Acting Director of Office of Incident
Response, responsible for managing the Commonwealth's Super-fund and
Emergency Response program.  He became Director of that office in 1985.

Mr. Colman holds a Bachelor's degree from Brandeis University, and a
Master's degree from the University of Massachusetts in Regional Planning.

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Notes

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Notes

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Waste Management
 Division Programs
      -IV-

-------
Introduction to Waste Management Division Programs
                                 Merrill Hohman
 IV-l

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MERRILL S. HOHMAN-Director
Waste Management Division

Merrill S.  Hohman, has more  than 30 years of  experience in the
environmental  field,  28  of  which is with the Federal government.
A Charter Member of the Senior Executive Service, he has been with
EPA  since  its creation  in  1970.   He  served as Director of the
Management Division  from then until 1973 when he began a year of
training at the Kennedy School of Government, Harvard University.
Returning in  June  1974,  he became  Director of  Air and Hazardous
Materials  Division  administering  programs   in air,  radiation,
pesticides, toxic  substances  and waste  management.   He was named
to  his  current  position  in May   1982,  following  a  regional
reorganization.

Merrill has worked  for consulting engineering firms, the U.S. Army,
the Vermont State  Department  of  Water  Resources,  the U.S. Public
Health Service, the Federal  Water Pollution Control Administration
and its successor, the Federal Water Quality  Administration.   He
was Northeast Director of Program Planning and Management for FWQA
when it was absorbed by the newly created EPA in 1970.

A  registered   professional  engineer, Merrill  is  a   graduate  of
Northeastern University and  holds Master's Degrees from Harvard in
Sanitary Engineering and Public Administration.   He and his wife,
Barbara,  live in Norwood, Massachusetts.  They have two daughters
and four grandchildren.  Merrill is a very active member of Lions
Clubs International.

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Overview-Comprehensive Environmental Response,
	Compensation and Uability Act (CERCLA)
                              Mary Sanderson
 IV-2

-------
Mary C. Sanderson, Chief
Federal Facilities Superfund Section
U.S. Environmental Protection Agency
JFK Federal Building  (HAN-CAN1)
Boston, MA  02203

617/573-5711
FTS:833-1711
Mary Sanderson is the chief of the newly formed Federal
Facilities Superfund Section in the Waste Management Division, as
well as the EPA Remedial Project Manager for the New Bedford
Harbor Superfund Site.  She has worked in the Superfund Program
in the Region I office for approximately 5 years.  She has been
the project manager for a wide variety of Fund-lead and PRP-lead
sites, from the investigatory stages through remedy selection and
remedial design and construction.

Mary has worked in the environmental field for over 10 years.
Prior to worKing in Superfund, Mary worked in the RCRA program as
an inspector and permit writer.  She holds a B.S. in Civil
Engineering from the University of Massachusetts and a M.S. in
Appiiec Management from Lesley College.

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            CERCLA
  STATUTORY OVERVIEW
Section 120 requires Federal facility compliance
Requires EPA to establish docket listing Federal
facilities which require investigation
   -  1,170 facilities listed
   -  updated every six months

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            CERCLA
   STATUTORY OVERVIEW
PA to be conducted within 18 months of docket listing
SI conducted if indicated
MRS applied to determine NPL listing

-------
            CERCLA
  STATUTORY OVERVIEW
Federal facility begins RI/FS within six months
of NPL listing

EPA and State publish enforceable timetable and
deadlines

EPA and State overview of RI/FS

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             CERCLA
   STATUTORY  OVERVIEW
Cleanup begins no later than 15 months after RI/FS
completion

Annual report to Congress submitted by Federal
departments and agencies

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             CERCLA
   STATUTORY  OVERVIEW
Federal facilities enter into IAG with EPA for RA
- vehicle for remedy selection
- three parties: Federal facility, EPA, State
- executed at RI/FS stage
- enforceable by citizens and State

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FUNDING
        Cleanup funding requested by President
        Appropriated and overseen by Congress

-------
     DISPUTE  RESOLUTION
In DOJ view, Federal agencies may not sue each other

May not issue administrative orders without prior
opportunity to contest

Based on constitutional principles of unity and unitary
authority

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     DISPUTE  RESOLUTION:
              CERCLA
Section 120 IAG for NPL sites

EPA may issue Section 104 and 106 orders with DOJ
concurrence

All authorities available against contractors at GOCO
facilities

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Federal Facility Hazardous Waste Compliance Docket
                                   Carol Keating
   IV-3

-------
Carol Keating
Remedial Project Manager
Federal Facilities Superfund Section
U.S. Environmental Protection Agency
JFK Federal Building  (HAN-CAN1)
Boston, MA  02203

617/573-5764
FTS:833-1764
Carol is a Remedial Project Manager in the Federal Facilities
Section in the Waste Management Division, as well as the Federa:
Facility Docket Coordinator for the Region.  She has worked for
EPA for the past year on two Navy facilities in Rhode Island.

Carol has worked in the environmental field for over 7 years for
a variety of private firms, predominantly in the Washington, D.C,
area.  She holds a B.S. in Environmental Studies from Stockton
State College and a M.S. in Hazardous Materials Management from
Tufts University.

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             CERCLA
           Section  120
"Each department, agency, and instrumentality of
  the United States... shall be subject to, and
comply with, this Act in the same manner and to
the same extent, both precedurally and substan-
    tively, as any nongovernmental entity..."

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                 CERCLA
             Section  120(c)
Creation of the "Docket"
 • Identification and Evaluation of Facilities
 • Compilation and Maintenance of Information
 • Public Access to Information

-------
               CERCLA
       Section  120(c) (cont.)
Reporting Provisions
  • RCRA Section 3005
  • RCRA Section 3010
  • RCRA Section 3016
  • CERCLA Section 103

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               CERCLA
           Section 120(d)
Preliminary Assessment (PA)
Site Screening Investigation (SSI)
Executive Order 12580
No Further Remedial Action Planned (NFRAP)
Hazard Ranking System (MRS)

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REPOSITORIES
      Regional
      National
      Updates

-------
     DEFINING  A  FACILITY
       RCRA "property-based" definition

"encompasses all contiguous land that is owned by a
department, agency, or instrumentality of the United
   States... including all individual sites or units on
   owner's property, including Government-owned,
       contractor-operated sites (GOCOs)..."

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  DEFINING A "FACILITY"  (cont.)
Exclusions
  •  Formerly Used Defense Sites (FUDS)
  •  Small Quantity Generators (SQGs)*
  •  RCRA Section 3010 - Transporters
                       *Exception

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    REGION I
DOCKET STATUS
12  NFRAP
21  SSI
 1  No Submittal from Facility
_9  NPL
43  Total

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      The Revised Hazard Ranking System (HRS)
                                 Nancy Smith
IV-4

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                                                  NANCY A. SMITH
                                                       Geologist
                            U.S. Environmental Protection Agency
                                                        Region I
QUALIFICATION SUMMARY

Ms. Smith has five years of experience as an EPA environmental
consultant for both the CERCLA and RCRA programs in Region I,
working on the Field Investigation Team (FIT) from 1984-1988, and
the Technical Enforcement Support (TES) contract from 1988-1989.

More recently, Ms. Smith served as the State Coordinator for the
Region I Massachusetts Waste Regulation Section (RCRA) in 1989,
and since February of 1990, has taken over as the Region I
HRS/NPL Coordinator for the Superfund program.  Ms. Smith has a
strong background in Hazard Ranking System (HRS) scoring of
sites, including Federal Facilities, in New England.  She has
prepared a number of HRS packages for NPL site listings, and
served as the HRS Group Leader and principal reviewer of HRS
packages prepared under both the FIT and TES contracts.  Ms.
Smith provided technical assistance to EPA HQ in the development
of the revised HRS model, and is the Region's point-of-contact
for information and training on the new HRS model.

Ms. Smith received her Bachelors of Science degree in Geology
from Grand Valley State Colleges in Michigan, in 1981.  She also
performed graduate studies in Geology at Boston College from
1981-1984.

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The Revised Hazard Ranking System

-------
                     The Original MRS
The original MRS was mandated by CERCLA in 1980 and was issued on
July 16,1982. It has been applied to at least 2,000 sites and has resulted in
1,109 sites being placed on the NPL.

Section 105(8)(A) of CERCLA required EPA to establish "criteria for
determining priorities among releases and threatened releases" and
stated specific considerations:

  -  Population at risk
  -  Hazard potential of the hazardous substances
  -  Potential for contamination of drinking water supplies
  -  Potential for direct human contact
  -  Potential for destruction of sensitive ecosystems

The original MRS was 45 pages long.

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                                 MAJOR CHANCES IN PROPOSED HRS
ONSITE EXPOSURE ROUTE
          Old Model

-Scored to determine if
 emergency action warranted

-Not factored into the overall
 HRS score
          Proposed Model

-Considered as one of the four
 major pathways.

-Must have onsite surficial
 contamination or pathway will
 score 0.

-Considers risks from dermal
 contact and inhalation

-Evaluates onsite and nearby
 population and their likelihood
 of exposure
DRINKING WATER TARGETS
 -Potential targets given same
 weight within entire 3-mile
 radius
-Potential targets are distance-
 weighted (i.e. higher weight
 given to drinking water sources
 nearest the site)

-Target distance limits are  increased
    4 mile radius for groundwater
    15 mile radius for surface water
 ENVIRONMENTAL EFFECTS
 -Environmental effects are
  insignificant in overall
  score.
-Actual and potential  impacts receive
 greater emphasis.

-Types of sensitive environments expanded

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                                         Old Model
                                             Proposed Model
AIR ROUTE
-An observed release must
 be documented.
-Assesses the relative risk associated
 with actual OR potential releases
 of hazardous substances to the air
HAZARDOUS WASTE QUANTITY
-Quantity based on actual
 amount of waste disposed
 on the site.
-A tiered approach is used.  Waste quantity
 can be determined by using either
   1.  Hazardous waste constituent quantity,
   2.  Quantity of waste as disposed, or
   3.  volume or area calculations

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           The Pathways of the Revised HRS
Ground Water

Surface Water-Overland/Flood Migration Component
               Drinking Water Threat
               Human Food Chain Threat
               Environmental Threat

            --Ground Water to Surface Water Migration Component
               Drinking Water Threat
               Human Food Chain Threat
               Environmental Threat

Soil Exposure-Resident Population Threat
             Nearby Population Threat

Air

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            The Changes Required by SARA
Revisions to the MRS were mandated by SARA in 1986. The revised MRS
is 323 pages long.

Some of the increased length can be attributed to specific requirements of
SARA, such as 105(a)(8)(A).

 -  Potential contamination of the ambient air is now included in the air
    pathway.

 -  Threat through the human food chain is a separate subpathway for
    surface water. There is not enough scientific knowledge to assess the
    terrestrial food chain.

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     The Changes Required by SARA (continued)
Section 105(c)(2) requires appropriate assessment where surface water is
or can be used for recreation or potable water consumption.

  -  Threat to drinking water is a separate subpathway for surface water.

  -  Threat to recreational use of surface water was a separate
    subpathway in the proposed revisions but was dropped after the field
    test.

Section 118 requires consideration of closed drinking water wells or
contaminated principal supply.

  -  A premium is placed on targets subject to actual as opposed to
    potential contamination, particularly if the level of contamination is
    over benchmarks.

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     The Changes Required by SARA (concluded)
Section 125 requfres appropriate consideration of large-volume RCRA
wastes: quantity, toxicity, concentration, mobility, degree of risk.

 -  Quantity assessment has three tiers, including quantity of pure
    hazardous substance.

 -  Mobility against ground water and air releases is assessed.

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           "To the Maximum Extent Feasible"
Section 105(c)(1) of SARA requires that the amendments:

  "...shall assure, to the maximum extent feasible, that the hazard ranking
  system accurately assesses the relative degree of risk to human health
  and the environment."

Congress saw this as a substantive standard against which the revisions
to the MRS could be assessed, as seen within the context of the pre-
remedial program:

  "This standard does not, however, require the Hazard Ranking System to
  be equivalent to detailed risk assessments, quantitative or qualitative,
  such as might be performed as part of remedial actions."

  "This provision is intended to assure that the Hazard  Ranking System
  performs with a degree of accuracy appropriate for its role of
  expeditiously identifying candidates for response actions."

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     Response to the Congressional Requirement
The revised MRS has been field-tested at 29 sites.

The same sites have been subject to a qualitative risk assessment to assure
that the threats are appreciated.

The field test results have been assessed for application problems and for
technical feasibility.

Approximately another 80 sites have been scored so that the impacts of
structural changes could be studied on a database of 110 sites.

Public comments have been considered and responded to.

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      Structural Features from Risk Assessments
Examples:

 -  Toxicity, mobility, and quantity are in a multiplicative relationship
    and are all on linear scales.

 -  Population values are without cap.

 -  Potentially exposed targets are distance or dilution weighted.

 -  The toxicity factor has been revised to place priority on
    carcinogenicity and non-carcinogenic chronic effects.

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     Features Added to Assess Special Situations
Examples off features that will not require assessment at the typical site:

 - The threat from the release of contaminated ground water to surface
   water can be assessed.

 - A separate chapter has been added on the assessment of radionuclides.

 - Karst is given special consideration at five places in the ground water
   pathway.

 - Procedures for assessing plumes without sources are given for ground
   water and surface water.

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                       Simplification
Examples:

 -  Items that were found hard to apply in the field test have been dropped
    or modified.

     - Containment definitions - revised, shortened
     - Hazardous Waste Quantity - much less complex
     - Recreation subpathway - dropped
     - Food Chain Population - simpler procedure

 -  Look-up tables and maps have replaced calculations.

 -  Wide scoring ranges have been applied that reflect the uncertainty
    typically encountered in the field.

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      The Revised National Contingency Plan (NCP)
                                Mary Sanderson
IV-5

-------
The 1990 National Contingency Plan (NCR):
  o Framework regulation for the Superfund program.
  o Published in the Federal Register on March 8,1990 (55 FR 8666).
  o Applies to responses to oil spills and hazardous waste releases conducted
    by EPA, other federal agencies, states, and private parties.

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Major changes from proposed NCR:


  o Risk range and point of departure:

    — The 1990 NCR states that generally acceptable levels for carcinogens
       fall within a range of 1O4 to 1Q-6. This means that an acceptable exposure
       is when the excess risk to an individual of contracting cancer due to a
       lifetime exposure to a certain concentration of a carcinogen falls be-
       tween 10-4 to 10*.

    — The point of departure when using the risk range is 106.

    — NCP section 300.430(e)(2)(i)(A)(2).

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Major changes from proposed NCP (continued):


  o Use of MCLGs and MCLs as ground-water cleanup standards:


    — For cleanup of ground water that is or may be used for drinking,
       maximum contaminant level goals (MCLGs) above zero generally will be
       cleanup standards where relevant and appropriate.

    — When an MCLG equals zero (generally for carcinogens), the corresoond-
       ing maximum contaminant level (MCL) generally will be used as the
       cleanup level where relevant and appropriate.

    — NCP section 300.430(e)(2)(i)(B).

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jMajor changes from proposed NCP (continued):

  o More emphasis on treatment when selecting remedies:

    — Program goal is to select remedies that are protective of human health
       and the environment, that maintain protection over time, and that
       minimize untreated waste.  NCP section 300.430(a)(1)(i).

    — Program expectations are included in  the rule, e.g., highly toxic or
       mobile waste will be treated, wherever practicable.
       NCP section 300.430(a)(1)(iii).

    — Emphasis given to 2 of the 5 balancing criteria when selecting a remedy:
       "long-term effectiveness and permanence" and "reduction of mobility,
       toxicity, or volume through treatment."  NCP section 300.430(f)(1 )(ii)(E).

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o More emphasis on treatment when selecting remedies (continued):

    — Range of source control options:

       o  Treatment option to eliminate, or minimize to extent feasible, the
          need for long-term management.

       o  Treatment options which reduce the toxicity, mobility, or volume of
          wastes as their principal element.

       o  One or more containment options utilizing little or no treatment.

       o  No-action alternative.

       o  NCP section 300.430(e)(3).

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o More emphasis on treatment when selecting remedies (continued):

    — Ground-water expectation:

       o  Return usable ground waters to their beneficial uses wherever
          practicable, within a timeframe that is reasonable given the
          particular circumstances of the site. Section 300.430(a)(1 )(iii)(F).

    — Factors that influence selecting ground-water remedy:

       o Remediation level.

       o Restoration time period.

       o Methodologies/approach.

       O 55 FR 8732.

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Major changes from proposed NCP (continued):
  o Functional categories for the nine criteria (NCP sections 300.430(e)(9)
    and300.430(f)(1)(i)).
    — Threshold
       o Protection of human health and the environment.
       o Compliance with applicable or relevant and appropriate
         requirements (ARARs).

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Major changes from proposed NCP (continued):
  o Functional categories for the nine criteria (continued):
    — Primary balancing
       o  Long-term effectiveness and permanence.
       o  Reduction of toxicity, mobility, or volume through treatment.
       o  Short-term effectiveness.
       o  Implementability.
       o  Cost.
    — Modifying
       o  State acceptance.
       o  Community acceptance.

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Major changes from proposed NCP (continued):


  o Compliance with land disposal restrictions (LDR):

    — "Placement" occurs when excavation  is followed by treatment and
       replacement of residuals on land. Placement may trigger LDR.

    — Preamble states that BOAT levels are presumed not to be appropriate for
       contaminated soil and debris. Accordingly, when LDR is applicable to
       soil and debris waste, a showing that BDAT is not appropriate is not
       required to obtain a treatability variance.

    — Lead agency need only document in proposed plan and ROD that:

       1. Wastes are soil or debris.

       2. Compliance with LDRs will be achieved through treatability variance.
         Alternative level selected should be based on the Superfund
         guidance no. 6A (as revised).

    — 55 FR 8758.

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Major changes from proposed NCP (continued):


  o Newly promulgated or modified requirements ("freezing" ARARs at the
    ROD):

    — Requirements promulgated or modified after the ROD is signed will be
       attained (or waived) only when determined to be ARAR and necessary
       to ensure protectiveness.

    — NCP section 300.430(f)(1)(ii)(B)(1) and (2).

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Major changes from proposed NCP (continued):


  o Public participation requirements:

    — Specific requirement to notify community of availability of technical
       assistanpe grants (TAGs). NCP section 300.430(c)(2)(iv).

    — Public comment period can be extended an additional 30 days.
       NCP section 300.430(f)(3)(i)(C).

    — At completion of remedial design, lead agency must issue fact sheet and
       provide opportunity for public briefing.  NCP section 300.435(c)(3).

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Major changes from proposed NCP (continued):


  o Five-year review:

    — Five-year review required when hazardous substances will remain on-
       site above levels that allow for unlimited use and unrestricted exposure
       NCP section 300.430(f)(4)(ii).

    — Preamble states that it may generally not be appropriate to delete a site
       before conducting at least one "five-year" review after completion of the
       remedial action.  55 FR 8699.

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         Interagency Agreement Process Status
     Installation Restoration Program Integration
                            State Involvement
                              Mary Sanderson
IV-6

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CERCLA Section 120 Agreements

• Incorporate RCRA and CERCLA requirements under
  enforceable agreement

• Provide comprehensive plan lor investigatory and
  remedial activities

• Signed by State, U.S. EPA and FF to ensure coordi-
  nated activities

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Section 120 Interaaencv Agreements ClAGs)
• EPA makes final decision on remedy
• State standards must be considered
• States and citizens can enforce

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MODEL  lAGs
        Jurisdiction
        Purpose
        Statutory Compliance/RCRA-CERCLA Integration
        Dispute Resolution
        Enforceability
        Stipulated Penalties
        Extensions
        Force Majeure
        Funding

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                   RCRA/CERCLA Integration
                            Mary Sanderson
IV-7

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         RCRA/CERCLA
           INTEGRATION
Statutory overlap includes jurisdictional overlap

-  between Federal RCRA and CERCLA programs

-  between State and Federal programs, such as State
  RCRA base program and Federal CERCLA or HSWA
  programs

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       RCRA/CERCLA
        INTEGRATION
Overlaps may
- slow cleanups
- result in inconsistent or duplicative cleanup
  activities

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         RCRA/CERCLA
          INTEGRATION
Unresolved issues

-  which should be primary cleanup vehicle when both
  apply

-  how to use the statutes together

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        RCRA/CERCLA
         INTEGRATION
Coordinated response mechanism under development
Three party IAG
- recognizes State rights and regulatory role
- can include RCRA and State law

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Emergency Response, Chemical Release and Oil Spills
                                    David Tordoff
  IV-8

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                       Biography of David W. Tordoff


      Mr. Tordoff has been employed by the Agency since 1976, initially
working in air and water pollution monitoring.

      Since 1978, David W. Tordoff has been an On-Scene Coordinator,
responding to oil and chemical emergencies to assure the cleanup, or mitv
gatlon, of the effects of the spilled materials, as well as conducting
stabilization actions at various hazardous waste sites.

      Mr. Tordoff has served on several  national work groups, or task
forces, involved with developing regulations on Reportable Quantities,
Readiness, Oil Pollution Prevention, and the National Contingency Plan.

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                UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
                   EMERGENCY PLANNING AND RESPONSE BRANCH
                       RESPONSE AND PREVENTION SECTION
                             60 Westview Street
                     Lexington,  Massachusetts  02173-3185
                       Normal  Business:  (617)  860-4360

 This document  serves a brief  outline  of  the Federal Oil and Hazardous
 Substance Spill  Response and Oil  Pollution Prevention Programs.  For
 details  consult  the  referenced laws and  regulations.
                                  RESPONSE
Authority
Regulated
Pollutant:
Reportable
Quantity:
   Media:
Notification
                   fill
FWPCA  (Section 311)
P.L. 92-500  (As Amended
by Oil Pollution Act of
1990)

6 Oil of any kind
€ Certain Specific
  Hazardous Substances

e Sheen of Oil
% Quantities listed in
  40 CFR 117
6 Navigable Haters of the
  the United States
  (including tributaries)
6 Adjoining Shorelines
6 Affecting Natural Resources
     Notify: the NATIONAL
     RESPONSE CENTER:
     (800) 424-8802
Hazardous Substances

CERCLA (Superfund)
P.L. 96-510 (As
Amended by SARA -
     P.L. 99-499)

8 Hazardous Substances
G Hazardous Haste
@ Quantities listed in
  40 CFR 302
6 1 Pound for all
  others

6 Environment - Air
              - Land
              - Hater
        - Groundwater

     Notify: the NATIO1
     RESPONSE CENTER:
     (800) 424-8802
   Note:  If the NATIONAL RESPONSE CENTER cannot be reached, the
   following USCG and USEPA offices maintain 24 Hr telephone numbers
   in New England, and may serves as a backup.  If you are not sure
   of which Office YOU should call...call the nearest one;
                                 INLAND AREAS
   USEPA;
   USCG;
   USCG;
   USCG;
   USCG;
     Lexington, Massachusetts
                   COASTAL AREAS

     Captain of the Port, Portland,  Me
     Captain of the Port, Boston,  Ma
     Captain of the Port, Providence,  RI
     Captain of the Port, New Haven, Ct
          (617)  223-721
          (207)  780-32.'
          (617)  223-30'
          (401)  528-53.
          (203)  773-24.

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YOU MOST ALSO REPORT 8PXLL8 TO THE STATE WHERE THE SPILL OCCURRED
Maine     Prom Inside the State of Maine
          From Outside the State of Me. (Day)
          From outside (Non-working Hours-State Pol.)
Mew Hampshire
     (0800-1630) on Workdays
     Non-working Hours (From Inside NH)
     or From outside NH
Vermont   From Inside Vermont
          From outside Vermont
Massachusetts
Rhode Island
     NONWORKINO HOURS
     Working Hours (0900-1700) Call DEP at:
     Northeast Region (Woburn)
     Southeast Region (Lakeville)
     Central Region   (Worcester)
     Western Region   (Springfield)

     Dept. of Environmental Management
     Oil Spills (Day)
     Chemical Spills (Day)
     Oil & Chemical Spills (Nonworking Hrs)
     (800)  482-0777
     (207)  879-6300
     (207)  883-3473

     (603)  271-3503
     (800)  346-4009
     (603)  271-3636

     (800)  641-5005
     (802)  244-8721

     (617)  566-4500

     (617)  935-2160
     (508)  946-2850
     (508)  792-7653
     (413)  784-1100
                                                       (401) 277-2234
                                                       (401) 277-2797
                                                       (401) 277-2284
Connecticut    Oil and Chemical Emergency Response     (203) 566-3338
Note:
All Telephone Numbers are as of 1 March 1990
Response is:
Spiller's
Responsibility
Response:
Federal
Responsibility
               Oil

          6 Stop, Contain the
            Discharge
          @ Control the Discharge

          6 Remove the discharged
            oil

          § Receive & Evaluate
            reports
          G Respond to the Spill
          £ Monitor Actions for
            "proper" removal

          % If Spiller: 1) Cannot,
            2) Does not, or 3)
            Performs improper
            removal, Conduct Federal
            Removal with Federal Funds
            (Section 1012 of the OPA)
Hazardous Substances

8 Stop, Contain the
  Release
6 Control the
  Release
% Remove the
  Released

% Receive & Evaluate
  reports
6 Respond to the
  Spill
€  Monitor Actions
   for "proper"
   removal
£ If Spiller:
  1) Can't
  2) Does not, or
  3)Performs
    improper removal
    Conduct Federal
    Removal with
    Federal Funds
    (Section 104,
       CERCLA)

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                               LIABILITIES
Spiller's
Liability
                    Section 311 of the FWPCA
                    (As Amended by the OPA)
  311(b)(5); Failure to
  Notify.
  311(b)(6); Adminstrative
  Penalties
                      311(j)(5); Tank Vessel
                      and Facility Response
                      Plans

                      311(m)(2); Entry &
                      inspection

                      311(f); Recovery of all
                      actual costs
                              CERCLA (Superfund)
                              (As Amended by SAR
8 Section 103;
  Failure to Notif
£ Section 109;
  Various civil
  penalty
  situations
6 Section 107;
  Cost Recovery-Dp
  to 3 times the
  actual cost
                       OIL POLLUTION PREVENTION
Prevention of the Release of a Hazardous Substance or the Discharge
Oil will minimize any potential for liability.  Some spills may stil
occur.


A strong Spill Prevention Control and Countermeasures (SPCC) Plan wi
help to prevent, or mitigate, the damage caused by spills.
                               SPCC PLAN
What is it?
A HELL THODGHT-OOT WRITTEN DOCUMENT
What does it
describe?
Hhat does an
SPCC Plan
look like?
It describes the facility, its oil storage, the
procedures for handling oil, the features used t
control spillage, and the countermeasures that
would be employed, should a spill occur.
An SPCC Plan is a written document that address
the following topics

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                      Topics  for an SPCC Plan
                a.   The Facility
                b.   Oil Storage     (Tanks, Drums, Transformers,
                                    Machine Reservoirs, etc)
                c.   Type(s) and quantities of oil which might be
                                    discharged.
                d.   Where the discharged oil might migrate to, and
                                    anticipated rate of flow.

                e.   Procedures for  handling oil (truck/rail loading
                                    and unloading, transfering within
                                    the facility, etc)
                f.   Harmful Effects of the potentially discharged oil
                                    (Human and Environmental)
                g.   Structures/Procedures/Equipment for the control of
                                    oil spills.
                h.   Cleanup Procedures that would be followed for
                                    small and large spills
                i.   Disposal of recovered materials
                j.   Contact Telephone Numbers [24 hr (365 days a yr)]
                                    Own Personnel, Local, State, and
                                    Federal Gov., Cleanup Contractors,
                                    etc
                k.   Security measures at the facility (fences, lights,
                                    watchmen, etc)
                1.   Training of personnel in the Plan (THE PLAN SHOULD
                                    BE IMMEDIATELY AVAILABLE AND
                                    "COMMON KNOWLEDGE" TO ALL
                                    EMPLOYEES)
Where is it?
               At the Facility, or if not manned for 8 hours per day,
               at the nearest field office.

Who cares?     1. The Owner/Operator of the facility.  The Plan, when
                  fully implemented, and believed in, may save time,
                  effort, and money, by preventing, or mitigating, the
                  effects of an oil spill.

               2. The EPA's SPCC Plan Inspector—the Plan must be
                  available for review by the EPA, during a normal
                  workday.

Facilities must have an SPCC Plan if they store " oil of any kind"
(40 CFR 112), and...
A.   Criteria for needing an SPCC Plan

     1.   Above Ground Storage
          Below Ground Storage
                                   Greater than 1,320 Gallons (Total)
                                   or 1 Tank over 660 gallons

                                   OR

                                   Greater than 42,000 gallons

                                   AND
          The facility can "reasonably" be expected to discharge oil
          to "Haters of the U.S." (without consideration of manmade
          structures designed to prevent a spill from reaching water).

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 B.    Plan Requirements
 1.    Must be a written plan
 2.    Must be certified by a registered  Professional Engineer
 3.    Must be available for inspection during  a normal workday.
                         SPCC LIABILITIES

 1.    40  CFR 112.6    FACILITY HAS NO PLAN.
                     The  Plan is not Certified.
                     The  Plan is not fully implemented.
                     Facility has not amended the Plan (When
                     Applicable).

 2.    40  CFR 112.4    Facilities are required to amend their Plans,
                     IF:

      40  CFR 112.5    the  ability to discharge changes, or if:


                     a.   A discharge of more than 1,000 gallons occur:
                         to
                         "Haters of the U.S.", or adjoining shoreline;
                     b.   Two water related spills occur within a
                         calendar year of each other

                     SPCC PROGRAM WITHIN REGION I

 1.    Three  types of  SPCC Inspections are done within Region I

A.    Plan Review     This is a review done, at the request of the
                     facility. The inspector reviews the Plan, may
                     suggest adjustments, and no action is taken.
                     This does not release the facility of spill
                     liability, but may provide some good suggestions
                     for  Plan improvements.

B.   Amendment       This is conducted for Facilities which have had
                     the  1,000 gallon spill, or 2 spills within the
                     calendar year.  Based on this inspection, the
                     EPA may require changes of the Plan or facility.

C.   Field Audit    These are conducted, on a random basis,
                     throughout New England, to check facilities and
                    and their Plans.

2.   A two stage program is used to affect correction of Plan
     discrepancies

A.   Notice of Deficiency

     1.   Minor deficiencies, observed by the Inspector, are cited or
          a Notice of Deficiency.
     2.   Presented to the "Person in Charge" by the Inspector.
     3.   Used to cite discrepancies which are deemed to be readily
          correctable (ie; nonworking high level alarm).

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      4.    Requires a  Statement  of Correction to the Inspector, within
           30  days.

 B.    Enforcement

      1.    Conducted by  the  regional enforcement center.

      2.    May lead to a Notice  of Violation, which is used to cite
           a significant discrepancy (ie; Failure to prepare an SPCC
           Plan).

      3.    A Notice of Violation assesses a penalty.

      4.    May be  the  result if  a Statement of Correction is not
           received after a  Notice of Deficiency was issued.
Code of Federal
Regulations Citation

1.   29 CFR 1910.106
2.   33 CFR 154
3.   33 CFR 156
4.   40 CFR 264
5.   40 CFR 265
                       RELATED REGULATIONS
Regulatory
  Agency

OSHA
     Primary
     Industry
                    Topic
USCC
OSCC
Marine Oil Znd.
DSEPA
USEFA
 All Oil Storers  Flammable &
                  Combustible
                  Liquid Storage
                  Safety Related
                  Storage
                  Requirements

Marine Terminals  Oil Pollution
                  Prevention
                  Regulations
                  For Marine
                  Transfer
                  Facilities

                  Oil and
                  Hazardous
                  Material
                  Transfer
                  Operations

                  Standards for
                  Owners and
                  Operators of
                  Hazardous Naste
                  Treatment,
                  Storage, and
                  Disposal
                  Facilities

                 Interim status
                 Standards for
                  Owners &
                  Operators of
                  Hazardous Naste
                  Treatment,
                  Storage, and
                  Disposal
                  Facilities
Hazardous Haste
     Generation
Hazardous Naste
Generation

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 6.    40 CPR  355
7.
40 CFR 761
                    USEPA
USEPA
8.   49 CPR 195
                  DOT-EPS
Chemical
Manufacture 6
Storing & Use

Hazardous Haste
Utilities
          Commercial
          Pipelines
Emergency
Planning &
Notification

PCBs
Manufacturing,
Processing,
Distribution in
Commerce, and U:
Prohibitions

Transportation <
Hazardous Liquic
by Pipeline
All of the above documents may be obtained through the Government
Printing Office, which maintains a bookstore at the Thomas P.
O'Neill Jr Federal Building, in Boston, Massachusetts.

          Superintendent of Documents
          Thomas P. O'Neill Federal Building
          10 Causeway Street
          Boston, Massachusetts 02203

          (617) 565-6680  (9:00 AM - 5:00 PM)

NFPA 30 (The Flammable and Combustible Liquids Code), NFPA 30A
(The Automotive and Marine Service Station Code), and NFPA 31
(Installation of Oil Burning Equipment) of the National Fire
Codes, developed by the National Fire Protection Association will
provide additional guidance on SPCC Plan development, as well as
provide the Codes enforced by many communities.
Contact:
          National Fire Protection Association
          Batterymarch Park
          Quincy, Massachusetts 02269
          (800) 344-3555  (8:30 AM - 8:00 PM Eastern Time, M-F)

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Notes

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Notes

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Resource Conservation
         and
 Recovery Act (RCRA)
         -V-

-------
           Overview of Resource Conservation and
                           Recovery Act (RCRA)
                                   Stanley Chin
V-l

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                              Stanley D. Chin
                                   Chief
                           RCRA Support Section

Has been with Region I for seven years.  Recently appointed as Chief of the
RCRA Support Section.  Formerly Senior Compliance and Enforcement Officer
of the RCRA Program.  Initially worked 1n the Air Division for the Control
Technology and Compliance Section.  Has a B.S. In Civil  Engineering from
Tufts University.

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                                  Outline
I.    Region I Organization for RCRA Program
II.   Authorized versus non-Authorized States
III.   Compliance Initiatives
      a.    Toxicity Characteristic
      b.    Land Disposal  Restrictions Rule
      c.    Hazardous Waste Exports

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    CT Waste Regulation Section
         Gerard Sotolongo

  MA & Rl Waste Regulation Section
           Gary Gosbee

ME, NH & VT Waste Regulation Section
           David Webster

       RCRA Support Section
           Stanley Chin

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Authorized RCRA Programs
           Maine
           Massachusetts
           New Hampshire
           Rhode Island
           Vermont
Non-Authorized RCRA Program
          Connecticut

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  HSWA
 Versus
Non-HSWA

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United States
Environmental Protection
Agency
Office of
Solid Waste
Washington, DC 20460
EPA/530-SW-90-036
RCRA Orientation Manual
1990  Edition
                              Printodon hecydtd P«pw:

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                                 Medical Waste
                                Austine Frawley
V-2

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                              Austlne Frawley

Austlne Frawley 1s an Environmental Protection Specialist 1n the RCRA
Support Section of the Waste Management Division, United States
Environmental Protection Agency, Region I - Boston, MA.  She has been with
the Agency for 12 years.  Ms. Frawley became Involved 1n the medical waste
regulatory program 1n September 1988, when she was named as the Region I
representative to EPA's National Task Force for Medical Waste.  She 1s the
Region I medical waste program coordinator.

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   OVERVIEW OF ERA'S
MEDICAL WASTE PROGRAM

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Medical Waste Management/Regulation: History
1978    Proposed regulations to list Infectious Waste as
        hazardous under RCRA, Subtitle C
1982    Draft EPA Guidance for Infectious Waste
1986    EPA Guidance for Infectious Waste
1988    Numerous reports of beach wash-ups and beach
        closures
1988    Medical Waste Tracking Act creates new RCRA section,
        Subtitle J, for the management of medical wastes
1989    Publication of medical waste rule and implementation
        of two-year demonstration program

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Overview of the Medical Waste Tracking Act
 o Establishes a two-year Demonstration Program
 o Defines those medical wastes to be regulated
 o Requires development of standards for segregation,
   packaging, labeling, and tracking of Medical Wastes
 o Requires EPA to prepare several progress/evaluation
   reports to Congress
 o Provides enforcement authority
 o Waives Federal immunity

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    EPA
  Medical Waste
Demonstration Program
State Participation in the
 Demonstration Program
        COVERED STATES



        CONNEOT I OUT

        NEW JERSEY

        PUERTO RICO
            NEW YORK

           RHODE ISLAND
                  RROQRAM DURATION

            JUNE 22, 19B9 - JUNE 22, 1991

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Medical Waste: What's Regulated...
      o Cultures and Stocks
      o Human Pathological Waste
      o Human Blood and Blood Products
      o Used Sharps
      o Research Animal Waste
      o Certain Isolation Waste
                                    v>EPA

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    Medical Waste:  What's Not Regulated...

Excluded By Statute:
    o Domestic Sewage
    o Hazardous Waste
    o Household Waste

Excluded By Rule:
    o 'Treated and destroyed" waste
    o Etiologic agents regulated by other Federal agencies
    o Human remains intended for interment or cremation
    o Samples collected for enforcement purposes
                                          &EPA

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Medical Waste Management:  General Requirements
            o Segregation
            o Packaging
            o Labeling/marking
            o Tracking
            o Recordkeeping and reporting
                                        &EPA

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Current EPA Activities:  Reports to Congress
 o Characterization of Medical Waste
 o Health assessment
 o Estimated costs of program
 o Evaluation of program's success
 o Handling methods
 o Treatment technologies
 o State requirements and management alternatives
 o Program penalties
 o Home health care and small quantity generator issues
 o Reuse, recycling, and waste reduction

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 Other Current EPA Medical Waste Activities
o Establishment of new incinerator emissions controls
0 *?£!??/£*! °n existing Medical Waste incinerators
  (OSW/OAQPS)
o Evaluation of treatment technologies (OSW/ORD)
o Evaluation of waste characterization (OSW/ORD)
o Health assessment (OSW/ORD)
o Strategies to implement ocean-disposal ban (OW)
o Home healthcare initiatives (OSW)
                                         xvEPA

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                   Enforcement Authorities
  Medical Waste
Demonstration Program
             MEDICAL WASTE TRACKING* ACT § 1 1 0O6
                  AL FACILITIES LOCATED IN
            COVERED STATES

            — SUBJECT TO FEDERAL , STATE ,
              INTERSTATE, AND LOCAL. REQUIREMENTS

            - WAIVES ALL IMMUNITY FOR THE U.S. AND
              ITS AGENTS
                    ' TO INJUNOTIVE       ,
              ADMINS I TRATIVE ORDERS OR CIVIL
              CRIMINAL, AND ADM. INS I TRATIVE PENALTY

            — PRESIDENT MAY EXEMPT IF IN THE
              PARAMOUNT INTEREST OF" COUNTRTr

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  & EPA           Enforcement Authorities
   Medical Waste
Demonstration Program



   • Similar to RCRA Subtitle C in Inspection and Enforcement Authorities


   • Applies to All Generators (Including Federal Facilities) in Covered

     States


   • Penalties:

     - Criminal - $50,000 Per Violation, Per Day, or Up to 5 Years

      Imprisonment

     - Civil - $25,000 Per Violation, Per Day

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Typical Violations For Generators:
  o Improper packaging
  o Tracking form/shipping log errors
  o Improper waste quantity determination
  o Improper storage
  o Improper segregation

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INITIAL  IMPACTS  -  D I R E CT/I N D I R EOT

      —  ENRORCEMENT  PRESENCE   AND
            PROGRAM  AWARENESS

      —  MEDICAL  WASTE   PROGRAM
            DEVELOPMENT   IN  NON—COVERED
          ENCOURAGEMENT  OF"   INNOVATIVE
          TREATMENT   TECUNOLOOIES

          EXPANDING  AREA  OR   KNOWLEDGE
            ON   MEDICAL  WASTE   GENERATION,
            MANAGEMENT,   AND  DISPOSAL

          INCREASED  NUMBER  OR   RAOILITIE;
            PROPERLY  HANDLING  AND
            DISPOSING  OR  WASTE

          RE —EVALUATION  OR  HOME   HEALTH
            CARE   WASTE  MANAGEMENT

          SOME   REDUCTION  IN   SEVERITY   OR
          BEACH   WASH-UPS

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                    Appendix  1
§69926.
Federal laelllllss (RCAA 111006]
   IBI IN CCNCHAL —Each department, agency, and mRrumenuiity
of the executive, legislative, and judicial  branches of the  Federal
Government in • demonstration  State (1) having jurisdiction  ov«r
•ny  tolid  "an*  management facility or disposal  sit* at which
medical waste u disposed of or otherwise handled, or (2) engaged in
any activity resulting, or which may mult, in the dupoaal. manage-
ment, or handling of medical wait* ihall be subject u>. and comply
with, all Federal. State, interstate, and local requirementa.  both
substantive and procedural 'including any requirement for permits
or reporting or any provisions for injunctive relief and sucn sanc-
tion* at may be imposed by a court to enforce luch relief), respecting
control and abatement of medical wasu disposal and management
in the same manner, and la the same eitent. as any person is
subject to  such requirements, including the payment of reasonable
service charges. The Federal. Sute. interstate, and local substantive
and  procedural requirements referred to in this subsection include.
but are not limited to. all administrative orders, civil, criminal, and
adauBisintive penalties, and other sanctions, including injunctive
relief, fines, and imprisonment. Neither the United States, nor any
agent, employee, or officer thereof, shall be immune or exempt  from
aay process or sanction of any State or Federal court with respect to
the enforcement of any such order, penalty, or other sanction For
purposes of enforcing any such substantive  or procedural  require-
ment (including, but not limited  to.  any injunctive relief, adminis-
trative order. OP civil,  criminal,  administrative penalty,  or other
sanction!, against any such department, agency, or instrumentality.
the United States hereby expressly waives any immunity otherwise
applicable to the  United States. The  President may exempt any
department, agency, or instrumentality in the executive  branch
from compliance with such a requirement if he determines it  to be
ia the paramount interest of the United  States to do so. No  such
exemption shall be granted due to lack of appropriation unless the
President shall have specifically requested such appropriation as a
part of the budgetary process  and the Congress shall have failed to
make available such requested appropriation. Any esemptnn  shall
be for a period not in eiceas of one year, but additional exemptions
aay be granted for periods not to exceed  one year upon the Presi-
dent'* making a new determination. The President shall report each
January to the Congnas all exemptions from the requireanenu of
this  section granted during the preceding calendar year, together
with his reason for granting each such exemption.
   (b) DtrmrnoK OP PnaoN.—For purposes of this  Act.  the  term
•person' shall be treated as including each department, agency, and
instrumentality of the United Swae.
(Pub. L. 19-272. ut. II. {11006. si added Pub. L.  100-112. Uu>. No*. 1.1988.
102 Suu. 2954.)
                          I 1 I

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             40 CFR Part 259 - Questions .and Answers

                            July 1989


This document reflects the Environmental Protection Agency's
interpretations of the federal regulations at 40 CFR Part 259 -
Standards for the Tracking and Management of Medical Waste.
States or localities may have requirements that are more
inclusive, or that pose additional restrictions on the management
of medical wastes.

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 1.     A physician uses a cotton swab to obtain a throat sample
 from a patient; the swab is sent to a pathology laboratory.   At
 the laboratory, a technician inoculates a culture dish with  the
 throat sample, and discards the swab.  Is the discarded cotton
 swab a regulated medical waste under 40 CFR 259.30(a)(1)?

       The discarded cotton swab is a regulated medical
       waste item since it was a "device used
       to...inoculate...cultures."  The statutory language
       of RCRA Section 11002(a)(1) and the regulatory
       language of 40 CFR 2S9.30(a)(l) was based on the
       EPA Guide for Infectious Waste Management, which
       recommended handling devices used to transfer or
       inoculate cultures as infectious waste.  EPA
       advises generators to assume that all cotton swabs
       used in this manner will result in cultures of
       infectious agents and, thus, EPA advises generators
       to manage all such swabs as regulated medical
       waste.


2.     A gynecologist uses a disposable speculum in a routine
gynecological examination, and discards the speculum when she has
finished using it.  Vaginal secretions are present on the surface
of the speculum, but they are not dripping from it.  Is the
discarded speculum a regulated medical waste?

       The discarded speculum is not a regulated medical
       waste under 40 CFR 259.30(a)(2), even though it
       contains a body fluid (as the tern "body fluid" is
       defined in Section 259.10(b); vaginal secretions
       are a body fluid under this regulation).  Waste
       items saturated and/or dripping with body fluids
       that are defined in Section 259.10(b),  or are caked
       with dried body fluids that were saturated and/or
       dripping, are regulated medical wastes.  Items that
       merely contain small quantities of body fluids
       (except for specimen containers) are not regulated
       medical waste under Section 259.30(a)(2)  (although
       in certain circumstances they could be  regulated
       under another waste class such as Class 6).

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 3a.    A nurse removes a surgical dressing from a patient; the
 dressing is thoroughly saturated with the-patient's blood.  Is
 the dressing a regulated medical waste when discarded?

       The dressing meets the definition of an item that
       is "...saturated and/or dripping with human
       blood..." in 40 CFR 259.30(a)(3).  Thus, it is
       regulated medical waste.

 3b.    A nurse removes a surgical dressing from a patient; the
 dressing contains only a small amount of the patient's blood and
 is not thoroughly saturated.  Is the dressing a regulated medical
 waste under 40 CFR 259.30(a)(3)?

       In this case, the dressing is not a regulated
       redical waste because it is not ''...saturated
       and/or dripping with human blood...."  Only those
       fibrous items that are completely saturated with
       blood (or would drip with blood if squeezed), or
       non-fibrous items that have enough blood present
       that they are dripping, are regulated medical waste
       because they are "saturated and/or dripping with
       human blood".

4a.    A medical supply manufacturer makes syringes for use by
health care facilities, individuals self-administering insulin
injections,  and non-medical laboratory uses (e.g., use in
injecting chemical samples into gas chromatographs).  The
manufacturer finds one lot of syringes to be defective at the
factory,  and decides to ship them off-site to the local landfill
for disposal.   Are the syringes regulated medical waste, as
defined in 40 CFR 259.30(a)(7)?

       Because the syringes became a waste at a facility
       that manufactures medical supplies, but were not
       "generated in the diagnosis, treatment, or
       immunization of human beings or animals, in
       research pertaining thereto, or in the production
       or testing of biological!..."; they are not a
       medical vaste (as defined in Section 259.10(b), or
       in RCRA Section 1004(40)).  Because they are not a
       medical waste, they cannot be regulated aedieal
       waste.

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 4b.     A veterinarian  located at his clinic discovers that a
 batch of syringes has  defective needles, and he is unable to use
 then.  Are the unused  syringes regulated medical waste?

        Yes.  The unused syringes are "solid wastes
        generated in the ...treatment of...animals" because
        in this instance they were generated at a medical
        facility in the course of animal treatment.  Thus
        they are medical wastes; they also meet the listing
        description in  40 CFR 259.30(a)(7) (unused sharps).

 5.      A patient used  a special mattress to prevent bedsores
 while she was hospitalized.  She asks to take the mattress home
 for use while she recuperates there.  Is the mattress a regulated
 medical waste?

        In order to be  a regulated medical waste, the
        mattress must first be a "solid waste" (as defined
        in RCRA Section 1004(27)).  Because the patient
        intends to use  the mattress in her recuperation, it
        is not yet a waste material and, therefore, it is
        not a regulated medical waste.  When the patient,
        in her home, decides to discard the mattress, it is
        a  household waste, which is not "medical waste"
        (because the definition of "medical waste" in
        Section 1004(40) excludes household waste).

 6.      Can a regulated medical waste that has been treated be
 destroyed through compaction and, therefore, be excluded  from the
 regulations  in 40 CFR  Part 259 under Section 259.30(b)(1)(iv)?

        The definition  of "destroyed regulated medical
        waste" in Section 259.10(b) excludes compaction
        since, normally, compaction will not result in a
        waste that is "no longer generally recognizable as
        medical waste".  For example, blood bags will still
        be recognizable even if compressed in a compaction
        unit.  However, some types of regulated medical
        waste may be "ruined, torn apart, or mutilated..."
        so that they are no longer generally recognizable
        as medical waste (e.g., glassware can be crushed),
        and therefore destroyed.  The generator must
        determine on a  case-by-case basis whether  wastes
        subjected to a  particular process or combination of
        processes meet  the conditions of Section 259.10(b)
        and 259.30(b)(1)(iv), in order to be excluded from
        the requirements of 40 CFR Part 259.

7.      A  facility uses a unit that steam-sterilizes  regulated
medical waste, and then compacts the waste  into  large steel
containers for transport.  Assuming the  large steel  container

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meets the Federal packaging requirements for off-site transport
(that is, the container is rigid,  leak-resistant,  etc.,  as
required under 40 CFR 259.41),  can the facility compact  the waste
into the container,  which is to be used for transport?

       The facility  nay use such a unit and be in
       compliance with the Federal regulations.  The 40
       CFR Part 259  regulations do not specifically
       address whether compaction can occur during the
       packaging step of waste  management activities;
       thus,  compaction is not  prohibited when the waste
       is being packaged.  The  regulations do require
       transporters  to ensure that containers of wastes
       are not subjected to mechanical stress or
       compaction while being onloaded or off-loaded from
       the transport vehicle, and are not compacted during
       transport (Section 259.73(a)(2)).   The regulations
       are intended  to ensure that waste,  once placed in
       packaging meeting the performance standards, is not
       subject to mechanical stress or compaction.  This
       interpretation is further explained in the  preamble
       to the rule at 54 Federal Register 12346 and 12354.

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             40 CFR Part 259 - Questions and Answers

                           August 1989


This document reflects the Environmental Protection Agency's
interpretations of the Federal regulations at 40 CFR Part 259 -
standards for the Tracking and Management of Medical Waste.
States or localities may have requirements that are more
inclusive, or that pose additional restrictions on the manager.err
of medical wastes.

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 8.    Two generators share a medical waste incinerator,  one
 generator owns the building in which the.incinerator  is housed,
 and the land underneath.  The second generator owns an adjoining
 piece of property, with a building that is physically attached ta
 the first generator's building; the second generator  also  owns
 the incinerator  (located in the basement of the first generator's
 building).  Medical waste from both generators is burned  in  the
 unit.  Which generator has responsibility for maintaining  the
 incineration log, and submitting the reports required under  40
 CFR 259.62?


      Both generators are responsible for maintaining  an
      incineration log as required under 40 CFR 259.61, because
      the incinerator is "on-site" (as the tern is defined in
      40 CFR 260.10, incorporated by reference at Section
      259.10(a))  for both facilities.  The generators  may keep
      separate logs or a combined log for the incinerator.   The
      requirement to report under Section 259.62 is placed on
      the owner QL operator of the incinerator; if the second
      generator owns it while the first generator operates it,
      or if both operate it, then the two generators must
      decide which of them will assume the responsibility for
      submitting the report.  If the same generator both owns
      and operates the unit, then that generator must submit
      the report under Section 259.62.


9.   A medical waste transporter picks up regulated medical waste
from generators in covered states, and places the waste in a
trailer and seals it.  The transporter delivers the sealed
trailer to an incineration facility, and then drops  it off
without being present at the unloading of the trailer,  when the
facility unloads the trailer, the facility operator signs the
tracking fora and sends a copy to the transporter who delivered
the sealed trailer.  Is the transporter  in violation of Section
259.74(d)?

     Yes.   In order to be in compliance  with the  regulations, a
     transporter who transports regulated medical waste that was
     generated in a covered state must obtain the date of
     delivery and handwritten signature  of the  facility owner cr
     operator on the tracking form, retain one  copy, and  give trie
      remaining copies to the accepting facility (see 40  CFR
      259.74(d)).  A representative  of tha transporter's  company
     could ba present at tha facility, to  obtain tha signature
     and data of delivery, retain tha copy,  and giva tha
     remaining copies to tha accepting  facility.   This
     representative need not ba tha driver of tha trailer.

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 lOa.      A hospital uses glass containers to hold fluids that
 are administered to patients intravenously.  The fluids are
 dextrose water, glucose solution, and sal-ine solution.   Are the
 glass  intravenous  (i.v.) bottles a regulated medical waste when
 they are discarded?

     Generally, if they are used to hold a sugar or saline
     solution, the glass i.v. bottles are not regulated
     medical waste because none of the listings in 40 CFR
     259.30(a) would describe the i.v. bottle.  The listing
     for sharps, that says "...broken or unbroken glassware
     that [was] in contact with infectious agents..." would
     generally not apply because these containers were
     holding sterile fluids.  An exception is if an i.v.
     bottle became contaminated with excretions or
     secretions from a patient isolated with a highly
     communicable disease; in that case, the glass i.v.
     bottle would meet the listing for waste class 6 (in
     Section 259.30(a)(6)).

 lOb.      The same hospital also uses glass containers to hold
 sterile human blood products that are intravenously administered
 to patients.  When the facility discards these containers, they
 contain residues of human blood.  Are the discarded glass i.v.
 containers regulated medical waste in this situation?

     Yes; in this situation the containers meet the listing
     description for human blood and blood products in 40 CFR
     259.30(a)(3); the language that applies is "...products of
     blood...and their containers, which were used...in patient
     care..."  The blood's sterility is not relevant to whether
     the bottle meets the Class 3 listing, because the regulation
     specifically identifies blood containers as regulated
     medical waste.

 lOc.      A hospital uses plastic i.v. bags to hold sterile sugar
or saline solutions that are administered to patients.  Are the
 intravenous bags regulated medical waste when discarded?

     Yes.  The i.v. bags meet the listing description  in 40
     CFR 259.30(a)(3) ("...Intravenous bags are also
     included in this category").  Thus, the  intravenous
     bags ere Class 3 regulated medical waste.

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 lla.      In a hospital, a patient is fitted with a catheter and
 suction container to remove pleural fluid  from his chest cavity.
 The catheter drains the pleural fluid into a glass container.
 When necessary, a nurse replaces it by removing the glass
 container and pouring out the pleural fluid into another
 receptacle.  Is the glass container a regulated medical waste?
 What if it has been emptied by rinsing so  that it no longer
 contains pleural fluid?

      The glass container is regulated medical waste if it is
      dripping with pleural fluid,  or caked with dried
      pleural fluid that was dripping (40 CFR 259.30(a)(2)).
      A container that has been rinsed so that it no longer
      contains pleural fluid does not meet  the listing for
      Class 2 regulated medical waste (Section 259.30(a)(2)).
      However,  in some situations this glass container could
      meet the description for Class 4 regulated medical
      waste ("...broken or unbroken glassware that [was] in
      contact with infectious agents..."  (Section
      2S9.30(a)(4))  if the patient's pleural fluid contained
      infectious agents.

 lib.       In the same hospital,  a  patient  is fitted with a
 catheter to remove pleural fluid from his  chest cavity; in this
 case,  the catheter is attached to  a plastic suction container.
 The other circumstances are as described above, in lla.  Is  the
 plastic  pleural fluid container a  regulated medical waste?

     As  in Question lla,  if the plastic container is
     saturated or dripping with pleural fuid, or caked with
     dried pleural fluid that was  dripping, it is Class 2
     regulated medical waste (40 CFR 2S9.30(a)(2)).
     However,  if it has been rinsed so that it no longer
     contains  pleural fluid,  it is not a Class 2 regulated
     medical waste.   It is unlikely to meet the listing for
     sharps  (Class 4 - Section 239.30(a)(4)).

 lie.       A physician removes a cerebrospinal fluid specimen fron
a patient  and  submits the specimen,  in its container, to a
laboratory to  determine whether bacterial  pathogens are present.
At the laboratory,  the technician  places the fluid on a culture
plate and  discards the specimen conteiner. Is the discarded
specimen container a regulated medical waste?

     Yes.  The  discarded specimen container meets the listing
     for Class 2  waste,  found at 40 CFR 259.30(a)(2)
     ("...specimens of body fluids and their containers'*).

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12.       A male patient uses a disposable razor to shave while
he is hospitalized; the patient is not isolated to protect others
from highly communicable diseases.  When he discards the razor,
is it regulated medical waste under 40 CFR 259.30(a)(4)?

     The razor is not a regulated medical waste, because it
     is not a "solid waste which is generated in the
     diagnosis, treatment, or immunization of human
     beings..." and thus is not medical waste (as defined in
     Section 259.10(b)).  The discarded razor is a personal
     care item that was generated in the hospital rather
     than the patient's home only because the patient needed
     medical attention unrelated to the waste's generation.

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13.       A female patient is hospitalized for surgery,  and
begins menstruating while she is residing at the hospital,   she
is not isolated to protect others from highly communicable
diseases.  Are the sanitary napkins which she uses regulated
medical waste when discarded?

     No.   in this situation«  as in Question 12,  the waste
     sanitary napkin is not a "solid waste which is
     generated in the diagnosis, treatment, or immunization
     of human beings..." and thus is not a medical waste (as
     defined in 40 CFR 259.10(b)).  The discarded sanitary
     napkin is a personal hygiene item that became a waste
     while the patient was in the hospital, rather than at
     home,  merely because the patient was hospitalized for a
     reason unrelated to the patient's menstruation.

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 14a.      A funeral home has a pathological waste  incinerator and
 a crematory on-site, and accepts waste  from local  hospitals to
 burn in its pathological waste incinerator.  One of the hospitals
 claims that body parts that were removed during surgery are
 excluded from the definition of regulated medical  waste, by 40
 CFR 259.30(b)(1)(v), and thus that hospital does not fill out a
 tracking form or keep any logs when shipping the body parts to
 the funeral home.   Are the body parts excluded under Section
 259.30(b)(1)(v)?

      Whether anatomical parts that are  removed during
      surgery or autopsy are excluded depends on whether the
      parts are treated as waste,  to be  incinerated or
      disposed  of  in a landfill with other wastes,  or whether
      the parts are treated as human remains, to be cremated
      or interred  in a cemetery.   If the ashes are  treated as
      waste and discarded in a landfill, the anatomical parts
      were  not  "intended for interment or cremation," and
      thus  they are not excluded under Section
      259.30(b)(1)(v).   However,  if the  ashes are treated as
      human remains,  and,  for example, are given to a
      relative,  the anatomical parts were "intended
      for...cremation"  and thus are excluded from the Part
      259 requirements.   The terms "cremate" and "incinerate"
      are sometimes used interchangeably, and although
      crematories are generally designed somewhat differently
      than  pathological  waste incinerators, crematories are
      sometimes  used to  incinerate waste.  Thus the exclusion
      does  not depend on the type  of unit in which  the
      anatomical parts are burned.

14b.      A hospital  arranges for human remains to be removed to
a funeral home  for burial preparation.  Are the remains regulated
medical waste?

     Human remains that are intended to be interred in a
     cemetery are  excluded from the regulation by  Section
     259.30(b)(l)(v).

I4c.      A hospital arranges for body  parts removed during
surgery to be transported to a landfill for disposal.  Are  the
body parts regulated medical waste?

     In this case, the  body parts are not "intended for
     interment..." and  are not excluded by Section
     259.30(b)(v).  They  meet the listing description  for
     Class 2 regulated  medical waste (found at Section
     259.30(a)(2)).

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                  40 CFR - Questions and Answers
                          September 1989
This document reflects the Environmental Protection Agency's
interpretations of the Federal regulations at 40 CFR Part 259 -
Standards for the Tracking and Management of Medical Waste.
States or localities may have requirements that are more
inclusive, or that pose additional restrictions on the management
of medical wastes.

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 15a. Wast* Class 6 in the Table at 40  CFR 259.30(a) specifies
      that certain wastes from patients isolated with "highly
      communicable diseases" are regulated medical wastes.  In the
      preamble to the interim final rule,  EPA stated that only
      certain highly communicable diseases are included in the
      demonstration program [54 FR 12341, March 24, 1989] and
      specified as an example,  those diseases caused by agents
      listed in Classification 4 of the Centers for Disease
      Control's (CDC's)  document "Classification of Etiologic
      Agents on the Basis of Hazard".   What are the clinical names
      for the diseases caused by the infectious agents classified
      as Class 4 in CDC's 1974  document, "Classification of
      Etiologic Agents on the Basis of  Hazard"?

           Listed below are the viruses found in Class 4 and the
           associated clinical  disease,  if one has been named.
        INFECTIOUS AGENT

 * Variola minor
 * Variola major
 * Monkey pox
 * White pox

 **Crimean hemorrhagic  fever virus
 **Junin virus
 **Machupo virus

 Herpesvirus simiae  (Monkey B)

 Lassa virus

 Marburg virus

 Russian spring-summer
   encephalitis virus
 Kyasanur forest disease virus
Omsk hemorrhagic fever virus
Central European encephalitis
    virus

 'Venezuelan equine encephalitis
    virus
     DISEASE

Alastrim
Smallpox
Human monkeypox
Crimean hemorrhagic fever
Argentine hemorrhagic fever
Bolivian hemorrhagic fever

Oncogenic in primates

Lassa fever

Marburg virus disease

Russian spring-summer
   encephalitis
Kyasanur forest disease
Omsk hemorrhagic disease
Central European encephalitis
Venezuelan equine
  encephalitis
*Yellow fever virus
 Yellow fever
  *When used for transmission or animal  inoculation experiments.
 **CDC has noted that the above listed viruses  in the hemorrhagic
fever group and other viruses in this group,  that are not yet
identified, are also classified as Class 4.

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15a.  continued
     The CDC,  in cooperation with the National  Institutes  of
     Health,  has recently developed an updated  list of
     Biosafety Level 4 etiologic agents (comparable to the 1974
     CDC classification 4)  in its CDC/NIR "Biosafety in
     Microbiological and Bionedical Laboratories"  (1988).
     Diseases  caused by agents listed under Biosafety Level 4,
     that were not listed in the 1974 CDC Class 4  list,  include:
                                              DISEASE
    Ebola Virus                         Ebola Virus  Disease

    Absettarov Virus                    Tick-borne Encephalitis
    Hanzalova Virus                     Tick-borne Encephalitis
    Hypr Virus                          Tick-borne Encephalitis
    Kunlinge virus                      Tick-borne Encephalitis

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15b. A physician suspects that a patient  is  infected with the
     sa.i 11 pox virus.   The patient is  isolated until a conclusive
     diagnosis can be made.   Would the wastes generated  in the
     care and treatment of this patient,  prior to the
     confirmation-of  the diagnosis, be regulated under 40 CFR
     Part 259?

          Yes,  if the waste  is in Classes 1-4 or 6 in the Table
          at  40 CFR Part 259.30(a).   Wastes  which are included in
          Classes 1-4 are always regulated medical waste
          regardless  of the  patient from  whom the waste  is
          generated.   Additionally Class  6 wastes include
          "biological waste  and discarded materials contaminated
          with blood,  excretion,  exudates, or secretions from
          humans that are isolated to protect others from certain
          highly communicable  diseases".   Since the patient was
          isolated, prior to the completion  of the diagnosis,
          wastes contaminated  with blood,  excretion, exudates or
          secretions  from that patient are regulated as  Class 6
          waste.

          Note:   Smallpox virus is listed in Class 3 and 4, of
          the CDC document "Classification of Etiologic  Agents
          on the  Basis  of Hazard*.  However, smallpox is only
          categorized as  Class 3  when in  vitro (in a test tube
          rather  than in  a living organism).

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15e. A hospitalized patient is diagnosed with Lassa Fever, a
     highly communicable disease.  The  patient is moved  into
     isolation in a hospital to prevent  the transmission of Lassa
     Fever to others.   The nursing staff plans to ensure that all
     wastes generated  in this patient's  room are managed as
     regulated medical waste.   Are all wastes generated in the
     patient's room regulated under 40 CFR 259.30?

          Wastes  generated from the treatment and care  of this
          patient which fall into  Class  1-4 in 40 CFR Part
          259.30(a)  are regulated  medical waste.  In addition, 40
          CFR 259.30(a)  specifies  that all biological waste and
          discarded materials  contaminated with blood,
          excretions,  exudates,  or secretions from humans
          isolated to  protect  others from certain "highly"
          communicable diseases  must be  managed as regulated
          medical  waste (Isolation Haste).  These are Class 6
          wastes.   The causative agents  of "highly communicable
          diseases"  are listed under Classification 4 in the
          Centers  for  Disease  Control's  1974 document
          "Classification  of Etiologic Agents on the Basis of
          Hazard".

          However,  nothing in  the  rules  prohibits the health care
          facility  from managing additional wastes in the same
          manner as  regulated  medical  wastes.  Since the waste
          classes specified in 259.30(a) would not include all
         waste from an isolation  patient, if all wastes from the
         patient's  room were  managed  as regulated medical waste,
         the staff  would  be managing  more material as  regulated
         medical waste than 40  CFR 259.30(a) requires.

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16.  An independent physician,  located  in one of the covered
     states,  generates only snail volumes of regulated medical
     wastes each month.   To minimize disposal costs he plans on
     accumulating these wastes  until it is more cost effective to
     hire a special hauler to remove the waste from his premises.
     In the 40 CFR Part 259 regulations, are there any limits to
     the tine the regulated medical waste nay be stored and
     accumulated prior to transport off-site?


          No,  the 40 CFR Part 259 regulations do not provide
          specific tiae  limits  for the  on-site storage of
          regulated medical waste at a  generator's facility.
          However,  generators must comply with Section 259.42
          storage requirements  prior to transport, treatment,
          destruction, or disposal of regulated medical wastes.
          Section 259.42(b)  requires the generator to maintain
          the  waste in a  nonputrescent  state, using refrigeration
          when necessary.   This requirement may affect storage
          time if wastes  with a high organic content become
          putrescent over time.  The storage time may also impact
          other regulatory requirements.  For instance, if, by
          the  time  the generator is ready to have the waste
          shipped off-site,  the shipment weighs 50 pounds or
         more, a medical waste tracking form must be initiated
         to accompany the waste.  Finally, we should note that
         state or  local  regulations may be in place which limit
         the time that a  regulated medical waste may be stored
         on-site.

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 17a. In a college Comparative Anatoay class, students are
     provided with preserved animal specimens which are purchased
     froa a biological supply company. The students study anatomy
     by dissecting the specimens.  Following completion of the
     course, the animal remains are collected for disposal.
     Would these wastes be regulated under 40 CFR Part 259 if the
     activities took place within one of the covered states?

          No, the purpose of the class is to study the anatomical
          structure of various animal specimens.   These wastes
          would not be regulated under 40 CFR Part 259 because
          they would not fall within the definition of medical
          waste (40 CFR 259.10). The wastes were  not "generated
          in the diagnosis, treatment or immunization of human
          beings or animals, in research pertaining thereto, or
          in the production or testing of biologicals."
          Therefore, the wastes could be managed  as general
          refuse.
17b. A university research facility conducts studies during which
     the researchers expose animals to a zoonotic agent (an
     infectious agent transmissible to humans from animals under
     natural conditions).  As part of the study the animals are
     sacrificed, dissected and studied for pathological changes
     caused by the infectious agent.  After completion of the
     study the animal remains are collected for disposal.  Are
     the animal carcasses and associated tissues regulated under
     40 CFR Part 259?

          Yes; the animal carcasses and associated tissues are
          considered a regulated medical waste.  They are a
          medical waste because they are "solid waste which is
          generated in the diagnosis....[of] animals, [or] in
          research pertaining thereto", and they are a regulated
          medical waste because they meet the listing description
          for Class 5 waste in Section 259.30(a), i.e.
          "contaminated animal carcasses, body parts and bedding
          of animals that were known to have been exposed to
          infectious agents during research".  The ten
          •infectious agent" is defined in section 259.10(b) as
          any organism that is "capable of causing disease or
          adverse health impact in humans".

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 18a.  A hospital patient  is outfitted with a urinary collection
      system consisting of an in-dwelling catheter connected to a
      plastic collection  bag.  A nurse removes the catheter and
      bag when necessary.  Are these items, and the' fluid they
      contain,  regulated  under 40 CFR Part 259?

           No;  provided that the patient is not isolated to
           protect others from highly communicable diseases.
           Although  specific body fluids fall within the Class 2 -
           Pathological wastes category, urine is not covered by
           the  regulatory definition of "body fluids" (40 CFR
           259.10);  in  this situation the collection bag, catheter
           and  collected  urine would not be regulated medical
           waste.
18b. A nurse delivers a urine specimen from the patient described
     in Question 18a to the pathology lab for testing.  Following
     the tests there is still residual urine in the specimen
     container.  When discarded, is the residual urine and the
     container a regulated medical waste under 40 CFR Part 259?

          No; provided that the patient is not in isolation for a
          highly communicable disease.   Urine is not defined as
          a body fluid in Section 259.10(b), and thus does not
          fall under Class 2-Pathological Wastes in 40 CFR
          259.30(a).  Therefore, the residual urine and its
          container would not be regulated under 40 CFR Part 259.


18c. The patient described in Question 18a goes into surgery, and
     postoperatively is outfitted with a urinary catheter.
     During recovery the patient experiences hematuria, or blood
     in the urine.  The nurse removes the catheter and bag as
     necessary.  Are these items, and the fluid they contain,
     regulated under 40 CFR Part 259 when discarded?

          If the urine and/or catheter bag contains blood, these
          items would be regulated as a Class 3 - Human blood and
          blood products waste since they are or contain waste
          human blood (40 CFR 259.30(a)).  The catheter tubing is
          covered by the regulations, if it is saturated and/or
          dripping with blood, or otherwise meets the listing for
          Class 3 waste in Section 259.30(a)(3).  The collected
          urine is regulated as Class 3 if it contains blood.  If
          no blood were present in the urine or catheter bag, the
          urine and bag would not be regulated as discussed in
          18a,  above.

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19.  While at an accident scene,  the members  of  an ambulance crew
     administer emergency health  care to  the  victims, in doing
     so,  they generate gauze pads that are  saturated with blood
     and  are subsequently regulated medical waste under Section
     259.30(a;(Class 3).   If the  crew members package the gauze
     pads in packaging that meets the requirements of 40 CFR
     259.41,  can they transport the waste to  a hospital, under
     Section 259.51(a)?  Would the ambulance  crew have to fill
     out  a log to document the shipment?


          Any medical materials used during emergency health care
          procedures outside a medical facility, do not become
          medical  waste,  and thus subject to  Part 259 regulation,
          until they are  removed  from the emergency vehicles and
          discarded.   In  this scenario the  gauze pads do not
          require  packaging that  meets Section 259.41
          requirements before they are removed from the emergency
          vehicle.   Ambulances and emergency  rescue services are
          not subject to  the 40 CFR Part  259  regulations with
          respect  to materials used during  the course of
          providing emergency medical care.   The crew also would
          not be required to complete a log for  transporting the
          gauze pads  to the hospital.   The  blood-soaked material
          becomes  "regulated medical waste",  and thus becomes
          subject  to 'the  Part 259 requirements,  when it is
          removed  from the emergency vehicle  and is discarded at
          the medical  facility or at the  emergency service's
          place of business.

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20.  An independent,  private physician transports his regulated
     medical waste to a hospital under the 40 CFR 259.51(a)
     exemption.   In order  to transport his. regulated medical
     waste off-site,  the physician has properly packaged,
     labeled,  and narked his boxes of regulated medical waste, in
     compliance  with  40 CFR  Part 259, Subpart E; he also meets
     the other conditions  of Section 259.51(a) and 259.54  (b)(2).
     For example,  he  has a written agreement with the hospital
     accepting his waste and has maintained appropriate shipment
     logs.   When the  hospital prepares to ship the physician's
     regulated medical  waste from the hospital, the hospital must
     fill  out  a  tracking form because the hospital is itself a
     generator of  more  than 50 pounds of regulated medical waste
     per month (Section 259.52(a)).  What party is responsible
     for signing the  tracking form in Box 15 - the hospital or
     the physician?

         In this  scenario the physician is exempt from the use
         of the tracking  form under 259.51(a).  However, because
         the hospital  is the generator offering the physician's
         waste  for transport,  the hospital is required to comply
         with the tracking form requirements of Section 259.52
         for this waste.  S£& Section 259.52(a),  it is
         therefore the responsibility of the hospital to sign
         the tracking  form in Box 15.  Zf the hospital is
         concerned about its liability in the event the
         physician has not properly packaged the waste, the
         hospital could make its own contractual arrangements
         with the physician (e.g.  as part of the "written
         agreement" required by Section 259. 51(a)(l)(i)) or it
         could choose to overpack the physician's waste in
         packaging that meets  the Section 259.41 requirements.

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21.  A clinical diagnostic laboratory provides laboratory
     technicians who travel to an off-site hospital, remove blood
     specimens fron patients for diagnostic purposes and take the
     specimens off-site to the laboratory for analysis.  In the
     process of taking the blood specimens, the technicians
     utilize blood-drawing devices that become regulated medical
     waste.   Can the laboratory's technicians  (who collectively
     generate less than 50 pounds of  regulated medical waste per
     month at the hospital) transport the waste from the hospital
     under the Section 259.51(a)  exemption?

          Yes, the 40 CFR 259.51 (a)  exemption could be used by
          the diagnostic laboratory provided that all conditions
          in 259.51(a) are satisfied  including:  the generation
          of less than 50 pounds of regulated medical waste per
          month;  the regulated medical waste  is transported to a
          health care facility, an intermediate handler, a
          destination facility, or the generator's place of
          business;  the regulated waste is transported in a
          vehicle owned by the generator or an authorized
          employee; and the appropriate shipment logs are
          maintained as required by 259.54(b)(2).

          In this scenario the diagnostic laboratory operates  as
          a  separate entity from the  hospital  and thus they are
          two different generators operating at the same site.
          It the laboratory generates less than 50 pounds  of
          regulated medical waste per month at the hospital site,
          it may use the Section 259.51(a)(l)  exemption  for
          transporting the waste to the generator's place  of
          business.

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22.  A generator packages his regulated medical vaste and marks
     the boxes with an intended date  of shipment  for the
     following day.  However,  the  transporter  is  delayed and does
     not actually renova the waste froa the facility for three
     days;   Xa the generator required to re-nark  each package
     with the-date the transporter picks up the waste?

         No,  Section 2S9.45(a)(5)  requires the generator to nark
         the  date of shipment on  regulated nedical waste
         packages to provide a link  between each package and its
         associated tracking fora.   In some cases, the intended
         date of shipment narked  on  the packages nay differ from
         the  actual date of shipment due to delays in pickup by
         the  transporter, loading of a truck  over a period of
         several days,  etc.   In this instance, if the actual
         date of shipment is different than the  intended date
         narked on the packages,  the generator should indicate
         in Box 14 of the tracking form, that the packages were
         actually shipped on a subsequent day.   The intent of
         259.45(a)(5)  was that there be a unique number
         (shipping date)  which ties  that or those packages to a
         specific tracking  fora.

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23a. A farmer treats her diseased livestock with injections of
     medication.  She does this in a barn or in fields next to
     her residence.  Are the used syringes and needles which she
     generates excluded froa the definition of regulated medical
     waste under the household waste exclusion at 40 CFR
     259.30(b)(l)(ii)7

          No; the used syringes have not been generated on the
          premises of a residence and are more akin to veterinary
          wastes than materials found in waste generated by
          consumers in their homes, see 54 FR 12339
          (March 24, 1989).  Thus, the syringes are not excluded
          under the household waste exclusion.  They meet the
          listing description for sharps (Section 259.30(a)(4)),
          and are regulated medical waste.


23b. A pet owner treats his pet with injections of medication in
     his home.  Are the used syringes and needles regulated
     medical waste?

          In this situation, the used syringes and needles are
          excluded from the definition of regulated medical waste
          under Section 259.30(b)(1)(iij.  They are domestic
          waste generated by an individual on the premises of a
          residence, and thus are "household waste."

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                  40 CFR - Questions  and Answers
This document reflects the Environmental Protection Agency's
interpretations of the Federal regulations at 40 CFR Part 259 -
Standards for the Tracking and Management of Medical Waste.
States or localities may have requirements that are more
inclusive, or that pose additional restrictions on the management
of medical wastes.

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24.    The sheath can be pulled down over a hypodermic needle
after use to prevent the possibility of needle stick injuries.
Certain manufacturers of hypodermic needles, and syringes  are now
designing and fabricating these items with an integral
resheathing capability.  Generators of sharps are required to
package sharps and sharps with residual fluids in packaging which
is puncture resistant(40 CFR 259.41(b)(1)).  Are such hypodermic
needles and syringes considered to be puncture resistant  once
resheathed in such a manner?

     Yes, syringes which have been resheathed with an integral
     sheath generally would meet the puncture-resistant criteria
     set out in 40 CFR 259.41 (b)(l).  However, generators of
     sharps and sharps with residual fluids must ensure that
     regulated medical waste, prior to transport or offering  for
     transport off-site, is packaged in containers that meet  the
     requirements of Section 259.41(a) and (b)(2), 259.44 and
     259.45.  Thus, additional packaging materials may be needed
     to satisfy the other packaging requirements (e.g., leak-
     resistance) .
25.  Compaction of regulated medical waste has been interpreted
as being an acceptable practice according to a recent
interpretation by USEPA (See Interpretation #7 on pages 4-5 of
EPA's July, 1989 memorandum). Please comment on and clarify this
interpretation.

     Transporters of regulated medical waste are required in
     Section 259.73(a)(2)  to ensure that the waste is not subject
     to mechanical stress or compaction while being unloaded or
     off-loaded from the transport vehicle or during transit.
     "Transport" includes loading, unloading, and actual transit.

     In the July, 1989 Question and Answer document,
     interpretation 17 addresses a specific technology in which
     regulated medical waste is compacted while being loaded into
     a transport container.  The regulations do not prohibit
     compaction of medical waste prior to or during packaging
     procedures for off-site transport.  Compaction procedures
     may actually reduce the volume of medical waste to be
     transported.  However, compaction of regulated medical waste
     during transport is prohibited (Section 259.73(a)(2)).

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 26.   The description  of Class l regulated medical waste found at
 40 CFR 259.30(a)  includes cultures from medical and pathological
 laboratories;  and cultures and stocks of infectious agents from
 research and industrial laboratories.

      A.    Does this mean stocks of infectious agents from medical
 and pathological  laboratories are not included in this waste
 class?

      Class  1 regulated medical waste includes cultures and stocks
      of  infectious agents and associated biologicals from all
      medical,  pathological, research and industrial laboratories
      that are  generated in the diagnosis, treatment and
      immunization of human beings or animals, in research
      pertaining thereto, or in the production or testing of
      biologicals.  The description of Class 1 wastes in Section
      259.30(a) provides examples of the items which would be
      considered regulated medical waste.


      B.   Are cultures from medical and pathological laboratories
which are usually considered "non-pathogenic" included in this
waste class?

     An "infectious agent" as defined in Section 259.10(b) is
     any organism (such as a virus or a bacteria)  that is capable
     of being communicated by invasion and multiplication in body
     tissues and capable of causing disease or adverse health
     impacts in humans.  The ability of an organism to cause
     disease or adverse health impacts (i.e. to be "pathogenic")
     is,  of course, dependent on many factors including the
     susceptibility of the host,  specific characteristics of the
     organism and the route of transmission of the agent to the
     host.   Those organisms found in Classes 2 through 4 of the
     CDC's Classification of Etiologic Agents as the Basis of
     Hazard (July 1974)  would be included;  however this does not
     mean that  infectious agents not included on this list are
     not regulated.


     Considering  all  the variables that must be evaluated, the
     classification of an organism as "pathogenic" or "non-
     pathogenic"  is difficult.  Generally all cultures from
    medical and  pathological laboratories  are considered
     regulated  medical waste because they are covered in the
    Class  1 or Class  4  waste class descriptions in Section
    259.30(a).  Therefore,  virtually any culture or stock is
    subject to requirements for regulated  medical waste.

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 27.   Host transporters  supply their clients (the generator) with
 tracking forms  that are pre-printed with the transporter name,
 address,  EPA ID no., State ID No., phone number and destination
 facility information.   Is that transporter "initiating" the
 tracking form?"


      No,  in  this case the generator is still the initiator of the
      tracking form as required in 40 CFR 259.52(a); in all
      cases,  the generator ultimately is responsible for the
      accuracy of the information that is required to be completed
      on the  form before the generator signs in Box 15. However, a
      transfer facility  or transporter may also initiate tracking
      forms when waste shipments are consolidated or remanifested
      as noted in Section 259.76.
28.  What regulations apply to transporters of regulated medical
waste who are based in a non-covered state and are there any
special requirements for transporters of regulated medical waste
to a foreign country?

     Transporters of regulated medical waste generated in a
     covered state must meet all the requirement of 40 CFR Part
     259 Subpart H.  These requirements apply regardless of the
     location of the transporter's base of operation.

     Regulations for delivery of regulated medical waste outside
     the United states are found in Section 259.74(e).
     Transporters of regulated medical waste who cross any
     international border, or who deliver regulated medical
     waste to a transporter, destruction or destination facility
     located in a foreign country, must sign the tracking form
     and verify the waste has been delivered to the next
     transporter, treatment, destruction or destination
     facility,  retain a copy of the signed tracking form for his
     records, and return all remaining copies of the tracking
     form by mail to the generator.

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29.  When regulated medical waste is transported  between
facilities owned by the same generator,  who. is  responsible  for
marking and labeling the regulated medical  waste:  the  personnel
at the satellite facility (original generation  point)  prior to
transportation to the central collection point  or the  central
collection point personnel who will be offering the waste for
transport to a destination facility?

     In Part 259 a generator is defined  as  any  person, by site,
     whose act or process produces regulated medical waste, or
     whose first act causes a regulated  medical waste  to become
     subject to regulation.   Zn accordance  with Section
     259.51(b), generators are exempt from:  the requirements to
     use a transporter who has notified  EPA, the  use of the
     tracking form,  and the requirements of Subpart H  when
     transporting regulated medical waste from  the original
     generation point to a central collection point provided that
     the generator meets the requirements specified in Section
     259.51 (b)(l-4).   However,  Section  259.51(b)  does not  exempt
     the generator at the original generation point from
     compliance with all the pre-transport  requirements in
     Subpart E, including Sections 259.44 and 259.45,  which
     require proper labeling and marking of regulated  medical
     waste prior to transport (or offer  for transport) off-site.

     Section 259.39  specifies the applicability of the Subpart E
     pre-transport requirements,  and states that  "generators must
     comply with the requirements of this subpart prior to
     shipping waste  off-site..."  Generators would only use the
     Section 259.51(b)  exemption for off-site transportation;
     therefore,  before moving the waste  from the  original
     generation point,  off-site to the central  collection point,
     the regulated medical waste must be properly packaged,
     labeled and marked at the original  generation point.   Once
     the waste is at the central collection point, the generator
     does not need to  provide additional labeling and  marking
     before shipping the waste off-site  again to  another
     location.
    Note, however, that  if the generator treats  the  regulated
    medical waste at the central collection point, the  labeling
    must be altered to reflect the  fact that waste has  been
    treated.

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30.  What is an acceptable length  of tine  for storage of
regulated medical waste and is  storage of  regulated medical waste
allowed at transfer facilities?

     The length of time allowed for storage of regulated medical
     waste prior to transport or disposal  of the waste is not
     specifically stipulated within the  40 CFR Part 259
     regulations. However, storage tine  nay be affected by the
     ability of the waste handler  to meet  the regulations in
     Section 259.42. The storage requirements found
     in Section 259.42 require  the generator  (or any RMW handler)
     to store regulated medical waste  in a manner  and location
     which maintains the integrity of  the  packaging and provides
     protection from water, rain and wind, maintains the waste
     in a non-putrescent state  (using  refrigeration when
     necessary), limits access  to  the  waste,  affords protection
     from animals and does not  provide a breeding  place  for
     insects and rodents.

     Storage time may also be constrained, as a  practical matter,
     for generators wishing to  take advantage of the  reduced
     requirements for generators of less than 50 pounds  per
     month.  Generators of less than 50  pounds of regulated
     medical waste per month, who transport or offer for
     transport off-site more than 50 pounds in any one shipment
     are subject to the regulations found in Subparts E and F for
     each shipment of 50 pounds or more (Section 259.50(e)(ii)).
     Therefore, the exemption found at Section 259.51(a)  would
     only apply to those generators who generate and transport
     off-site  less than 50 pounds of regulated medical waste per
     month.  This criteria could affect the length of time a
     generator would accumulate regulated medical waste prior to
     shipment.

     There is no prohibition of RMW storage at transfer
     facilities.  However, owners and operators of transfer
     facilities and transporters of regulated medical waste must
     comply with the requirements of Subpart E if they store
     regulated medical waste in the course of transport.

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 31.  Hazardous waste as defined in 40  CFR Part  261  is mixed with
 regulated medical waste generated at a facility within a covered
 state.  The mixture of wastes is then  sent to an on-site
 incinerator for treatment.   Is the waste  mixture regulated under
 Subtitle C of RCRA and/or the medical  waste regulations prior to
 incineration?

      The mixture of medical  waste and  hazardous waste listed in
      Part 261 is regulated under the RCRA Subtitle  C (hazardous
      waste)  rules,  but is also subject to Part  259  if the waste
      is  not subject to the manifesting rules under  Subtitle C.
      For example,  if the hazardous waste  generated  by the
      facility which is exempt from the hazardous waste manifest
      regulations because the generator is classified as a
      conditionally  exempt small  quantity  generator, then the
      mixture of  regulated medical  waste and hazardous waste would
      be  regulated under Part 259  (as well  as any applicable
      Subtitle C  regulations).  If  the  generator is  not exempt
      from tracking  hazardous waste shipments and mixes hazardous
      waste with  regulated medical  waste,  then the mixture would
      be  subject  to  regulations under RCRA  Subtitle  C (See Section
      259.31),  and nfi£ Part 259.
32.  What regulations apply to regulated medical waste which
contains radioactive wastes?

     Specific waste streams may contain materials which are
     source, special nuclear, or by-product materials as defined
     in the Atomic Energy Act and that also contain materials
     which meet the definition of regulated medical waste as
     defined in 40 CFR Part 259.  These wastes are subject to
     regulation under both laws.  However,  if one law has similar
     requirements which are more stringent, these requirements
     supercede the less stringent.  Additionally, Part 259 has
     requirements which supplement those required by KRC.  See
     the discussion of applicability of U.S. Nuclear Regulatory
     Commission requirements and the Part 259 regulations in the
     preamble to the rule (54 FR 12362-63,  March 24, 1989).

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 33.   Residues  from treatment and destruction processes are no
 longer subject to the tracking requirements- in 40 CFR Part 259
 once the  waste has been both treated and destroyed (Section
 259.30(b) (1) (iv)).  What procedures are used to meet this
 criteria?

      Treated regulated medical waste means regulated medical
      waste that has been treated to substantially reduce or
      eliminate its potential for causing disease, but has not
      been destroyed as noted in 40 CFR 259.10.  There are a
      number of treatment methods which can be utilized to
      treat medical  waste including autoclaving, chemical
      disinfection and incineration.  It is important to note that
      EPA  has not promulgated requirements or standards for any
      form of treatment prior to disposal.

      Destroyed regulated medical waste is regulated medical
      waste that has been ruined, torn apart, or mutilated through
      processes such as thermal treatment, melting, shredding,
      grinding,  tearing or breaking, so that it is no longer
      generally recognizable as medical waste.  Compaction does
      not meet  the criteria set out for destruction of regulated
      medical waste.

      Note: Incineration will meet both the treatment and
      destruction criteria and ash from incineration of regulated
      medical waste is not regulated medical waste once the
      incineration process has been completed (See Section
34.  Animals suspected of being infected with a zoonotic disease
such as rabies are usually isolated to protect humans and other
animals.  Veterinarians are often called upon to sacrifice the
animal and obtain specimens of brain and spinal cord tissues for
diagnosis of this disease.  Are the animal carcass and tissues
regulated medical waste?

     A regulated medical waste includes any solid waste generated
     in the diagnosis, treatment or immunization of human beings
     or animals listed in Section 259.30(a).  While the
     transportation of a specimen, i.e., animal carcass or body
     part, to a laboratory for diagnosis would not be regulated
     under the medical waste demonstration program, upon
     disposal, the animal carcass and tissues would be considered
     Class 6 regulated medical waste.  In addition, other types
     of regulated medical waste may be generated during the
     course of treatment and diagnosis of this disease which may
     fall into other waste classes listed in Part 259.30(a).

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35.  The transporter vehicle requirements at 40 CFR Part 259.73
require the use of a "fully enclosed,  leak-resistant cargo-
carrying body." Would vehicles such as a van,  in which the
driver's compartment is accessible from the cargo area,  meet  this
requirement?

     The intent of the requirement for a transporter to provide a
     "fully enclosed cargo carrying body11 for transportation  of
     RMW was to prevent the waste from being exposed to the
     elements which could result in the deterioration of the
     packaging, to provide adequate security,  and to lower the
     likelihood the waste would become dispersed if the vehicle
     was involved in an accident.

     The regulations do not specify whether the driver's
     compartment must be separated from the cargo-carrying body.
     However,  the regulations at Section 259.73 do require the
     transporter:  to ensure the waste is not subject to
     mechanical stress or compaction during loading and
     unloading, or during transit; to  maintain the vehicle in
     good sanitary condition; to secure the vehicle when
     unattended; to provide proper identification on the outside
     of the vehicle; and to avoid transporting regulated medical
     waste in the same container with  other solid waste unless
     the transporter manages both as regulated medical waste.
     Thus,  if the van met the requirements outlined in Section
     259.73,  it could be used to transport regulated medical
     waste.

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                  40  CFR  - Questions and Answers
This document reflects the Environmental Protection Agency's
interpretations of the Federal regulations at 40 CFR Part 259 -
Standards for the Tracking and Management of Medical Waste.
States or localities may have requirements that are more
inclusive, or that pose additional restrictions on the management
of medical wastes.

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 36.   Prevents!:ive medicine  and health maintenance procedure nre
 utilized to help prevent or detect serious disease.  Screening
 procedures?  are  often  utilized for determining the presence *f
 certain types of diseases or adverse health conditions, .such as
 high  cholesterol.   During these procedures medical wastes may br»
 generated.   Are these wastes from health maintenance medical
 procedures  considered regulated medical waste?
     Yes,   regulated medical waste is defined in 40 CFR Part
     259.30(a), as any solid waste (solid, semisolid or liquid
     material) generated in the diagnosis, treatment, (e.g.,
     provision of medical service), or immunization of human
     beings or animals, in research pertaining thereto, or in the
     production or testing of biologicals.  The terms "diagnosis,
     treatment, or immunization" include the provision of general
     medical services  such as surgery, dialyses, obstetrical
     procedures, routine checkups, and health maintenance
     activities.  Specifically, cholesterol screening is for the
     purpose of "diagnosis [and] treatment....of human
     beings.  Therefore, waste items generated during the
     provision of health maintenance or screening procedures,
     such as cholesterol screening, would be considered medical
     waste.  However, not all medical wastes are regulated
     medical waste under Part 259.  Items which fall into waste
     classes 1-7 found in section 259.30(a) would be considered
     regulated medical waste and would be subject to regulation
     when generated within the covered states.
37.    During the course of preparing a human body for interment
or cremation employees of a funeral home may utilize a variety of
medical supplies and instruments.  Section 259.30(b)(1)(v) of the
medical waste regulations excludes the human corpse, remains, and
anatomical body parts intended for interment or'cremation from
regulation as a medical waste.  Are items used to prepare the
body for interment such as sutures, scalpels, etc., also exempt
from regulation under Part 259?


     No, the exclusion found at 259.30(b)(l)(v) only pertains to
     the human corpse, remains or anatomical body parts which are
     intended for interment or cremation.  Medical items or
     supplies used in the preparation of the body for cremation
     or interment would .be considered medical waste since such
     preparation constitutes "treatment" for purposes of
     Part 259.  See 54 EB 12339 (March 24, 1989). Thus, these
     wastes would be regulated if they are generated in a covered
     state and are listed in any of the waste classes found at
     Section 259.30(a).

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38.    Artificial body parts and implants may be removed or
replaced during surgical procedures And autopsies.   Are items
such as artificial body parts, implants, and pacemakers
considered regulated medical waste when removed during a medical
procedure, autopsy or left over from the cremation  process?


     Items such as artificial body parts, pacemakers,  and
     implants are considered medical waste, but EPA does not
     generally consider these items "regulated medical
     waste", under Part 259 because they do not fall within a
     waste class under 259.30.  Thus, such items are not subject
     to regulation under Part 259 unless they are saturated
     and/or dripping with blood (Class 3).
39.  Medical facilities are required to properly store regulated
medical waste prior to off-site transportation.   However,
frequently RMW is not transported directly to a disposal facility
but may first go to an intermediate handler.   After RMW is
shipped from the medical facility, are there  any storage
requirements which apply to ensure the waste  does not become
putrescent and the integrity of the packaging remains intact
until it reaches the disposal facility?


     As noted, Section 259.42 requires generators of RMW in
     the covered states to provide:
     *  Storage of RMW in a manner and location that maintains
        the integrity of the packaging and provides protection
        from water, rain and wind;

     *  Maintain the RMW in a nonputrescent state, using
        refrigeration when necessary;

     *  Provide a lock for outdoor storage areas containing RMW
        to prevent unauthorized access;

     *  Limit access to on-site storage areas to authorized
        employees;

     *  Store the RMW in a manner that affords protection from
        animals and does not provide a breeding place or food
        source for insects or rodents.

     These storage requirements apply to transporters and
     transfer facilities (see Section 259.70(d)), as well as
     intermediate handlers of RMW  (see Section 259.81  (bMD).
     Storage of RMW at a destination as defined  in  Section
     259.80(3)(1) are not currently covered under the Part  259
     regulations.  States, however, may have  existing  regulations
     to monitor destination  facilities managing  regulated medical
     waste.

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40.  Generators of RMW in the covered states are required t-o
ensure their waste is packaged appropriately before the RHW can
be transported or offered for transport off-site.  Packaging
requirements found at Section 259.41(a) list the criteria
generators must meet for packaging RMW.


A.  Packaging is required to be leak resistant, although no
spec it ic container/package standards have beer. set.  How does a
generator determine if the containers and packaging being
utilized meet the leak resistant requirement?
     In accordance with Section 259.41U), packaging or regulated
     medical waste must meet the following criteria:
               1)  rigid
               2)  leak-resistant
               3)  impervious to moisture
               4)  sufficient strength to prevent tearing and
                   bursting
               5)  sealed to prevent leakage

     As noted in 54 £B 12346, no specific standards for
     containers size or composition have been developed for
     packaging RMW.  The Part 259 regulations contain only
     general performance standards for packaging.  This allows
     the generator to use one or more types of containers to meet
     the above criteria.  Because packaging materials vary
     extensively in physical and mechanical properties, the
     Agency did not feel it was appropriate to set specific
     packaging standards during the period of the demonstration
     program.  Therefore, the most appropriate method for
     determining if a container or containers meet the packaging
     requirements with respect to its ability to be leak
     resistant under specific usage conditions is to subject the
     container/package to those conditions.  This approach
     provides the generator with the flexibility to meet the
     packaging criteria using a variety of techniques.

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     B.  Regulated medical waste containing fluids in
greater that 20 cc when shipped off-site for treatment and 'or
disposal must be packaged in containers vhich are break resistant
and tightly lidded or stoppered to prevent spillage.   Often
medical facilities will generate hundreds of test tubes or other
small containers per day which may or may not have a  lid or
stopper and which may contain ± 20 cc of fluid.   How  can a
generator comply with the additional Section 259.4Kb)
requirement to provide packaging which is tightly lidded or
stoppered in these situations?

     The intent of Section 259.4Kb) (2) was to ensure proper
     management of packages of RMW containing fluids  which
     could potentially contaminate other waste,  and pose a
     hazard for waste handlers if released from the container.
     Therefore, Section 259.41 (b)(2) requires the use of break-
     resistant and tightly lidded or stoppered packaging for
     containers holding quantities of fluids greater  than 20 cc.
     The limit of 20 cc was established based on the  State of  New
     Jersey's regulations, as a conservative estimate of the
     residual volume of fluid that will remain in a container
     after it has been emptied.

     While most larger fluid containers are usually easily lidded
     and stoppered, medical facilities performing tests which
     utilize large numbers of small "containers" (i.e., small
     test tubes, blood vial, etc.) may find it necessary to
     utilize a variety of "container types" to meet all the
     packaging requirements of Section 259.41 (a) and (b)(2).
     If the containers cannot be sealed to prevent leakage,  it
     must be placed in a plastic bag or other leak resistant
     container which can be sealed to prevent leakage.

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•41.  Prior to the Medical Waste Tracking Act,  radiopharmaceuticai
v;astes generated in the medical setting were regulated by the
Nuclear Regulatory commission.  Are radiopharmaceutical vast**".,
generated during the provision of medical care,  regulated under
the Part 259 regulations also?


     Yes, radiopharmaceuticals which meet the definition of
     "regulated medical waste" are regulated by both the NRC and
     EPA.  Tne regulations at 40 CFR Part 259 are not intended
     to duplicate the NRC regulations, but instead collect
     additional information.  Therefore, facilities managing
     radiopharantceutical wastes, generated within a covered
     state, must meet the requirements of both regulations.  It.
     however, a specific requirement under either regulation is
     more stringent, the more stringent requirement must be met.


42.  A health-care facility generates a variety of wastes (i.e.
municipal solid waste, regulated medical waste and hazardous
waste)  which must be managed differently.  Occasionally, these
waste streams may become mixed due to employee error or lack of
training.  For example, a new employee mistakenly disposes of
several syringes in the regular trash receptacle.  The
housekeeping personnel, as usual, collect the waste for disposal
at the local municipal landfill.  Upon inspection by employees  of
the landfill, the shipment is rejected when they discover the
syringes in the waste.  What happens if waste streams become
mixed?  Can the landfill owner reject municipal solid waste
because it contains regulated medical waste?

     Section 259.40, requires generators of regulated
     medical waste, in the covered states, to segregate regulated
     medical waste to the extent practical from other waste
     streams.  However, under section 259.31 (a), mixtures of RMW
     and municipal solid waste which do occur must be managed as
     RMW.   While the Part 259 regulations do not preclude
     regulated medical waste  (treated or untreated) from
     disposal in a municipal solid waste landfill, it is clearly
     the landfill owners right to reject any shipment which may
     contain regulated medical waste.

     Additionally, when regulated medical waste which arrives at
     a destination facility unaccompanied by a tracking form and
     the owner or operator knows such a form is  required, or
     the tracking form is incomplete or not signed, the owner or
     operator is required to attempt to resolve  the discrepancy
     with the generator.  If the discrepancy is  not resolved the
     destination facility must submit a letter,  within 15  days  of
     receiving the waste, to the EPA Regional Administrator for
     both the State of generation and the State  in which  the
     destination facility is  located as well as  to the
     appropriate State agency for the Covered States  in which the
     generator is located.

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43.  Many items which are used to provide medical core may be
termed "syringe" (i.e., hypodermic syringe*, water .syringe, dental
syringe, and irrigation syringe), but may not resemble A
hypodermic syringe.  Some types of "syringes" are not designeri »-.o
have a needle attached for injecting or withdrawing fluids.   Are
all items utilized in a medical setting which are referred to as
a "syringe" considered medical waste and regulated under the Part
259 regulations?

     Section 259.40(a) describes Class 4 regulated medical waste
     as, " Sharps that have been used in animal or patient care
     or treatment or in medical research, or industrial
     laboratories, including hypodermic needles, syringes (with
     or without the attached needles), pasteur pipettes, scalpel
     blades, blood vials, needles with attached tubing, and
     culture dishes (regardless of presence of infectious
     agents). Also included are other types of broken or unbroken
     glassware that were in contact with infectious agents,  such
     as used slides and cover slips."  The intent of this
     regulation is to ensure proper management and prevent
     physical injuries from syringes with attached needles and
     syringes which have had the needles removed or broken,  but
     were designed to be used with a needle.  However, there are
     many items used in the medical setting which may be referred
     to as a "syringe" but were never designed to have a needle
     attached and thus not  properly included as "sharps" (i.e.
     classes 4 and 7).
     For example, an irrigation syringe, which may be used to
     clean wax and other materials from an ear passages,'would
     not fit the intent of the regulatory description.  There may
     be other similar items which are not utilized to inject or
     withdraw fluids from humans or animals.  In general,  if an
     item does not fit into one of the other regulated medical
     waste classes, items termed "syringe", which are not
     designed to have a needle attached, would generally not be
     considered a regulated medical waste upon disposal.  State
     and local regulations in the Covered States may have
     additional regulations which do cover these items.

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44.  A company manufacturers a variety of microbiological  media
(i.e., synthetic, selective and enriched) which contains agar  and
various nutrients utilized in culturing specific types  of
microorganisms.  Prior to shipping the media to hospitals,
laboratories, research facilities, etc., test organisms are
applied to check the viability of the media.  In the process,  a
number of culture dishes containing media are selected  for
quality control and quality assurance testing.   Are the cultures
and culture dishes used to check the quality of microbiological
media considered regulated medical waste upon disposal?

     Yes, the cultures and culture dishes generated as  a result
     of the quality control activities would be considered a RT-W.
     As noted in Section 259.30(a), a solid waste generated  In
     the diagnosis, treatment or immunization of human  beings  or
     animals, in the research pertaining thereto, or in the
     production or testing of biologicals and listed in Classes
     1-7 would be considered a regulated medical waste. The
     media used to culture organisms in the medical facility
     often have blood, antibiotics, and agar.  These
     ingredients are considered biologicals as defined  in  Section
     259.10(b)...."a preparation made from living organisms  and
     their products, including, vaccines, cultures, etc.  intended
     for use in diagnosing, immunizing, or treating human  beings
     or animals or in research pertaining thereto."


45.   To prevent illegal use of syringes, some states have
required that used syringes and needles be managed in specific
ways.  For instance the needle must be broken from the syringe
hub and the plunger must be separated from the barrel to  prevent
reuse of this item for purposes other than  it which it was
originally intended.  Does this technique meet the requirement
for "treated and destroyed" found at Section 259.30 (b)(l)(iv»
and become exempt from the Part 259 regulations?


     No, to become exempt from the Part  259  regulations using
     the treated and destroyed exclusion, a regulated medical
     waste would have to be both treated and destroyed as defined
     in section 259.10.  Treated RMW has been subjected to or
     managed using a method, technique,  or  process designed to
     change the biological character on composition of any
     regulated medical waste so as to  reduce or  eliminate its
     potential for causing disease.  Destroyed RMW has been
     ruined, torn apart, or mutilated  through processes such
     as thermal treatment, melting, shredding, grinding,  tearing
     or breaking so that it  is no  longer generally  recognizable
     as medical waste.  The  above  scenario  does  not provide
     treatment  for the RMW, which  would reduce or eliminate its
     potential  for causing disease.   Separation  of  the syringe
     barrel and plunger may  be thought of as breaking, but  thin
     does not  leave the syringe unrecognizable  and  therefore  does
     not meet  the definition of destroyed.

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46.  In 54 FJB 12349 of the Standards for the Tracking and
Management of Medical Waste, the preamble discusses the transport
of RMW by generators of less than 50 pounds per month.   This
discussion states the "small individual generators may find it
economical to contract as part of a group for waste management
services."  However, this option is not directly discussed in the
regulations.

A.  What requirements do small generators need to meet to use
this option for regulated medical waste management?


     Section 259.50(e)(2)(i) discusses the general requirements
     for generators of less than fifty pounds of regulated
     medical waste per month.  Generators who generate
     and transport or offer for transport less than 50 pounds of
     regulated medical waste in a calendar month are subject to
     Part 259, Subpart E and Sections 259.50, 259.51 and
     259.54(b).  Generators of less than 50 pounds of RMW per
     month are required to comply with all pre-transport
     requirements found in Subpart E.  These requirements include
     proper segregation, packaging, storage, labeling, marking
     and decontamination of reusable containers (when
     applicable).  Generators of less than 50 pounds of RMW per
     month can also utilize the exemptions found in Section
     259.51(a) and (c) to manage RMW.  Generators utilizing these
     exemptions must also comply with applicable recordkeeping
     requirements found in Section 259.54(b).

     A generator of less than 50 pounds of RMW per month may not
     fall into the specific exemption areas of Section
     259.50(e)(2) or 259.51(a) or (c) noted above.  For example,
     a number or physicians in a building, each with their own
     practice, could contract with a hauling and disposal company
     as a group or make similar arrangements with their building
     maintenance company.  Each physician remains a "generator"
     and thus is responsible for ensuring that the requirements
     of Subpart E, Section 259.50 and 259.54 (b) are met.
     Additionally, as required in Box 15 of the Medical Waste
     Tracking Form, any hauling, disposal facility or building
     maintenance company who initiates a tracking form for the
     group must have written authorization from the generator or
     generator's representative.  This is also noted in 54 ££
     12349 in regard to the exemption at Section 259.51  (a) which
     requires a written agreement with the facility accepting the
     waste to ensure proper transport of the RMW.

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B.  Is the option to contract for RMW management limited ro
separate business entities located in a single build inn, or tn.iy
tenants who lease space in a privately owned building also use
this option?
     Limitations on the option to contract as a group for
     management services of regulated medical waste is not
     discussed in the Part 259 regulations.  In general,
     generators of less that 50 pounds of RMW per month may
     contract as a group if the regulations noted in 46A
     are followed.
C.  Can both ^.arge and small quantity generators located in the
same building form a group?  What would constitute a group and
what kind of documentation is needed to meet the regulations?


     Any group of generators may form a group for purposes of
     obtaining\consolidating RMW management services.  However,
     there are different requirements for each generator
     type.  Generators of 50 pounds or more of RMW must comply
     with the requirements of Part 259, Subpart E and F,
     including the use of the tracking form.

     As noted in 46A, Box 15 of the Uniform Waste Tracking Form
     requires the signature of a representative for the
     generator.  Individuals signing for a generator in Box 1
     must have written authorization from the generator or the
     generator's operation in order to certify the waste has been
     fully and accurately described, classified, packaged, marked
     and labeled in accordance with all state and federal laws
     and regulations.

     In addition, a written agreement for the provision of
     regulated medical waste management services from a
     transporter, building maintenance company, etc.. does not
     relieve the original waste generator of the legal
     responsibility to comply with the applicable regulations.

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D.  In situations where a group is formed to consolidate the RMV:
management activities, who is identified as the generator in
Block 1 of the tracking form and who will sign the tracking torm
as the generator of the waste in Block 15?

     When a group is formed through written agreement,  the
     company .initiating the Medical Waste Tracking Form would be
     identified in Box 1.  For example, a group of physicians,
     who generate individually less than 50 pound of RMW per
     month, contract with a transporter to provide RHW  management.
     services.  The transporter's representative would  sign in
     Box 1 on the tracking form on behalf of the generator.   A
     representative of the transporter»s would also sign in Box
     15 on behalf of the generators.   The physicians who
     originally generated the RMW would continue to be  legally
     liable for that waste even though a representative of the
     transporter's company is initiating and signing for the
     generator in accordance with the written agreement.

     Generators of less than 50 pounds per month are not required
     to complete a tracking form, and may instead choose to
     maintain a shipping log in accordance with Section
     259.54(b).  In this situation the transporter must complete
     a tracking form for all RMW received from generators who
     generate less than 50 pounds of  RMW which is accompanied by
     a tracking form (see Section 259.50 (e)(2)(i)).

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 47.  A building maintenance company has a written agreement ro
 pick up RMW  from each practice within the building in packaging
 that is not  acceptable for off-site transport.

 A.  The building maintenance company combines the waste in
 packaging which meets all the requirements for off-site
 transport.   Are the individual generators and building
 maintenance  company required to keep logs?  If the building
 maintenance  company takes the waste to a central collection area
 within the building, is a log system required?

     If a group of physicians, who generate each lens than 50
     pounds  of RMW per month, contract with a maintenance company
     to provide appropriate RMW management (packaging, labeling
     and marking), prior to offering that waste for off-site
     transport, the physician is required to maintain a shipping
     log (See Section 259.54 (b)(D).  As noted in 54 £B 12349,
     building management companies may act under a written
     agreement and perform remanifesting or consolidation
     function on behalf of the transporter.  In that case, the
     building maintenance company would initiate and maintain all
     applicable tracking forms for off-site transport and comply
     with Section 259.76.  This includes maintaining a
     consolidation log.
B .   Who is responsible for ensuring that appropriate packaging
requirements are met (i.e., inner containers, including sharps
boxes and fluid containers are labeled and marked)?  Which
generator's identification information should be used to mark and
label liners and the outermost surface of containers?
     Each generator is responsible for all pre-transport
     requirements found in Part 259, Subpart E, which includes
     appropriate segregation, packaging, storage, labeling and
     marking.  If a generating physician himself carries out
     Subpart E requirements, the labeling and markings on the
     package of RMW would reflect that.  The physicians group may
     contract with another party, (e.g. the building maintenance
     personnel) to carry out these generator requirements. In
     this case, the information on the labels and markings should
     indicate the building maintenance company as the
     intermediate handler.  A contract with another party does
     not relieve each generator of responsibility for maintaining
     a shipment log for each package of RMW or the legal
     liability for that waste.

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•»3.  Section 259.51(a)(l) states that a generator ot less r.ii.in by
pounds of RMW per month  is exempt from the requirement r.o use a
transporter who has notified EPA and the use of the tracking ton«i
if:  the generator keeps the required log; the waste is properly
packaged, marked and labeled; and the RMW is transported in the
generator's own vehicle to a health care facility, an
intermediate handler or a destination facility with which the
generator has a written agreement to accept the RMW.   What
specifically constitutes a health care facility?


     The Part 259 regulations do not specifically deline "health
     care facility".  The exemption found in Section 259.5l(a)(i)
     does require the generator of less than 50 pounds per month
     to transport the RMW to a health care facility, a
     destination facility or a disposal facility.  The
     requirement to have a written agreement with that facility
     to accept the RMW implies that the health-care facility is
     providing medical care and is itself a generator of RMW.
     The intent of this exemption was to allow a generator of
     less that 50 pounds per month, (e.g. a physician who is
     generating waste at her office), to bring this waste to a
     central health care facility, (e.g. the hospital with which
     the doctor is associated), without the need for a tracking
     form for such a transfer.  Further, the health-care facility
     which accepts RMW from an off-site generator acts as a
     transfer or destination facility (e.g., if they incinerate
     RMW on-site).  As a transfer facility the health-care
     facility would be required to comply with any applicable
     transporter requirements found in Part 259 Subpart H in
     addition to the applicable generator and pre-transport
     requirements found in Subparts E and F.

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49.  The regulations specify recordkeeping- requirements for the
health-care facilities that receive the waste if the facility
treats and destroys the waste on-site through incineration or
some other process.  What recordkeeping requirements apply if the
health-care facility is consolidating and shipping t.he waste off-
site with its own waste?  For example, a private practice dentist
agrees to accept waste from other dentists in his community and
store the RMW until he has collected enough waste to make it
economical to ship the waste off-site utilizing an authorized
transporter.  In this scenario; would the dentist be acting as a
transfer facility, and thus subject to the transporter
requirements? If not, what requirements would apply?

     As noted in Question #48, a health-care facility or
     intermediate handler which accepts RMW from off-site
     generators of less than 50 pounds of RMW per month acts as a
     transfer facility for that waste and must comply with all
     applicable Part 259 Subpart H requirements.  Additionally,
     the generating dentists would be required to meet the
     applicable requirements in Subpart E and F (e.g., Sections
     259.50, 259.51(a) and 259.54(bM.

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             Federal Register / Vol. S4. No. 56 / Friday. March 24,1989  / Rules and Regulation!       12371
significantly reduce medial waste
wash-ups.

B. Regulatory Flexibility Aet

  In tectioni 11002 and 11003 of RCRA,
Congress eel a six-month deadline for
EPA to promulgate regulation! lilting
the types of medical watte to be tracked
•nd establishing segregation, packaging,
labeling, and framing requirements.
Section 11010 givei EPA specific
authority to promulgate today's
regulation! without prior opportunity for
public comment EFA hat determined
that the tot constraints established by
the statute make it Impracticable to
propose the replatiau and accept
public comments before promulgation of
the rule.
  Because (he Agency is EI*. required to
publish a proposal for pull"; coniaent
in connection with today's rJe. this
nJez&Ving Is not subject to the
RsrJs'.ory Flexibility An (tet SU.S.C.
633 ex: KH). Accordingly, no Regulatory
Flexibility Analysis has been prepared
for thJi rule, although future rulemakings
under RCRA Subtitle J may require such
ar. ualysia. Also, sfclioa 11005,'a];:j{B)
requires EPA to report to the Congress
on the costs to businesses to comply
with the tracking program. To the extent
practical, EPA plans  to assess, in
particular, costs to small businesses
affected by the rules In the reports
required by section 11008.

C TspawoA Reduction Act

   Section 11010 of RCRA stales that the
Paperwork Reduction Act of I960. M
13.5 C 3501 ft teq.. does not apply to
 T-'» tons required  to be pronulgeled
  -thin nine months of Subtitle J's
    rtaent Thus, tie rerordkeepiig end
     rllng rt;aren':.iu ccmsLied in
lady's rule an not subject to approval
by the Office of Management and
Budget However. EPA has adhered to •
policy of minimizing the reporting
requirements in loday'a rule to the
socle:! possible consistent with statutory
requirement!. For butance. where E7 A
is requiring informs tion to belp develop
the sect;on 11008 reports to Congress
' e, the transporter periodic repsn? and
   - expanded incinerator report). ETA to
   .i-ing these reports from transporters
~s:«.use that is the most efficient way to
obtain the information Congress
requires EPA also has developed
•pedal exemption* tot generators of leas
than 50 pounds per month under which
they need not initiate tracking forms for
.fc =*   lipment instead they oust
Belr.-.air. a log (see Part 259, Subpart P.
aid Section V of today's Preamble).
LUt of Subjects

40 CFR Part a
  Administrative practice and
procedure, Penalties.
40 CFR Port 258
  Medical waste. Labeling. Packaging
and containers. Reporting and
recordkeeping requirements, Tracking.
Incinerators.
  DiteiMercnlS.1989.
William K.Raffly,
Adminittnter.
  For the reasons set out In the
prec.rr.ble, Titie 40 of the Code of Federal
Reg-Jstions is amended as follows:

PART ^-CONSOLIDATED RU1IS OP
PRACTICE GOVERH'N3 THE
ADMINISTRATIVE A^C.£S£W£MT OF
CrVllFLNALTIESANDTWE
REVOCATION OR SUSPENSION OP
PERMITS.

  1. The authority citation for Part 22 is
revised to read u follows:
  Authority: 13 US.C. sec. MIS. 42 U5.C
•ft*. 7M5 and 7601; 7 U.S C sees. !»;' snd
(m); 33 US C aecs. 1415 and 1418 43 U.S.C.
sees. 69116828, o99l(e). and 6992(4);
  2. Section 22.01 is amended by
revising paragreph (a)[4) to read as
follows:

litOt  Scopt of that* tuba.
    i • • •
   [4] The issuance of a compliance
 order or the issuance of e corrective
 action order, the suspension or
 revocation of authority to operate
 pursuant to section 300S(e] of the Solid
 Waste Disposal Act. or the assessment
 of an; civil penalty under sections 8008.
 B006 .  ' 11005 of tu.i Solid Waste
 Pit;   . A:, as a-   :ed (
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 12372       Federal Rentier / Vol. 64. No. M / Friday. March 24. 1989 / Rulei and Regulation!
 Subpirt A-4tn«ril

 1251.1  Purpose, scoot, and apptleabBlty.
   (•) The purpose of thii part to to
 establish • demonstration program for
 tricking medical watte shipment*
 punuaat to the Medical Waite Tracking
 Act of 1988.
   (b) The regulation* la this part apply
 to regulated medical waate at defined in
 Subparl D of thii part that to generated
 In a Covered State u defined in Subpart
 Coflhiipart
   (e) Ccaeraton, transporter*, and
 owners or operator* of intermediate
 handling facilities  [e.g, treatment or
 destruction facilities] or destination
 facilities (e g, disposal facilities) who
 transport, offer for transport, or
 otherwise manage regulated medical
 waste generated in a Covered State
 must comply with  this part even if such
 transport or management occur* In •
 non-Covered State.
   (d) Regulatory pnt uatpUont. The
 transportation and management of
 regulated medical  waste, as defined In
 Subparl D of this part, in • Covered
 Stale b subject to  regulations under this
 part, unless a person claiming a non-
 regulated itatus can demonstrate by •
 preponderance of the evidence, through
 chipping papers or other documentation.
 that the regulated medical waste was
 generated in a non-Covered State.

 f ««.!  Efttctfv* dales and duration of the
 demonstration progrt.ii.
   (a) Except for records and reports
 required to be maintained or submitted
 under this part, the demonstration
 program will be effective for the period
 June 22.1969. to June 22,1991.
   (b] The length of time parties must
 keep records required uader this part to
 •utoB* Scalfy extended in ti» cm
 where EPA or • Slate initiates u
 enforcement action, for which those
 records are relevant, until the
 conclusion of the enforcement action.

 Subpirt B—Definition*)

 |>S».10  Definitions.
   (a) For the purposes of this part, all ol
 the terms defined  in 40 CFR 200.10 ire
 hereby Incorporated by reference.
 except for the following terms, which
iave been redefined u appropriate to
 address the management of medical
 waste specifically:
   "Facility" means all contiguous land
 and structures, other appurtenances.
 and improvements on the land, used for
 treetir.£ destroying, storing, or disposing
 of regulated medical waste. A facility
 nay consist of several treatment.
destruction, storage, or disposal
operational onita.
  "Generator" means any person, by
•lie. whose act or process produces
regulated medical waste is defined In
Subpart D of (his part or whose act Erst
causes a regulated medical waste to
become subject to regulation. In the case
where more than one penon (e.g,
doctors with separate medical practices)
in located in the sane building, each
individual business entity to • separate
generator foi the purposes of this put
  "Landfill" meant * disposal faculty or
part of a facility when regulated
medical wartc is placed in or on Ihe
Jand and which b not a land treatment
bdlity. • surface Impoundment, or in
Injection well
  "PersoV means aa fauu\1
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             federal Register / Vol. 54. No. 86 / Friday. March 24.1989 / Rules and Regulation!       12373
  laboratory" means any research.
analytic*!, or clinical facility that
perform! health care related analysis or
aervice. This includes medical.
pathological pharmaceutical and other
research. eoa&erciaL, or induitrial
labora lories.
  "Medical waste" crans any aolid
waste which is generated ia the
diagnoiia. treatment (e.g., proviiion of
medical services). or immunization of
human beinga or animals, in research
pertaining thereto, or in the production
or teiting of biologicala. The term don
not include any hazardout waite
identified or lilted under Part 261 of thia
chapter or any household waite aa
defined in 1 26l.4Cb)ft of thii chapter.
  KoU to tfci* deRaJlioe: Mixture! of
fciztrdoc!«titt »£ Btdiul wutt an
subject to this pan except at provided n
  "Or&^iJ g eceretion point* meant the
locali::. tftbere regulated c.1. 1=*1 waite
If jer.cra'.ed, \Vaate may be lelen from
orig.Dal generation poiaU la a central
coliectjon point prior to ofT-aile
trtr.i?ort or en-site treatment
  "Oveniei rrfvJaled r f i'sal waite"
meant medical watte tht: is too  large to
be placed in a plaatic beg or standard
container.
  "Regulated medical waite" mean*
thoie medical weitet that have been
Hated In 1 259.30[a] of thii part and that
mual be managed fa accordance  with
the requirements of thii part
  "Tre JL.TJ form" mean* the Federal
MedieaJ Wnte Tracking Fore that muat
accompany al! epplictble shfpmefi of
regulated medical wte.M i". Titrated
within cne of ths Covered 5 _vca.
  "Treats i n ratted medir*  wutc"
meant regulated ccdiscl wei'.i the*. _aa
bren tret led to t.-btlantial1}  reduce or
•I ^ — s.tf» ia  pcic -sal far £*•_••-..£
diteett. but bat not yet beea destroyed,
  ."Universal biohaiard symbol" meaaa
the lymbol deiign that conforma to the
deiign ehown in 29 CFR
in0.14S(f](8](U).
   "Untreated regulated medical  wait*"
neana regulated medical waste  that baa
not beea treated to aubf tantially reduce
 or e*. r_z£le ita potential for cauaing
 dimaa.
   "Watte category" meant either
untreated regule'.ed medic*] wattt or
 treated regulated oedical waate,

 Subpart C— Covert* State*

 1 259 JO Statea bxfcded to •»
to participate In the demonitratioa
program.
  (bj For purpose! of thii part. Covered
Btatei arc the States of Connecticut.
Illinois, Indiana, Michigan. Minnesota,
New Jersey. New York. Ohio,
Pennsylvania, and Wisconsin. Any of
thete Slatet may elect not to participate
in the demonatration program using the
procedure! in I 259.21 of thii subpait
Slates that the Administrator removes
torn the demonstration proptn
pursuant to RCRA section 11001(b) an
non-Covered Stalea.
  (c) Any States not listed in paragraph
(b) of thii section may petition to
participate b the  demc nitration
program punuar.t to { 259.22 of this
subpart. Slates tlst the Administrator
has included in the demonstration
program pursuant to a State petition are
Covered Statea.

I2SM1  State* efoctlng not to parHdpata.
  (s)[l) U Co:j>ect)njt, New lersey or
New York elect not to participate in the
demonstration program, the Governor of
the Slate r.ust notify the Administrator
BO later r f t>Jt section and aheS
 Ci'.-.-raine .      :r ll: Sta'.t'i program
 U  no leu liniment than the Federal
 program under this part Upon a finding
 by tie Administrator that the State's
 program is no less stringent than Part
 259. the Administrator ahall remove the
 Stale from the liat of Covered Stalea m
 thii subpart
    (b) If Illinois. Indiana. Michigan.
 Minnesota, Chio. Pennsylvania, or
 V.'nconiin elect not to participate in the
 di r.onr'.-ation program, the Governor of
 the S'.tie muit provide written
 notiEcabos 1c the Administrator BO later
 than April 24, 1M9.
in the demonstration program as a
Covered State. Upon a determination to
accept such a petition, the Administrator
•hall include the State on the list of
Covered States.

I2SS.23 Notice of participating States.
  The Administrator shall'publish a
notice in the Federal Register lilting
thoie States included In the
demonstration program after April 24,
198B.

Subpart D-flegulated Medical Waste

1251 JO DeflnNtonrfrefulstfrdiMdicai
   (a) The regulation! of thii part apply
 to all regulated medical waite that ia
 generated in any Covered State, Thii
 Subpart further identifies the procedure!
 lot State! electing to participate or not
          States atocttng to partlelpcte.
   Any Slate not listed In 1 259 -20(b) of
  this subpart may elect to participate IB
  the demonstration program. The
  Governor of such State must submit •
  petition to the Administrator no later
  than April 34, 1989. requesting inclusion
  (a) A regulated medical watte U any
•olid waite. defined in | 259.10[a) of thia
part generated ir. the diegnoiis.
treatment (e.g. provision of medical
services), or immunization of human
beings or animals, in research pertaining
thereto, or in the production or teiting of
biological*, that it not excluded or
exempted under paragraph (b) of this
•action, and that is listed in the
following table:
  Noli to ptragnpb (i):Tfce tern "solid
waste" includes solid, semisolid. or bqnld
Bileriali. but does not include domestic
icwtge miteriili identified in 12&1.4(a)(l) of
this nbchaptar.

  TABI£—REGULATED MEDICAL WASTE
              CJturw and sleek* of Mectta*
                agents and auoor.td bObo>
                otls. MuoVio;  o^n» Swn

                entoxH. oufu>«i and stoats
                of MCC'JCKA i^cnts trom !•.
   Wanaa,
 (3) HJTWB Btocd
   •id Stood
                    o> boteffualt.
                             n*
                •••:
 wees uMd B	
 tati. and mo aAna.
t^ nt

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12374       roderal Register / Vol. 54. No. 86 / Friday. Match 24.19B9 / Rulei  and RegulaUoni
TABl£
        AE6UATEO MEDICAL WASTE—
             Continuid
  Watt i
0) AiM Watts.
              SrwrpoM havoWitMdh
               mm or runan DOM* cut
               V tMfrtMrt or kt m«
               touo agenta).  Aoo
               on  Oder type* ol bokin or
               wfergken gfanwirt tnat •*•
               fei  oontad eriffi  bitec&oua
                     ourfi as uMd sides
             ContamraM animal
              body para, and  bedding ol
              •nmah Bid *«rt kno«n to
              ha* bean cipoud to Mo-
              touo agents di/mg ran arch
              Crtiudina iMaarat h «ronv
              «f» hoipfcali). prsducten of
              bdogca!*. or tonne « pro*
               mtttnali eomamnaud  «9i
               blood, cicflion, •vudattv, or
               OMrttan* ham tu-jn who
               are totaled to protaci enn
               torn eoc^n IkeNy eenviwfr
               eabto dbtuat, or toitwd ai*
               •man known to  bo  KtfMUd
              Th»
are exempt from the requirements of thii
put
  (U] Samples of regulated medical
waste transported off-site by EPA* or
Stale-designated enforcement personnel
for enforcement purposes an exempt
from the requirements of this Part during
the enforcement proceeding.

129941 allrnirat,
  (a] Except ai provided IB paragraph
(bj of this section, mixluret of solid
watte and regulated medical watte
listed in 1259-30{a) of this subpart in a
regulated medical waste.
  (b) Mixtures of hazardous waste
Identified or listed in Part 261 of this
chapter and regulated medical waste
listed in f 259.30(a] of this subpart art
subject to the requirements in thii part.
unless the mixture is subject to the
hazardous waste manifest requirements
in Part 262 or Part 266 of this chapter.
  Note to panrifc (b): VCxturei of regulitad
medical waste vrftb buardou wute mat Is
exempt from tht bazardoos waits naatfest
requirements (e g- under 40 OH ai J)
rtmaia subject 10 this Part.

Subpart E—Prt-Trmneport
Raqulnmtnts
                                  and
   (b)[l) Exclationt. (i) Hazardoui waste
 Identified or lilted under the regulation*
 la Fart 281 of this chapter la not
 regulated medical waate.
   Neto to pangropl (b)(I)(l): Mixture* of
 regulated nedieal» ai!« and bturdoui
 wailt an subject to Part 259. exoipl ta
 provided in 1250Jl W of thii oubpart,
   (II) Houiehold watte, ai defined In
 12B1.4(b)(l) of thii Chapter, la not
 regulated medical waate.
   (Hi) Aah from incinention of regulated
 nadical waste i* aot regulated medical
 waste once the incineration process baa
 been completed.
   (iv) Residues from treatment and
 destruction processes are no longer
 regulated medical waste once the waste
 has been both treated and destroyed.
   (v] Human corpses, remains, and
 Anatomical parts that are Intended for
 Interment or cremation are not regulated
 medical watte.
   (2] Exemption*. (Q Etiologic agents
 being transported interstate pursuant to
 the requirement* of the US Department
 of Transportation. US. Department of
 Health and Human Services, and all
 ether applicable shipping requirements
   Generators most comply with the
 requirements of this subpart prior to
 shipping waste off-site, and generator*
 must comply with 1259.42 of thia
 Subpart for on-aite storage.
 Transporters, intermediate handler*
 (e.g.. treatment or destruction facilities).
 and destination facilities must comply
 with applicable requirements of this
 subpart. when specified in Subparta H
 or I of this part

 1259.40 Segregrton requirement!.
   (a)[l) Generators must segregate
 regulated medical waste intended for
 transport off-site to the extent
 practicable prior to placement to
 containers according to paragraph (a)(2)
 of this section.
   (2) Generators must segregate
 regulated medical waste into sharps
 (Classes 4 and 7 of i 259.30(a) of thia
 tubpart Including sharps containing
 residual fluid), fluids (quantities greater
 than 20 cubic centimeters), and other
 regulated medical watte.
   (b] If other waste is placed in the
 tame containers) as regulated medical
 waste, then the generator must package.
 label and mark the containers] and ita
 entire contents according to the
 requirements in 11259.41.259.44. and
 259.45 of thia part
{3S9.41
  Generators must ensure that aU
regulated medical wastes meet the
following requirements before
transporting or offering for transport
such waste off-site. Generators may ate
one or more containers to meet these
requirements,
  (a) Generators must ensure that all
regulated medical waste Is placed In a
container or containers that air.
  (1) Rigid:
  (2) Leak-resistant
  (3) Impervious to moisture;
  (4) Has a strength sufficient to prevent
tearing or bursting under normal
conditions of use and handling: and
  (3) Sealed to prevent leakage during
transport
  (b)[l) In addition to the requirements
of paragraph (a) of this section.
generators must package sharps and
sharps with residual fluids In packaging
that is puncture-resistant
  (2) In addition to the requirements of
paragraph (a] of this section, generator!
must package fluids (quantities greater
than 20 cubic centimeters) in packaging
that is break-mutant and tightly lidded
or stoppered.
  (c) Generators need not place
oversized regulated medical waste ta
containers. Generators nrast note any
special handling Instructions for these
Items in Box 14 of the tracking form
required under Subpart P and Appendix
I of this part
1259.42  Storage of nfMtrt moOcaf
wait* prior to transport, frutmonfc
destruction, or dJipaial
   Any person who stores regulated
medical waste nripr to treatment or
                                                                             disposal on-siteVg- landfill Interment
                                                                             treatment and destruction, or
                                                                             Incinention). or transport off-lite, nut
                                                                             comply with the following storage
                                                                             requirements:
                                                                               (a) Store the regulated medical watte
                                                                             In a manner and location that maintains
                                                                             the Integrity of the packaging and
                                                                             provides protection from water, rain and
                                                                             wind;
                                                                               (b) Maintain the related medical
                                                                             waste in a nonputrescent state, using
                                                                             refrigeration when necessary;
                                                                               (c) Lock the outdoor storage areas
                                                                             containing regulated medical waste (e.g,
                                                                             dumpsten. sheds, tractor trailers, or
                                                                             other storage areas) to prevent
                                                                             unauthorized access;
                                                                               (d) Limit access to en-cite storage
                                                                             areas to authorized employees: and
                                                                               (e) Store the regulated medical waste
                                                                             IB a manner that affords protection from
                                                                             animals and doe* not provide a breeding
                                                                             place or a food source for insects and
                                                                             rodeo ta.

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             Federal Register / Vol. M.  No. 86 / Friday. March  84.1989 / Rules end Regulation!       12375
|25MJ CtocofrtarnlnaUofl standards for
        eontainof*.
   Ceneralon. transporters, intermediate
 handlers, and destination facility
 owners and operators must comply with
 the following requirements with respect
 to reusing containers:
   (a) All non-rigid paclaging and inner
 liners must be managed as regulated
 medical waste under tLs pan and must
 not b* reused.
   (bl Any container used for the storage
 and/or transport of regulated medical
 waste and designated for reuse once
 emptied, must be decontaminated if Ihe
 container show* signs of visible
 contamination.
   (cj If any container n*ei for the
 etortge and/or tranipon of regulated
 tnedisel waste is for any reason not
 capable of be-Tg rendered free of any
 visible signs cf contamination In
 accordance with paragraph (b] of this
 section, the container oust be managed
 (labeled, marked end tree ted and/or
 disposed of) as regulated medic&J waste
 under this part.

 1259.44 Ubcflng rtqx-wntnta,
   Generator* must label each package
 of regulated medical waste according to
 the following labeling requirements
 before transporting or offering for
 transport off-site:
   (a) Untreated regulated medico]
 waste. Each package of untreated
 regulated medical wastes must have a
 water-resistant label affixed to or
 printed on Ihe ouUide of the container.
 The label must Include Ihe words
 "Medical Waste." or "Infectious
 Waste,"or display the universal
 bicbuerd symbol Red plasbc  bag[s)
 tued as innerpezkigiag need not
 display a label
   (b) Treated rrrvlotei medicoJ waste.
 Fackarfctconta.   $ treatec reflated
 BK-.uaJ toaates ut not required to be
 labeled under this section but are
 required lo be marked according to
 1259.45 of this subpart.

 12Si.4SllarUng (M«fHmtattoH
 V*»Q J|P*J nanta*
   Generators [including intermediate
 handler*) must mark each package of
 regulated medical weste according to
 the following marking requirement!
before the waste Is fr&Asportedor
offered for transport ofT-altr
  (a) The outermost surface of each
package prepared for ahipment must be
narked with a water-resistant
 identification teg of sufficient dimension
 to contain the following Information:
  (1) Generator's or intermediate
handler's name;
  (2) Generator's or Intermediate
handler's Stale permit or Identification
number. If Ihe generator's or
intermediate handler's State does not
Issue permit or identification numbers,
then the generator'a or intermediate
handler's address:
  (3] Transporter name;
  [4] Transporter State permit or
Identification number, or if not
applicable, then Ihe transporter*!
eddresK
  (5) Date of shipment and
  (6) Identification ol contents as
medical weste.
  (b) In addition to paragraph (a) of this
•ectioa. If the generator has used inner
containers. Including sharps and fluid
containers, each inner container must be
marked with indelible Ink or icpriated
with water-resistant tags. The marking
must contain the following information:
  (1) Generator'a or Intermediate
handler's name;
  (2) Generator'a or intermediate
handler'a Stale permit or Identification
number. If the generator's or
ir.termediete handler's State does not
issue perc!l or identification number*,
then the generator's or intermediate
handlers' address.

Subpart F—Generator Standards

§ 259JO Applieabntyantf general
                                        (a) This subpart establishes standards
                                      for generators of regulated medical
                                      waste.
                                        (b] A person who generates a medical
                                      waste, as defined in f 259.10fb) of this
                                      part, and who is located in a Covered
                                      State, must determine if that waste 1s a
                                      repulsled medical waste.
                                        1C, A generator who either treats and
                                      destroys or disposes ef regulated
                                      medical waste on-cite (e.g.. incineration.
                                      burial or sewer disprsal covered by
                                      •f rtiac JOrjbHdJ  of ihe dean Water
                                      Actj it not subject lo cracking
                                      requirements for that waste.
                                        Note to Ibi saetiDK Ceneralon of regulated
                                      nedjsal wiite with on-*lu ladntraten an
                                      subject lo lit ea-aiie tBdneralor
                                      nqDireneBt* ID Subpart C  of this Part, b
                                      addition, generator* «ke teat and deitrvjr
                                      regulated medical wcctt an subject to
                                      I !5S.M|c). Generate* who treat or dispose
                                      ef medic*!»tite en-sl:t sty be subject to
                                      additional ft derml State cr local laws and
                                      Kiulatioaa.
                                        (d) Vessels at port In a Covered State
                                      are subject to the requirements of this
                                      Part for those regulsted medical wastes
                                      that are transported ashore in Ihe
                                      Covered State. The owner or operator of
                                      the vessel and Ihe persons] removing or
                                      accepting waste from the vessel arc
                                      considered co-generators of L'.s waste.
                                        [e] A generator ef regulated medical
                                      waste must determine the quantity of
 regulated medical waste that he
 generates in a calendar month, and that
 is transported or offered for transport
 off-site for treatment, destruction, or
 disposal
   (1) Generator* of 50pounds or man
 per month. Generators  who generate
 and transport or offer for transport off-
 Bite SO pounds or more  of regulsted
 medical v. a«te in a calendar month are
 subject to the requirements of Subpart E
 and all of Ihe requirement* of this
 Subpart for each shipment of regulated
 medical waste.
   (2] Generators of lea than SOpoundi
 per month, (i) Generators who generate
 and transport or offer for transport off-
 alte less than 50 pounds of regelated
 medical waste in a calendar month are
 subject to the requirements of Subpart E
 of this Part and {J 259.50.259.51 and
 259.54(b) of this subpart,
  (ii) Generators of regulated medical
 waste who generate less than SO pounds
 b. a calendar month but who transport
 or offer for transport off-site more than
 SO pounds in any one shipment, are also
 subject to Subpart E of  this part and all
 of the requirements of this  subpart for
 each shipment of 50 pounds or more.
  (f) Generators or regulated medical
 waste must use transporters who have
 notified EPA under { 259.72 of this part
 to transport their regulated medical
 waste, except as provided in 1259.51 of
 this subpart.

 1258.51  Eiamptfona,
  (a) Generator* of lea than SOpoundt
 per month. Generators who meet the
 condition* ef 1259-50[e][2) of this
 subpart are exempt from the
 requirement lo use a transporter who
 has noufied EPA. exempt from the
 requirement to use the tracking form.
 ar.d exer.:.'  fror the  rtquircc.i r.'.s of
 Subpart H of this part provides that L'.e
 following conditions are met
  (l)[i) The regulated medical waste la
 transported to a health care facility, en
 intermediate handler, or a destination
 facility with which the generator has a
 written agreement to  accept the
 regulated medical waste: or
  (il) The generator la transporting the
regulated medical waste from Ihe
 original generation point to the
generator's place of business: and
  (2) The regulsted medical waste la
transported by the generator (or an
authorized employee) in a vehicle
owned by the generator or authorized
employee; and
  Not* to lot Meflow Owned vehicle awaits
a vehicle which It owned by or fegfitered to
Ihe generator or employe* or I* under le*M
by the generator or authorised employe* fora
miniBua of so diyt.

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 12378       Federal Register / Vol 54. No. M / Friday. March 24.1989 f Rule» and KegulaUoni
   (3) The generitor null eompDe •
 shipment log tnd oainuia record* u
 required by 12S9.M[b)|2).
   (b) Shipment* between generator's
 fouiitiet. Generator* are exempt from
 the requirement to use • truiporter
 who ha* notified EPA. exempt from Ihe
 use of the tracking form. ano exempt
 from the requirement* of Subpart H of
 thii part when transporting regulated
 medical waste from the original
 generation point to a central collection
 point provided they meet all of the
 following conditions:
   (1) The regulated medical  watte Is
 transported by the generator [or the
 generator'* authorized employee] la a
 vehicle owned by the generator or the
 employee;
   (2] The regulated medical  waste is
 brought to a central collection point or
 treatment facility owned or operated by
 the generator
   (3J The original generation point and
 the central collection point or treatment
 facility are located in the tame Covered
 State; and
   (4) The generator compiles and
 maintains a shipment log at  each
 original generation point and each
 central collection point as required by
 |259.S4[a)(2)ofthispart.
   (c) Shipment* of regulated medical
 watte (Clostet 1 aad 7} through the US.
 Potto!Service. Generators who meet the
 conditions of f 2S9.50(e)[2)[i} of this
 subpart who transport regulated medical
 waste (Classes I and 7 of 12S9.30(a) of
 this part) by the US. Postal Service, are
 exempt from the requirement to use •
 transporter who has notified EPA and
 from the requirement to use the tracking
 form, provided they aeet the following
 conditions:
   (1) The package ts cent registered
 mall, return receipt requested (Indicating
 to whom, signature, date, and address
 where delivered}; and
   (2) The generator compiles a shipment
 log and maintains the original receipt
 and the returned registered mail receipt
 u required by 12S9.54(bJ(3)  of thia part

 |«««  Uae of the tracking form,
  (a} Except aa provided la
 II 259.50[e)(2](i) «od 259 Jl oftitlfl
 Subpart. a generator who transports or
 offers for transport regulated medical
waste for off-site treatment or disposal
Bust prepare a tracking form according
 lo this section and the instructions
included in Appendix I to this part
  (b) Generators must obtain th*
tracking form from the following
 Covered State which prints the tracking
 form and requires its use. the form from
 that Slate; and
  Not* to pwtgnpb (b)(l): For generator*
 who frtniport or offer for transport icgulstsd
 medical waste ts aaotbtr Covered State
 which priflli th* tracking torn and requires
 ill uie. the biMBolcr b required lo provide
 th* gcotrstor wiih thi Retiring Slate's fom

  (2} For all other generators, the
 tracking form from the Slate IB which
 the waste was generated.
  (3) If the generator's Slate doei not
 print the tracking form, the generator
 must use the tracking form in Appendix
 1 of thi* part
  (c) The generator must prepare it
 least the number of tracking form copies
 that will provide the generator, each
 transporterfi), and each intermediate
 handler with one copy, and the owner or
 operator of the destination facility  with
 two copies*
  Not* to pangrapl (e):Tbt destination
 facility krept one copy for their records and
 ntunu the tecond copy te thi gumtor.

  (d) The generator must also;
  (1) Sign the certification statement  on
 the tracking form b; hand:
  (2) Obtain the handwritten signature
 of the initial transporter and date of
 acceptance OB the tracking form: and
  (3) Retain one copy. In accordance
 with 1259.54.
  (e) For rail shipments of regulated
 medical waste within the United States
 that originate al the site of generation.
 the generator must send at least three
 (3] copies of the tracking form dated and
 signed in accordance with this section
 In
  (1) The nexi non-rail transporter, if
 any, or
  (2) The Intermediate handler or
 destination facility If transported solely
 by rail; on
  (3) The last rafl transporter to handle
 the waste In the United States If
 exported by rafl.

 I259.U Gwwrtlors exporting r*0\tfale4
 medical mat*.
  fl] For generators who transport m
offer for transport off-site regulated
medical waste to aa Inlennediate
handler or a destination facility m a
  Generators (including transporters
and Intermediate handlers thai initiate
tracking forms] who export regulated
medical waste lo a foreign country (e^,
Canada) for treatment and destruction.
oi disposal, must request that the
destination facility provide written
confirmation that the waste was
received. If the generator ha* not
received that confirmation from the
destination facility within 45 days from
the date of acceptance of the waste by
the first transporter, the generator must
aubrnil an  exception report  as required
under 12SBJ5 of thi* aubpart
 |2St.M  ReoordkMplnp,
   (a) Except as provided in paragraph
 (b) of this section, each generator must
   (l)(i) Keep a copy of each backing
 form signed in accordance with 1239.32
 of this part, for al least three (3) years
 from (he date the waste waa accepted
 by the Initial transporter, ud
   (u) Retain e copy of ail exception
 report* required lo be submitted under
 1259.55(c) of this subpart
   (2) Generators who meet the
 conditions of | ZiB.Slfb) of (his subpart
 must meet the following requirements:
   (i) A shipment log must be maintained
 at the original generation point for a
 period of three (3) years from the date
 the waste was shipped The log must
 contain the following Information:
   (A) Date of shipment;
   (B) Quantity (by weight) of regulated
 medical waste transported, by waste
 category (I.e., untreated and treated);
   (C) Address or location of central
 collection point and
   (D) Signature of genera tor's employee
 who will transport the waste, indicating
 acceptance.
  (li) A shipment log must be
 maintained at each central collection
 point for a period of three (3) yean from
 the date that regulated medical waste
 waa accepted from each original
 generation point and must contain the
 following information:
   (A] Date of receipt:
   (B) Quantity (by weight) of regulated
 medical waste accepted, by waste
 category (l.e, untreated and treated):
   (C) Address or location of original
generation point and
  (D) Signature of generator or
generator'* representative who operate*
 the central collection point indicating
 acceptance of the waste.
  (b] Generator* who meet the
condition* of 1259.50(e)[2)(i) of thi*
subpart. who do not transport or offer
for transport off-site more than 50
pounds of regulated medical waste u a
single shipment, and who do not
voluntarily comply with the use of the
tracking form are subject to the
following recordVeeping requirements:
  (1) Generators who use a transporter
who has notified EPA must maintain e
log for a period of three [3] years from
the date of shipment that contains the
following information for each  shipment
or pickup:
  (i) Transporter'* name and address;
. (U) Transporter's Slate permit or
identification number, if one U required
by the State:
  (iii) Quantity of regulated medical
waste transported, by waste category
(I.*, untreated and treated);
  (iv) Date of shipment and

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             Federal  Register / Vol 54. No. 86  / Friday. March 24.1989 f Rules and Regulation!      1237?
  (v) Hie signature of the transporter'*
representative accepting the regulated
medical want for transport
  (2) Generators who transport
regulated medical watte to a health can
facility or to a treatment, destruction, or
disposal facility as specified in
1259.51 (a] of this subpart must compile
and maintain a log for a period of three
(3) yean from the date of the last
shipment entered into the log Hie log
must contain the following information:
  (i) Name and address of the
Intermediate handler, destination
facility, or health care facility to which
the generator has transported that
ahipmenl of regulated medical waste;
  (u'l Quantity (by weigSl) of rerulaled
Bedica! waste transported, b; v tsle
category (i.e, untreated and truiedk
  (iii) Date of shipment  tad
  flv] Signature of the generator or his
authorized representative who
transported  the watte.
  (3) Generators who transport
regulaled medical waste by the US.
Postal Sen-ice under 1258.51 (c) of this
subpan must retain the original U.S.
Postal Service receipt and the  return
mail receipt and maintain a shipment
log for a period of three {31 yean from
the date of shipment The log must
contain the following information:
  (I) Quantity (by weight) of regulated
medical waste transported, by waste
category (i.e., untreated  and treated):
  (i" Date of shipment and
  ft" Kame end address of each
k'i—.fiate handler or  destination
facility to which the generator haa
transported the regulated medical waste
by the US Postal Service.
  (c) Each generator who treats and
destroys reguJeled medice! watte on-
s'.tt bj a method or procers other then
trir-ersaoa. Bust mtistam the
 following records:
   (1) The approximate quantity by
weight, of regulated medical waste (hat
 b subject to the treatment and
 destruction  processes:
   (2] Approximate percent by weight, of
 to'.tl waste  treated and  defrayed that la
 resiled medical waste:
   (3) For regulated medical waste
 accepted from generators meeting the
 exemption conditions in 1259.51 (e) or
 (c). information identifying the
 generator, the date the watte was
 accepted, the weight of  waste accepted
 and the date the waste was treated end
 destroyed: ead
   f«% Records must be maintained by the
 fr t-ator for a period of at least three
 B' yttn from the dale the waste was
 fcvaled and destroyed.
1269.5$ Exception Reporting.
  (a) A generator who meets the
conditions of 1259.50 (e)(l) or (e](2)(U)
of this subpart must contact the owner
or operator of the destination facility.
transporters], and intermediate
handler^), as appropriate, to determine
the status of any tracked waste If he
does not receive a copy of the completed
tracking form with the handwritten
aignarure of the owner or operator of the
destination facility within 35 days of the
date the waste was accepted by the
Initial transporter.
  (b] A generator must submit ID
Exception Report as described below.
to the State and the EPA Regional
Administrator for  the Region in which
the generator it bested if be hat not
received a completed copy of the
tracking form signed by the owner or
operator of the destination facility
within 45 days of the  date the waste was
accepted by the initial transporter. The
Exception Report must be postmarked
on or before the 46th  day and must
include:
  (1) A legible copy of the original
tracking form for which the generator
does not have confirmation of delivery.
and
  (2) A cover letter signed by the
generator or his authorized
representative explaining the efforts
taken to locate the regulated medical
waste and the results of those effort*.
  (c] A copy of the exception report
must be kept by the generator for a
period of at least three (3] years from
the due date of the report.

I2SS.S4  Additional Rtportnt).
  The Administrator may require
generators to furnish additional
iaforsetioa concerning the quantities
and r.tnagioenf  methods of mtc;sal
•vff.t as be deem wee> *sjy under
RCRA tectic:, U004.

Subpart 0—On-SKe Incinerators)

I25S.M Appneabnry.
   (a) The regulations in this subpart.
 apply to generators of regulated medical
waste who Incinerate regulated medical
 waste on-slte.
   (b] Generators  of regulated medical
 waste who incinerate such waste on-alta
 end who accept regulated medical
 waste accompanied  by a tracking form
 sue also subject to the requirements of
 Subpart 1 of this part

 |2S«.ei Meeortfketpmtj.
   (a) Generators  must keep an operating
 log at their Incineration facility that
 indue*;: &* following information:
   (l)lij The dale each incineration cycle
 was begun:
  (ii) The length of the incineration
cycle:
  (iii] The total quantity of medical
waste incinerated per incineration
cycle; and
  (iv) An estimate of the quantity of
regulated medical waste incinerated, per
incineration cycle.
  (2) Generators with on-site.
Incinerators that accept regulated
medical waste from generators] subject
to | 259.51(a) of this  Part must maintain
the following information for each
shipment of regulaled medical waste
accepted:
  (I) The date the waste was accepted:
  (ii) The name and  State permit or
identification number of the generator
who originated the shipment If the State
does not issue permit or identification
numbers, then the generator's address:
  (iii) The total weight of the regulated
medical waste accepted from the
originating generator and
  (iv) The signature  of ihe individual
accepting the watte.
  (b)(l) Generators must compile the
operating log required by paragraph
(a)(l) of this section during the following
period. June 22.196S. to June 22.1991.
  (2) Generators must retain the
operating log until at least June 22.1992.
  (c) Generators with on-site
incinerators that accept regulated
medical waste from  generators subject
to the  tracking form requirements must
keep copies of all tracking forms for a
period of three yean from Ihe date they
accepted the waste.
   (d) Generators must retain a copy of
the on-site incinerator report form
required under 1259.62 of this subpart
for three (3) yean from the date of
submission.

I2S9.M  RtpOrttoB.
   (e} Jene/c/. The owner or operetor of
an on-slte incirierslai emit prepare and
submit two copies of the on-slte
incinerator report on the form provided
in Appendix D of this part to: Chief,
Waste Characterization Branch. Office
of Solid Waste (OS-332). US.
Environmental Protection Agency. 401M
 Street 5W. Washington, DC 20460.
The reports must summarize information
 collected In the operating log during Ihe
 first and third six-month period after the
 effective date of the demonstration
 program, and must contain the following
 information in the format provided in
 Appendix D of this part
   (1) Facility name, mailing address.
 and location:
   (2) Facility type (e.g, hospital
 laboratory);
   (3] Contact person:
   [4] Waste feed information:

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   78  '    Federal Register / Vol. M. No. 96 / Friday. Marci 24.1989 / Ru!ei and Regulation!
   ) The total number of incinerators tt
   "•cflity that incinerate regulated
   ical waste trd information
   :em!ng each incinerator.
   ] Each report must contain the
   •wing certification, signed by the
   jty owner or hit authorized
   esentative. I certify thai 1 have
   onally examined and am ramfilu
   i the information submitted In this
   all a tucked documents. ud that
   id oa ny inquiry of thoie Individuala
   icdialely responsible for obtaining
   information. I believe thai the
   altled information ii true, accurate,
   complete.
   )[1) Datet. The firil report U due
   niary ft. 1990. and ouit contain
   nnation from the fint six month* of
   demons tratfon program.
  ') The eecood report Ii  dut February
  991. and Dual contain information
  a (he thirteenth through the
  iteentb month of the Demonstration
  >partH— Transporter Requlrementa

  1.70  AppKcabBly.
  i) These requirements apply to
  laporten. Including generators who
  isport Iheir own waste, and owners
  : operators of transfer fadlitiea
  aged la transporting regulated
  diet! waste generated in a Covered
  te.
  a) These regulations do not apply te
  site transportation of regulated  •
  iieal waste, nor to shipments
  •mpled under i 258.51 (a), (bj. or (c)
  Jilapart
  c) A transporter of regulated medical
  ste must B!SO comply with Subpart F
  Jkia part when he consolidates two or
  re shipments of regulsted medic*}
  ste onto a single tracking form.
  d] Transporters must also comply
 th Subptrt E of this part if they:
  1) Store regulated medical waste la
 ; course of transport or
  2] Remove regulated medical waste
 •n a reusable container, or
  3) Modify packaging of regulated
 idical waste.

 $171  Transporter acceptance of
 itfhted medical mate.
 (a] Transporters must sot accept for
 uisport any regulated medical waste
 neraled in a Covered Slate unless the
 .ter surface of the container is labeled
 id marked in accordance with Subpart
 of this pait
 (bj Transporter* must not accept •
Jpment of regulated medical waste
am a generator unlesi accompanied by
properly completed tracking form ta
 aulred under Subpart F of this part.
ileas the generator is exempt mm the
use of the tracking form under either
f 2S9.SO(e][2)li) or 1259.51 of this part
  [c,\Miirkins (identification}. When
regulated medical waste is handled by
more thai one transporter, each
subsequent transporter must attach •
water resistant Identification tag below
thi generator's marking on the outer
surface of the packaging, that doss set
obscure the generator's or previous
transporter's markings. The transporter
taking poisessloa of the shipment oust
ensure that the tag contains the
following information:
  (I) Name of transporter taldnf
possession (receiving) of the regulated
medical waste:
  (2) Transporter State permit or
identification number. If the State does
xot liiuc permit or identification
numbers, then the transporter's address;
and
  (S) Date of receipt

|*M.7<  Transporter noltflesllaa
  (a)[l) Transporters (including owner*
or operators of transfer facilities) are
prohibited from transporting regulated
medical waste generated in a Covered
Slate unless they have notified EPA and
the Covered State in writing as provided
in thii Section.
  (2) Transporters who accept regulated
medical wssta that was generated in a
Covered State, or who transport
regulated medical waste that waa
generated in a Covered State, must
submit a separate notification form for
each Covered Slate la which the
regulated medical waste was generated.
  |3)(i} The original and one copy of the
transporter notifies lion must be sent let
ChJef. Waste Characterization Branch
(05-332). EPA Office of Solid Waste,
« M-Satet. SW, Washington, DC
20460.
  (ii) An additional copy must be sent to
the Director of the waste management
agency in the Covered State for which
the transporter Is notifying.
  (b) Each transporter notification must
contain the following Information:
  (1) Transporter's name, mailing
address, and EPA hazardous waste
Identification number (if any);
  (21 Name, address and tefepboae
•umber for etch transportation or
transfer facility (by site] that the
transporter will operate from for each
Covered State for which the transporter
is notifying:
  (3) fdenoficatJons (State permit or
license numbers) required ta handle
medical or infectious waste: end
  [4} The following statement signed by
a corporate official or the owner or
operator. I certify, under penalty of
criminal or civil prosecution Tor making
or submission of false statements,
representation*, or omissions, that I
have read, understand, end wfl] comply
with the regulations at 40 CPU Part 259*
Issued under authority of Subtitle) of
the Resource Conservation and
Recovery Act
  Kelt pvignpfc (b): Hi Afncy has
pnblUbed s ru&jeii* d fora foi truuporler
notification IB Appendii IV of thii part which
Biy be utUiud by franiporUn aotiryiog
EPA.

  (c) EPA will issue transporters, who
notify under this section, a unique EPA
Medical Waste Identification Number
for each Covered Slate for which they
hsve notified. This Identification
number will apply la all transporter
sites Identified in paragraph (b)[2) of
this section, that relate to each Covered
Stale. Transporters may eccept
regulated medical wasle after notifying
under IhJi section. Upon receipt of ea
EPA Medical Waste Identification
Number the transporter must include II
on Box 5 of the Medical Waste Tracking
Form found In Appendix I of this part
  Nob to thi Mction: Stslei aiy impose or
may pmnily kive in plsee additional
Keens Ins. pennlttinf or after requirements
Ihil ipply ic taufpartn ofrcfulaiad
Bedieal wists.

|»I.TI  Vehicle requirement!.
  (a) Transporters must use vehicles to
transport regulated medical waste that
meet the following requirement*
  (1) The vehicle must have a fully
enclosed, leak>nsislaal c*r|o
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              Federal Scatter / Vol 84. No. 56 / Friday. March 24.1989 / Rule* and Regulation!       12379
 IS8I.M TmeUngfemtrtqulrMtMtt.
   ft) Central. A transporter may not
 accept • shipment of regulated medical
 waste In exceu of 50 pound* from a
 generator In • Covered Stele or from a
 generator b a Covered State who
 generate! more than 50 pounda per
 month, nnleii it li accompanied by a
 tracking fora completed in accordance
 with Appendix I of thii part and ligned
 by the generator in accordance with the
 proviiioni s! | 253.52 of this part. In the
 cate where a traniporter Intenda to
 deliver regulated medical waile
 generated In « Covered State to another
 Covered State, the latter of which
 •uppL'ea IU own tracking form and
 require! Ita use, the traniporter mutt
 provide the generator will the form of
 the Covered Stala to which the waitc la
 lobeaeat
   (b) Acceptance. Before accepting for
 transport or transporting any regulated
• medical wcste that it accompanied by a
 tracking fora, the traniporter mutt
   (1) Certify that the tracking form
 accurately reflects the number and total
 weight of the packages being
• transported by ilgninc ud dating the
 tracking form acknowledging
 acceptance of the regulated medical
 waste from the generator, and
   (2] Return a signed copy of the
 tracking form to (he generator before
 leaving the generator'a aitc.
   (c) Hi tranti'L The transporter moat
 ensure that the tracking form
 accompanies the regulated medical
 *«te while in transit
   to") Delivery of regulated medical
 •rate in the United Stolen A
 transporter, upon delivery of the
 rtgulated medicJ * eite to another
 treat; srter (~ I'.dag a tibarter facility)
 or to aa failerzrdiEte handler or
 ttf.^etrr. lei^y louud IE the L'ailed
 Su'.ea. ni^t
   (1] Obtain the dele of delivery and tne
 handwritten signature of the transporter
 or the owner or operator of the
 intermediate  handling facility, or
 destination facility on the tracking form:
   (2) Retain one copy of the tracking
 fcra la accordance with 1259.77 of thll
 part and
   (3) Give the remaining copies of the
 tracking fora to the accepting
 transporter, intermediate handler, or
 destination facility.
   (e) Delivery of regulated media!
 mule oottide the United State*. Any
 transporter who transports regulated
 medical waste across aa international
 bonier, or who'delivers regulated
 medical waste to a transporter or
 treatment definition, rr destination
 facility located in a foreign country (e-g.
 Canada) muat
  (1] Sign the tracking form and verify
lhat the waste has been delivered to the
text (foreign) baaiporter, or treatment,
destruction, or destination facility;
  (2} Retain one copy of the signed
tracking form for his record*; and
  (3] Return all remaining copiei of the
tracking fora by mail to the generator.
  (f) Rail tfup j>enl Fot thipmeata
involving rail transportatioa the
requirements of I 259.91 of this part
apply to rail transporter* in lieu of the
requirements of paragraphs (b}. (cj, aad
(dj of this section.
  (gl Special requirements for waib
from generator! of leu than « pounds/
month. A transporter accepting •
shipment of less than 50 pounds- of
regulated medical waste from a
generator who gufterate* lets IhuSO
pounds per moeth need aot comply with
the requirement* of paragraph* (a)
through (f) of this section provided that
  (1) The transporter compiles a  log.
containing the following inforaafa'm for
each shipment of regulated medical
watte:
  (i) The generator's name and Slate
permit or identification number, oc. if the
gene.-E'.or's State doe* not Itiue permit
or identification number*, then the
generator'* address.
  (ii) The quantity of watte accepted
(number, of package* and total weight by
wule category  (Le* "untreated" and
•treated"]); and
  (iii) The date  me waate fj accepted:
  (2) The transporter carries thii log In
the vehicle while twrnportittj luch
related zsedical waste to a second
transporter,
  (3) Tber transporter date* ud ilgni the
generator's log required under
I 25Q.54[b) of this part and
  (41 The trentportn compile* with
i 2£SL?e[a] of this lubpart

IZIf.71
   [a] beep! as provided IB paragraph
 (bj of thii section, the transporter muat
 deliver the entire quantity of regulated
 medical waste that he has accepted
 from a, generator « another transporter
 to:
   (1) The iatemediatf handler or
 destination facility listed on the tracking
 form: or
   (2) The next transporter.
   (b) If the regulated medical waste
 cannot be delivered In accordance with
 paragraph (a) of this section, the
 transporter must contact  the generator
 for further direction*, revise the tracking
 form according to the generator'a
 Instructions, and deliver the entire •
 quantify of regulated medical waate
 from that generator according to the
 generator1* initructiona.
wast* to a new tracking form.
  (a) Transporters must complete a
tracking form for all regulated medical
waite received from generator* who
meet the conditions of 1259.50[e)(2)[i) of
this part [in shipments of less than SO
pounds that are not accompanied by a
tracking form).
  (b) A transporter may choose to
contolidale or remanifeil to a tingle
tracking form all shipments of regulated
medical waile let* than 220 pounda.
  Not* to pantrapb (b): 17A ibtttjJy
ncoaneadi thai to minimise bookkeeping
errors, traaiporttr* couoUditi or munifeit
Iboat lUjTBtDli boa generators who an
Kqt&ed tp entente At tracking form
sepantely fatta those shipments by
Btaeraton who an not required to originate
the tnckiaj lorn.

  (c) When the transporter receives me
signed tracking form that he initiated
from the destination facility, and the
regulated medical waite waa
accompanied by a tracking form
originated by a generator, the
transporter muat
  (1) Attach a copy of the tracking form
signed by the destination lacility to the
generator'i original tracking form; and
  (2) Retain e copy of each tracking
form In accordance with 125977 of this
subpartand
  (3) Return a copy of each tracking
form to the generator within 15 day* of
receipt of the tracking form from the
destination facility.
  (4) For each tracking form initialed.
either by accepting waste from
generator* who meet the condition of
 12S9.SO[e)J2)[l) of this part or by
consolidating tracking forms onto a new
one. the transporter must maintain a
consolidation log Indicating aD
ehipmt^U consolidated 01 rem&aifested
on that form. The log must accompany
 the tracking form aad include the
following information:
   (I) Name of each generator,
   (li) Generator's State permit or
 Identification number. If the generator'a
 State does not issue permit or
 identification number*, then the
 generator'a address;
   (iii) Dele tie regulated medical waste
 was ori^aUj- shipped by the generator.
   (Iv) Quantity of regultted medical
 waste (number of containers and/or
 weight la pounds} by waste category
 (La, "untreated" or "treated") ahipped
 by each generator, and
   (v) The names, State permit or
 Identification number* of all previous
 transporters or. if not applicable, the
 transporters addresses.

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 12380       Federal Register f Vol. 54, No. 58 / Friday. March 24.1989 J Rules and Regulations
 I2M.77
   (•) A transporter of regulated medical
 watte must keep • copy of die tricking
 fora signed by (he gcDenlor. himself,
 the previous transporter (If applicable),
 and (he next party, which may be one of
 the following- another transporter or the
 owner or operator of aa Intermediate
 handling facility, or destination facility.
 The transporter mutt retain a copy of
 this fora for a period of three <3J yean
 from (he date  the waste was accepted
 by the next party.
   (b) For regulated medical watte that U
 not accompanied by a generator*
 Initiated tracking form, the transporter
 rnnst retain a copy of all transporter
 Initiated tracking form* and
 consolidation  logs for a period of three
 PJ yean from the date  the waste waa
 accepted by the transporter.
   (c) For any regulated medical waste
 that wai received by the transporter
 accompanied by a tracking form and
 consolidated or renanifeated by the
 transporter to  another tracking form, the
 transporter musk
   (1) Retain a  copy of the generator*
 initiated tracking form signed by the
 transporter for three [3] yean from the
 date the waste was accepted by tin
 transporter; and
   (2) Retain a copy of the transporter*
 initiated tracking form signed by the
 Intermediate handler or destination
 facility for three (3] yean from the date
 the waste was accepted by the
 Intermediate handler or destination
  (dj Retain a copy of each transporter
report required by i ZS9.78 of thia
subpart for three (3) yean after the date
of submission.

1299,71  Reporting.
  (aXlJ A transporter who accept!
regulated medical waste generated in •
Covered State must cab-ait report*
describing the source and disposition of
the waste. The reports moat be
submitted using the form in Appendix IB
of this part.
  (2) Transporters who accept regulated
medical waste directly from a generator
In a Covered State, or who transport
regulated medical waste that waa
generated in e Covered State, must
submit a separate report for each
Covered State's waste they have
transported.
  (b) Each report mast be submitted aa
followr.
  (1) One copy mast be submitted tot
Chief. Watte Characterization Branch
(OS-332). Office of Solid Waste. US.
Environmental ProtectioiLAgency.tOlM
SU SW, Washington. DC 20460; and
  (2) A second cop> nr^s! b* submitted
to the Director of £t wsju senagement
 agency b the State for which Ao
 transporter hat compiled the report.
   (eXl) Each report mutt contain the
 following Information In the format
 provided by Appendix HI of this put
   (I) The transporter! name, address.
 and EPA medical waste identification
 Bomber:
   (ii) The aame and telephone number
 of a contact person;
   (Ui) Total number of generators from
 whom me transporter accepted
 regulated medical waste;
   (iv) The name,  address, and type of
 each generator from whom thai
 transporter accepted regulated medical
 waste;
   (v) The amount by weight and waste
 category (untreated or treated] of
 regulated medical waste accepted from
 each generator;
   (vij The total by weight and waste
 category, of regulated medical waste
 from ell generators  In the Covered State
 that the transporter delivered to an
 Intermediate handler or to a destination
 facility: and
   (vilj The total by weight and waste
 category, of regulated medical waste
 from all generators b the Covered Stele
 that the transporter delivered to a
 second transporter or to a transfer
 facility.
   (viii) The certification signed by the
 owner or operator, or bis authorized
 representative.
   (2) Transporters who transport or
 deliver regulated  medical waste to an
 intermediate handler or to a destination
 facility must also provide the following
 information:
   (I) The name and  address of each
 intermediate handler and destination
 facility to which waste from that
 Covered State was delivered:
   (U) The amount by waste category.
 thstwat delivered;
   (ill) The total number of intermediate
 handlen and destination facilities to
 which waste waa delivered.
   (d) The transporter most submit
 reports covering the following periods:
  (1) A report covering the 180 day
 period from June 23,1968, to December
 18,1988.
  (2] A report covering die 180 day
 period from December 20,1968, to June
 17.1990.
  (3) A report covering die 180 day
period from June IB, 1990, to December
14,1990.
  (4) A report covering the 180 day
period from December 111990, to June
12,1991.
  (e) Transporters must submit the
reports required in paragraph (d) of thia
sectitm on or before the date 45 daye
after the end of the reporting period
   (fjEach transporter who Initiates a
 tracking form mnsl meet the
 requirements of 125925 of this part,
 exception reporting, except that the 35
 and 45 day periods begin on the day the
 transporter accepted the watte from the
 generator.

 I2M.79 Additional reportti*
   The Administrator may require
 InnspoTten to furnish additional
 information concerning the quantities
 and management methods of regulated
 medical waste at he deemt necessary
 under RCRA section 11004,

 Subpart {--Treatment. Destruction,
 and Disposal FacUiUc*

 |2SVJO Applicability.
   (a) These regulations apply to ownera
 and opera ten of facilities that receive
 regulated medical waste generated in a
 Covered Stele, including facilities
 located b non-Covered States that
 receive regulated medical waste
 generated in a Covered Stata, Facilitiee
 that are subject to this subpart include:
   (1) Destination facilities (La.
 treatment and destruction facilities. •
 facility that causes the regulated
 medical waste to meet the conditions of
 1259.30(b](l) (iii) or (iv) of this part
 Including incineration facilities, and
 disposal facilities); and
   (2) Intermediate handlers (La,
 facilities that either treat or destroy the
 regulated medical waste, but do not
 cause it to meet the conditions of
 12S9.30[b)(l) (iii) or (iv) of this part).
   (b)(l) Except as provided by
 paragraph (b)(2) of this section, thia
 subpart does not apply to generators
 who Incinerate regulated medical waate
 on-slte.
  (2) This subpart does apply to
 generators who receive regulated
 medical waste required to be
     npanied by a tracking fa
I2S9J1  UMOflTMtoeMnotorm.
  (a] DetVnation Facility. When a
destination facility receives regulated
medical waste accompanied by a
tracking form, me owner or operator
OUI6
  (1) Sign end date each copy of (he
tracking form to certify that the
regulated medical waste lilted on the
tracking form was received;
  (2) Note any discrepandet as denned
b 1259 62(a} of this subpart on the
tracking fans
  (3) Immediately give the transporter at
least one copy of the signed tracking
form
  (4) Send a copy of the tracking form to
the generator (or to the transporter or
blermediate handler that initisted the

-------
              Federal Reghter I Vol M. No. M f Friday. March 24.1989 / Rulei  and Regulation!       12381
 tracking fona) within 15 days of the
 delivery;
   (5) Retain • copy of each tracking
 form la accordance with 1259.83 of this
 eubpart.
   (b) Ir.lemfdicte Handlers. When in
 lOtermediE'.e handler receives regulated
 medical wests accompanied by •
 tracking form, the owner or operator
 xnuil meet the blowing requirement*?
   (l)The owner or operator mult meet
 til the requirements for generator*
 under both aubparU E and F of this part
 Including iigning the tracking form
 accepting the waste as apeciCed in Box
 20 and entering the new tacking form
 number in Box 21  when Initiating a new
 trackfeg fora, for each shipment of
 regulated medical waste that has either
 been treated or destroyed
   (2) Toe owner or operator must
 maintain a log Batching thr original
 generator's tracking form lo the
 trackirg form that ha initiate*. TKa log
 muil include:
   fj)Na=e(s] of generalorjs):
   (ii) Generator's Stale permit or
 identification nucber. If the State does
 not issue perrslt or idertiScatioa
 numbers  thea the generator's addreit;
   (iiij Toe date the regulated nedical
 watte wai originally ahipped by (he
 generator 01 thr generator's unique
 tr--king form number; •
    v)The new tracking form number to
   Jch the waste b assigned:
   (3) Within 15 deyi of receipt of the
 tracking form that he initialec' and that
 was signed b} the destination facility.
 the interaecjsle handler mutt:
   (f) Attach a copy of the tracking form
 a!f r - d by the destination facility to the
 or.£ aal tracking form initiated by the
 generator idec:_r.ed in | CiS^lfD);2][i)
 above
   (ii] Send e copy of each tracking form
 lo t1  i enerator who initiated the
 tree. _-.g form: and
   (iii) Retain a copy cfeach tracking
 form in accordance with the
 requirements of | 259.63 of this subpart
   (c) Rail shipments. If a destination
 facility or interned f te handler receives
 from a rail transporter reflated medical
 waste that Is accompanied by sh.!pr JUJ
 capers containing the informatics
 ^quired on the medical waste trac.uag
  •m, with the exception of the
 'aerate:'* certification and chain of
 -stod; • ^Tistares. the owner or
 operate  " his agent, must
  (1) Sigi c.nd date each copy of the
 tracking form c- the shipping papers [if
 the tracking fua has not been
received):
  (2) Note any discrepancies as defined
in | Z59.£2[a) of this •ubpart on each
copy of the tracking form or shipping
papers (if the tracking fern has not been
received);
   (3} Immediately give the rifl
transporter et least one copy of the
tracking form or shipping papers (if the
tracking fora has not been received);
   (fjiijlf the facility is a destination
facility, send a copy of the signed and
dated tracking form to the  generator
within IS days after the delivery. If the
owner or operator has not  received the
tracking lots vflhir. !5 days of delivery,
he must nzi c copy of the signed end
dated shipping papers to the party
Initie'Jru the tracking form;
   (&*; U the facility ii aa Intermediate
handJti. retain e copy of the tracking
form (or the (hipping paper* if the
tracking fora has not been received),
until he receives a copy of the tracking
fora signed by the owner or operator of
the destination facility. He then must
   (A) Attach a copy of the tracking form
signed by the destination facility to the
original tracking fora (or the shipping
papers if the tracking form}.;.« not been
received) initiated by another party.
   (Bl Sead a copy of each tracking form
(or each set  of shipping papers) to the
party who initialed the tracking form:
and
   (Cj Retain • copy of each tracking
form is accordance with the
requirement! of 1259.83 of this tubpvt
   (5) The destination facility end
intermediate handlers must retain a
copy of the tracking fora (or (hipping
papers If signed in lieu of the tracking
Jons] for at lea it three [3] yean from the
date of acceptance of the regulated
medical waste.
  Note lo pangnpl (c)- Deittnitfoa facilities
and itiennediate kindle:* nnlvlag
shipment* by nil should expect te twelve
Ike tracking fora from the generator, or the
preceding non-rail fransporter wbo will hive
•tot the tracking fom lo the facility by SOBS
other means (e«. by mail).

|25t.(2 Tracking form 0iacre*ancJea>
   (a) Tracking form discrepancies ire:
   (1) For containers, any variation In
piece count such as a discrepancy of one
box. paU. or drum in a truckload:
  (2) For waste by categories (Le,
untreated or treated) discrepancies in
Dumber of containers for each category
of regulated medical waste as described
on the label  imprinted or affixed to the
•uter surface of the package:
   (3; Packaging that is broken, ton. or
leaking; and
  (4) Regulated medical waste that
arrives at an intermediate handler or •
destination facility unaccompanied by e
tracking form, where the owner or
operator knows such form is required, or
for which the tracking  form la
incomplete or not signed.
   (b) Upon discovering a discrepancy,
 the owner or operator must attempt to
 resolve (e.g.. with telephone
 conversations] the discrepancy with the
 waste generator, the transporter and/or
 the intermediate handler. If the
 discrepancy Is not resolved, the owner
 or operator must submit a letter, within
 15 days of receiving the waste, to the
 EPA Regional Administratorfs) for both
 the State of generation and the State In
 which the facility- is located as well as to
 the appropriate State agency for the
 Covered State in which the generator U
 located. The letter must describe the
 nature of the discrepancy and the
 •tlempU  the owr -r or operator has
 undertaken lo re ;oncile It The owner or
 operator must include with the letter a
 legible copy of the tracking form or
 shipping papers b question. If the
 discrepancy is the type specified in
 paragraph (a)(4) of this section, the
 report must specify the quantity of
 waste received, the transporter, and the
 generator[a).

 1259.13  Me«orftt«plna.
   (a) The owner or operator of a
• destination facility or en  intermediate
 handler receiving regulated medical
 waste generated In e Covered State
 must maintain records for e minimum of
 three (3) yean from the date the waste
 wai accepted. Tbete record! muit
 contain the following information:
   (1) Copies of all tracking forma
 required by the following paragraphs of
 this subpart: 1259.Bl(a](5). (b)(3](iii):
 and (c)[4}(ii)(C): and the logs required by
 1259.81(b)[2) of this subpart:
   (2) The name and State permit or
 Identification number of each generator
 who delivered waste to the destination
 facility or intermediate handler under
 I :s.?.Sl(a) of this part, if the State does
 DC  ..sue permit or Identification
 numbers then the generator'a address:
 ead
   (3) Copies of all discrepancy reports
 required by 1259.82(b) of this subpart
   (b) The owner or operator of a
 destination facility or an  intermediate
 handler that accepts regulated medical
 waste from generator^) subject to
 1259.51 (a) of this part must maintain the
 following Information for each shipment
 of regulated medical waste accepted:
   (l)The date the waste  was trcepted:
   (2) The name and State permit or
 Identification number of the generator
 who originated shipment If the State
 does not Issue permit or identification
 numbers, then the generator's address;
   (3) The total weight of the regulated
 eedical waste accepted from the
 originating generator, and

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 12382       Federal Eegisler f Vol. 54. No.  86 / Friday. March 24. 1M9 f Rulea and Rew!««onf
  • (4] The lignum of the Individual
 accepting (he waste.

 J1SIJ4  Additional rtporana,
   The Administrator may require
 owners or operalori of destination
 facilities and intermediate Laadian to
 furnish additional infonnatiaa
 concerning the quantities aad
 management method* of medical waste
 as be decmi necessary under ROIA
 •ecton 11004.

 Subpart J— Ran SMpmenta of
 Regulated Medial Wntt
 I2S9.M
   (•) These requirement! apply to
persona engaged ia rail trans portatioo of
regulated aedicaJ waste generated to a
Covered State,
   (b] Rail transporter* of regulated
medical waste most also comply with
Subpart H of ihii part Traniporter
Requirements. excep! aj otherwise
provided is | U9L74{f) of this put

f9S9.lt  Ran aMpmtnt traeUng lorm
requlremtnta.
  (a) The following requirement! apply
to all •hijjmen'j ofreguUted medical
waile invohlnj raQ transport
  (1J Vrlea accepting re^ulaled medJcal
 waite generated In a Covered Slate
 from a non>rall traniporter. the initial
 rail transporter oust
   (i) Sign and dale the tracking fora
 acknowledging acceptance of the
 regulated medical waste:
   (ii) Return a signed copy of the
 tnsking form lo the non-rail traniporter:
   (iii) Forward at leasl three copies of
 us tricking form to:
   (A] The next non-rail transporter, tf
 any: or
   (B) The Intermediate handler or
 destination facility, if (he shipment la
 delivered to that facility by rail:or
   (C/The last rail transporter
 designated to handle the waste In the
 United SU las: and
   (iv) Retain one copy of the tracking
 form and rail shipping paper ia
 accordance with { 259.77 of this part
   (2) Rail transporUra must ensure that
 • shipping paper containing aO die
 intonation ret^ired on the tricking
fora, (excluding permitting or licensing
Duabers. generator certification, and
sigaatures) accoxpanies the shipment at
all time*. Intermediate nil transporters
are not required to sign either the
tracking fora(i) or shipping paperts).
   (3] When delivering regulated medical
waste to aa Intermediate handler or
 destination facility, a rafl transporter
 Busk
   0) Obtain the date of delivery and
 handwritten signature of the owner or
 operator of the facility on the tracking
 form or the shipping papers [if the
 tracking form has not been receives* by
 the facility); and
  (ii) Retain a copy of the tracking form
 or signed shipping paper in accordance
 with 12&9J7 of this part
  (4) When delivering regulated medical
 waite to a non-rail transporter, a rafl
 transporter mutt
  (i) Obtain tie dale of delivery and (he
handwritten signature of the next non-
 rail transporter on the tracking faro;
 and
  (ii) Retain a copy of the tracking form
 in accordance with | 259.77 of this part
  (5) Upon accepting regulated medical
waste generated ia a Covered State
from a rail transporter, a non-rail
transporter reuil sign and data the
tracking form (or the snipping papers If
(he tracking form has not been received
by the transporter] and provide a copy
to the rail transporter.

-------
ApiMHidhti to 40 CTR P«M 23ft-*fedk»l Wnto Ttoekhif rum md tmfrarttom
 Stita Infoniutlan Btock Nn«. M»M& CanMein ru
  Medical Waste TrnrMnq Form
     1.0«M(Mo>^ MMM and NMRng
    I J  i  I  I  I  I  I  I  I  I  I  I
    II. US CPA WM* tmcitpHon
     •i AMtoMid MMHf W*
     e. SUM RtgutaM MMM WHM
i. TrccMno Fom Number
                                         4.8M* PwilHI Of ID NIL
                                           f    I
                                         7.9IM1
                                           I    »
                                         10. Slvto ^MmH OT
           13.ToMWMaM
    14.8pKM NMdlbia kwhwltam «i« I
                                                                          INSTRUCTIONS FOR COMPLETINa MEDICAL WASTE TfUCKWO tOR*
                               Capr 3 — TRANSPORTER COPY! (tatabwdbf T»MM|i«lw
                               Copf 4 -. OENEHATOH COP
                                                                                umtar40CFflPM?59:
                                                                        i.
                                                                          •*«• 0mOTM to • Co>«wl SiaM
                                                                                                               •^Mfe •^h^^^^ ^A
                                                                          10. He. • «**«g
                                                                                                  I«T •»»«». Mm » nut to
                                                                          ra
                               17. T
                                                                                       I  I I I I I  I  i  I  I I I I
                                                                                                                     1*. SMta Tn
                                                                                                                       P*tmH or R) No,
                                                                                    or fcrt»tm«
-------
123B4
Federal Reghler  f Vol. 54. No. 86 / TKday. Mirth 24.1989 \ Rulei  «nd Regul.Uong
Gmnllrutniclioai
  Read all instructions below completing wit
form.
  •nut fern bn ben designed for use OB •
12-pitch t!ilt typewriter. • Tina ballpoint pea
si* also be«sed-*rees down bard (u yov
aW writing through multiple copies).
  Federal regulations require generator!.
transporters. inurme6iie handJere, and
ownert and operator* of detonation facilities
ftrsstneDt. destruction belli ties, tad diipoial
facilities) to UK Ibii lorn for boll bier- tad
tatraslsu bwuportation of rejuleled medical
waste whJeb U generated la i Covered Stala.
Generator* auit obtain the Mtdieal Waite
Tracking Fora from tat following source*:
  (1J If thiRguliiid medical wuii it tote
•hipped to a Covered Sute for treatatnL
destruction, or diipouL then thi generator
null we that Covered State'* form. Fa
generators who frsnsporl or offer for
transport repilated aedical wain to another
Covered Sale which requires ue of Itt
version of Ihi  tricking font the transports*
miut provide tht generator with lha recaMaj
Covered Sale's form
   (2) If tbi receiving Covered Stale doci aot
require Ibe w e of III v*.mon of tb« fora, or
 Ihi receiviag Slate it a non-Covered StaU.
 tbea (be generate; ausl obtain Ibt fora ttom
 Ibf |«nerator'i own State..
   (3J L'Ibe generator's Stale does aot require
Ibe me of lilt Sale's  vcnioa of lit tracnaf
 fora, then Ibe g enerslar cay obtain coplai
 from other toureti or produced tbtm using
 tbi printed version of the Federal fora
provided IB Ibis appendix,
   Section »007 of ihs Media] Waitfl
Tracking Act epeciCe* that any Slate or bea!
 law wbieb requires submiiiion of a regulated
 aedical» asle tracking form from tar persoD
 aabjeet to this Art sbaL rec.iire tL*l tbt Jam
 be identical in contest ind foraat to tbi
 Medical Was* Tracking Fora except that •
 Slate asy requbs tie submission of pfhsr
 Informs Son which la supplemental to ttttca
 Ibe fora. Sucb Sie'.s-required infomitioa
 ma)- be included through on of additional
 •beets or such otbir aeaas a* Ibe Siata
 diems appropriate. The Agency determlnta
 that BO additional or supplements] Ststa
 Information can be required on the fora
 except aa specified below. Generators of
 regulated aedical waste In Covered Statot
 arc advised to be  aware of any special
 requirement* within the Covered Statt*.
    IT States wish lo print their OWB ferss, Ihey
 may print to Ibe one Inch bos at the lop of Ibt
 form the following types of information; (1)
 Where lo obtain • Stale printed tracking
 bra: (2) eisentel Slate Informs'.ion (Suit
 addresses or telephone euabers): aai (3)
 •pedal Slate Instructions (e s- If tbs tatt
 requires a Bve or aU  part form thai Sx«t>
 night print addrtasea la wkickOtf aMiSanal
 forme Bust be stnQ.
    Die Xledica) V.'eat* Tracking Fora also
 Include* a box for a Siata Treclung Fora
 Number. U the Slate requires such a number.
 ft can be primed OB the fora In thai bo*. In
  addition aoae Stslea asy require wastt
  Identificstion or v.me authorization
  number*. Tbeae auabers MB be entered by
  the generator in boi 11 (a<). b edi-jon,
  Slates asy rvquire gtitcratan to we bet
  ll(e) to identify aedieal waits regulited
  Badsi State law but not iiodar Federal law.
                              Federal regulation* require gcaaralora.
                             transporters. Iclermediate baadlira. aad
                             destiaaUoa fscOities to complete us form
                             •(wrdiag lo the foUowtag mstructiona.

                             Medea/ Waste TneLng Fom Sptdfte
                             Wi

                             t
  n» fonvwtng describes each section of me
Medical Waats Traddag Fora a»d providat
bilructioM for completing eseb of dtese
lections (i«, boxes). Tbt waste generator
«onpleiM Bsxei 1-1S. Ibi trinsponar aad/or
Inlermeiite handlers coapletis Bous 16-
Jl aac* Ibe owner or operslar of Ibt
disliaitioi facility eoaplHes Boies B-8X
Toe trsnsporter aay asaist the generator to
completing aay of the boiea. bat ma
geairator is rtsponsibli for ensuring (bt
accuracy of ia/ormetSca entered oa the form
tad mutt sign Box U after Bout 1-14 an
completad.
   Box 1. CtMfcler'tffeat onJMoKnt
Mirtn Biter the BSAC end aeQing addreaa
of Ibe generator. Tbi mailing addreu ibouid
be Vie address lo which intermediate handler
or tbs desdnstloa facility will return Ibt
ligned copy of the tricking form, aad should
be for the location where the generator*!
biding foms will be bandied for purpose*
of recordkeeping and exception reporting
  r.g.. the company's biluac office, corporate
  eadquartin. or the actual aita of
generstion).
   While Ibe address catered bin need not
Identify the particular rite of generation, the
generstor must Biintaia Its records 10 that
Individual waste shipments [identified by •
unique tracking fora document number
•si'upeS by the generator, discussed next)
can be aisaciated with the actual sitca of
generation.
   Box S. Tracking Form ffuvbr. Thli la Ibt
unique tfsbtt that the geeeralor omit assign
to e&& akusoent of regulated medial waste.
 It w
-------
              Federal Renter / Vol. M. No. B6 / Friday. March 24. A989 I Rulei  and Regulations       12385
weight), by applicable weite category molt
be entered b Ik* eorreipondinc if tee. If tht
want it ovcniud and u not packaged In •
atandard eonlilner, • volumetric mcature
miy be Died, however, the unit of menuri
null be Doted to that apace ai wcJL
  Box M. Special Handling InttrvcUoni ant
Additional Information. Generator* mijr OM
L-JJ iptst 10 indicate iptcial tranaportation.
teatnenL itorige. or diipoial Information or
Bill of Lading information, including
alternative treatment and/or diipoatl facility
information. If neceiitry. Ceneraton nay
•bo iecludt in thii box a written requeat for
tht deatinatioD facility to certify diipoial of
the regulated medical watte through
•ignature and dating wiibir. thia box. (Note
Tht aignature in the Deibnation Facility
Certification Box (Box 22] I* onfy to be uied
to certify receipt of the wttle at Ike tune of
delivery to the facility.)
  For Internationa) inipmenta. generator*
nutt enter In thii apace the point of
departure (city tad State] for thoit waitet
deatined for treatment and dettnictfon, or
cLipoial outiide tht United Stale*. Thia
apace may alto be uied if there It need to
Identify an Intermediate bandler and/or •
third tnciporter. Stalet  may not require
additional infarma'Jon to bt provided in thii
apace oa Iht tracking form. However, other
Slate-iptcific information requirement! may
be Included on a aeparete, attached abetL
   Thii apace tbould alao be uted to provide
apecia] Initnictiont or additional Informatioa
regarding ovenixed regulated medical watte
that cannot bt eetily packeged in pltttic
bigt or t'.andard container! In theai
In*lancet, enter a detcnption of Ihe watte
including whither Ihe watte ii untreated or
 treated, tht number of pieces, and Ihe
approximate total weight.
   Box IS Generator'! Certification. Thla
•tiieaent when tigned by the generator.
certifiei that aD inforsatioa required la ba
 provided by that generator it accurate
 (including aoy information provided by the
 traniporter in Boxet 1-14], all documented
 wallet art properly prepared for trantport
 •nd all applicable State and Federal
 requirement! have been met Tht generator
 mutt read, tign by band, date thii
 certification itatenenl and cola the name of
 the generator into Ihe certification alatemeoL
 The perioni tignicf Ihe atalement must ba
 authorised to mike the required declaration!.
 In writiA{ by the per»oe in charge of the
 generator') operation!. Tbe fenerator mult  •
 make certain that Bcxet 1-14 [except Boxee
 4.1, 10. and ll(c). which are cp'jonel unleti
 required by the State] are completed prior to
 aigninf the form.
   Box IB. Traniportu I Certification of
 KtetipL The first traniponr: it required to
•cloowledge the acceptance of the wtitt
•hipment from Ihe generator by timing the
form in (hit ipace and recording the date of
acceptance. An) diicrepaaciei or other
related informt'jcr ahould be aoled IB the
Diicrepancy Box [csx 23) of the fracklaj
form before ligning It b thote inalancai
when a traniporter initiatei a tracking form,
be mutt complete Bout 1-15 and mutt abo
certify receipt at traniporttr 1. U be la abo
tht fint traniporter ai Identified IB Box I
(mniporter'i Kami and Mailing Addreu).
  Box 17. Transporter! or Intermediate
Headier Nome ondAddrett. mi EPA
Medico! Wottt Identification Number. IB th»
event Iht watte ibipment it to be trantported
by a aecond traniporter or it taken to an
Intermediate banoier. that recipient moat
•nler lit name and builneat mailing addmi
information in thii  place, and their EPA
Medical Wane Identification Number. If
available.
  Box IS. Telephone Number. Enter Ihe
telephone number of Ihe aecond traniporler
or intermediate handler to be uied wbea
checking or inveitigiting tht ilatui of •
ahipment
  Box 19 State Trojuporter Permit or ID
Number. Thii ii an optional ofay. Tbe
eeccndtry traniporter or Intermediate
bandler Slate-aiiiened permit or
Identification number ihould be entered to
tbit iptcc (tee number 7 above).
   Box 20. Traniporler i or Inlermediatf
Handler Certification of Receipt. A
 •econdary traniporter or inlermediatc
 handler it  required to certify acceptance of
 the watte ahipmenl b> printing or typing the
 aaae of the perton accepting the  watte,
 recording Ihe date of acceptance, and ligning
 the form Any ditoepanciei or other related
 Information ibould be noted In the
 Ducrecaa^ Bax (Bos 23] of the traddaf
 form before ligning Ihii box.
   Box 21. New Tracking Ferns Number. If the
• regulated medical  »eite ihipment ii
 coniolidated or reattigned to a new tracking
 form, the new tractac. form nur.St: mutt ba
 recorded in thii box on Ihe original
 generator'! fora. (U Ihe Covered State
 preprint! formi and Includei a State Treddni
 Form Number,  that number abould be entered
 In Ihii apace.) If the State doet not Include a
 preprinted number on Ihe form the
 b importer or latarmediatt handler ibould
 enter lu own unique tracking form number.
   Box 22. Dettination Facility. Tbe
 authorized rtpmeniativt of Ihe dettinition
 facility certifiei receipt and acceptance of the
 ahipmenl on behalf of Iht owner of Ihe
 fa cility by eon;ieting thii box. If no
 dJiocpaneiei are noted, the aulhoiitad
 reprtientative ttould place a checkmark
 before the etalament "received in accordance
with llemi U, U and U" print or type bii
name, record tht datt of acceptance, and eign
the box. Iflhtrt ire any diterepinelM be
ibould not place a check there. He abould.
initead. note the dlicrepintiet In Box 21.
  If for lomc renon the regulited medical
waitt wai delivered to • facility other than
Ihii Indicated in Box & thin the authorized
repreientilive of the facility that accepted
the waitt complete! Bax 22, u Indicated
above, enter* In Box 14 the name, addreta,
telephone number and the facility permit or
Identification number. If any. of the fidlily
accepting the waite.
  Box 23. Diicrepancy So*. Tht lutboriud
repreientative of the dettination (or
allemite) facility, on behalf of Iht owner or
operator, null note any ditcrepincy between
the waitt described on Ihe tracking form and
the weite actually received at the facility.
(Note: in tone initancet. due to the
contolidation or remanifeitlng proviaioai of
Ihii part traniporter* and Intermediate
handler* cay alto need to record
ditcrepinciei.) AD diicrepanciei muat be
noted by incluilon in Box 23. Owner* and
operator! of ficililiet who cannot reiohre
diicrepindei within IS dtyi of receiving a
M i»!e ihipment mutt file • diicrcpancy report
at required In 40 CFR 250 82. Diicrepancy
reporti mutt be lubmitted to the appropriate
State egendet and to the appropriate EPA
Regional office*, ai required in & 259.82 of thii
pan EPA Regional office addreaiei are lilted
below.

EPA Regional Admtniilnloia
Regional Adminiitritor. US  EPA Region L
   If. Kennedy Federal Building, Boitea, MA

Regional Adminiitritor. U.S. EPA Region 0.
   28 Federal Plaza. New York, NY 10271
Regional Adminiifritor. US. EPA Region ID.
   Hi and Walnut Sateu, Phiiadclphie, PA
   19)08
Regional Adsiiiitretor, US. EPA Region IV.
   341 Cecri!i.r.i Street NE. Atlanta. CA
   303BS
 Regional Admlniatralor. US EPA Region V.
   230 S. Dearborn Street. Cbieego. D, 80004
 Regional Adminiitretor. US. EPA Region VL
   1201 Elm Street Dillit. TX 75270
 Regional Adminiitrator. US. EPA Region VL
   924 Eaal Uth Street Kama* Dry. MO 64108
 Regional Adminiitrator. US EPA Region
   Vffl. I860 Lincoln Street Denver. CO 80285
 Rtgional Adminiitritor. US EPA Region DC.
   215 Fremont Street San Frandtco, CA
   MlOS
 Regional Adminiitrator. US. EPA Region X
   1200 Sixth Avenue. Seattle. WA OBiOl

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12386
      Federal Regiiter / Vol. 54. No. 56 / Friday. March 24.1989 / Rules and Regulations
                Appendix D lo Put 259-Oa-Slle Medical Waite bdnenlot Report and Instruction!


                      ON-SITE MEDICAL WASTE INCINERATION REPORT         P*3e'

                                  I FACILITY INFORMATION
  1.  Reporting Period
          __  June 22,  1939 to

               December  22.  1000
                                                 June 22,  1990  tc

                                            D   December 22,  1990
  2. Facility Name and Mailing Address
     Facility Name
     Mailing Address
     City
                      Slate       Zip Code
                                           3. Location of Incineration Facility
                                                D Address of location Is the same as
                                                   mailing address to Box 2.
                                                               or
                                                      Street Address
                                                     City
                                                                   State
                                      Zip Coda
  4. Type of Facility

       D Hospital
                  D Laboratory
                     Facility
       D Funeral Home/Crematorium
D Veterinary
   Clinic

D Other (Specify..
O Private Practice
   or Clinic
  5. Contact Person at Facility
     Name
                                    Title
                         Telephone Number
  6. Waste Feed Information (total for all Incinerators specified In Box 7)



                                    1 I I  I  I I  I  I  I I Pounds/six-month reporting period
A. Approximate Total Quantity
   of Regulated Medeai Waste
   Incinerated:
       B. Approximate Percentage el
          Total Waste incinerated
          that is Regulated Medical
          Waste

        C. Approximate Quantity of
          Regulated Medical Waste
          Received from Sources
          Outside this Facility:
                                          1111%
                             I I  I  I I  I  I  I I  I Poundsfsix-month reporting period

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            Federal Kegister / vw».
Pacilitv Name
                                                       Page	oi	
                              II.  INCINERATION INFORMATION
 7.  Total Number of Incinerators that Incinerate Regulated Medical Waste at this Facility:
 8 a. Incinerator Design Information
A Age of
   Incineraiion unit:
E  Type ol Unit:
U_l Year*


D Excess A*

O Starves Air

D Rotary Kiln

D Other (Specify..
 C. Number of
   Combustion
   Chambers:
 D. Design Charging
   Capacity:
O One Chamber

D Two Chambers

Q Three or more Chambers


 I  < I  I  I I 1 Pounds per hour
                              8 b. Incinerator Design Information
A. Age of
   Incineration unit:
B. Type of Unit:
J_LL Years


D Excess Air

D Starved Air

D Rotary Win

D Other (Specify..
C. Number of
   Combustion
   Chambers:
0. Design Charging
   Capacity:
Done Chamber

D Two Chambers

D Three or more Chambers


 I  1  I  t  t I I Pounds per hour
  9.  Certification
        I certify that I have personally examined and am familiar with the information suomt.,eo
        in this and at! attached documents, and that based on my inquiry of those individuals
        ir.n-sdiate.'y responsible for obtaining the information, I believe that the submitted
        informaVtor, is true, accurate, and complete.
        Name and official title of owner or owner's authorized representative.
        Name
                             Title
                                                                              Date

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  itnUnttnaioai
 "hit faironaatiOB U required by EPA nndtr
  •ulhentiti of aection* 11003 ind 110M of
  Reeource Coatenatioc and Recovery
 •. EPA cxprcu tail you w-li provide thli
 amaboa U»ed OB reatonably available
 orda. ox. IB tbt tb»inc« of tucb record*. oa
 a knowledge.
 to Miitl Complttt Tfila FomT
 Till fern null bt completed by icniraton
 •efiJaled nedical wutt who;
  Art loceted In Covered Sniti: tnd
  Utt an oa-elte incinerator to bun
 ulated medical wane duriai the reporting
 •iodi deicribed bilow.
 Jy complete Ihii form for incinerator* that
 •n regulated medical wail*. Refer to 40
 R 259.61 for record}eepir.g requircaeata
 -laining le Ihii reporting form.
 sen to Complete Tata Font
 Seaeralon who Incinerate regulated
 dical waite on-illc are required to eubmlt
  Oa-eite Medical Waite loelneralor Report
 O>A for two leparete reporting period*.
 He finl irpon coven the penod from June
 1080. to December 22. 1989 The
 jBinion date for the fint reporting period
 rabniary A, 1990.
 fbe Mcond report oovera the period from
 it 22. 1990. to December 22. 1990 The
 bniiiioa d*te for the eeeoad reporting
 riodia February 0, 1991.
 here to eend Ihii Reporff
 In each reporting period, eubmit two eoplee
 Chief. Waite Cbancieriietion Branch,
 tea of Solid Wane (OS-412). US.
 .vironmeaial Prolectioa Ageacy. 401 M
 •eel SW. WatUngton, DC 20400,
 itniction* for Completing the Form  •
 Boxte 1 through S require general
 .*omatioa about the facility. Boxe* B
 rough I require ipedfic information about
 e WM te incinerated and technical
 formation regarding the iacineraton
 emielvet Box 9 requlrei the facility owner
 operator la ceruf) the accuracy of the
 formatioiieubmiiied Begin with Box 1 and
intinue eequentially to each box. If there la
 ore than one oa-ilie Incinerator uted to
•tiaerate regulated medical waite. complete
sx B[a) for the finl incinerator and Box 8fbJ
ir the Mcoad incinerator. for more thaa two
todnereton, you wffl need to nae u
additional abeet(e) to provide (be required
Incinerator information.
  Yon will alio need to ivgn the certification
Bex [Box 9] on each additional itieel
  Box 1. Reporting fined. Mark aa "X" in
the boi that ipecifiei the reporting period for
the iafontalion you are eubmitting.
  Bex 2. Facility Kami andMailuy Add.tu.
Enter the Dime and nailing addrcu of the
Incineration facility.
  Box I. Location oflncintnUon Facility. If
the location addreei of the Ineineratlaa
facility It the lerne at the nailing addraai
•ntered In Box 2. nark u "X" la the
eleiipated box. If the location addreei to
different froa the mailing adit u. tale the
location infometioa.
  Box 4.7>7» t>tFacility. Mark aa TT to the
box that danifiei the buiinm or
orgtiLiatioD that owu or operate* the
Incineration facility. If (he ulegoriei do not
accurately repreient your fadhiy. mark the
•Other" category and ipedry the facility typo
to the epeee provided.
  Box S. Contact Ftnait et At Focility. Enter
Iht name, title, and telephone number of the
penon who ii moil knowledaeable (bout the
tocioeration operetioni at your facility.
  Box a. Watu Fted Information. The
queitiom la thia box aik about quaatftiee of
regulated medical waite incinerated at your
facility. When catering a raiponaa. right
hitify ue entry [»4-1  I H |01010101

  A. Approximate Total Quantity of
RtguIoUd Medico] Waitt Incinerated. Enter
the total weight (in pound*] of the regulated
medical wane incinerated at your  facility
(total of all incinerator unlu] during the alx-
month reporting period. To identify the
quantitiee of regulated medical wait!
Incinerated, refer to the operating lojikepl
for eech Incinerator at your facility aa
required under 40 CFR 25(41.
  & Approximate Percentage of At Total
Watte Incintreltdttiot it Regulated Medical
Watte, thing the infarmatioa from your
operating log. calculate the percentage (by
weight) of the total waile Incinerated  that U
regulated nedical wane. To  do thie. divide
the amount of regu!it*d nedical waite
tocinereted by the total amount of waite
Incinerated. Multiply the reiult by  100. Enter
ue number to the epace provided
  C Approximate Quantity ofKegatetad
Medical Waite Keeoivtdfnm Sources
OuUldt Ihh Facility. Eater the total weight
(tapoundi) of regulated medical waile •
received from eourcee outude your faeQlty
during the ilx-month reportug period.
Aa example of ouiaide lourcei would
toclude a facility that receive* waete from a
physician with an office icvrral milei away.
  Box 7. Total Number of Incineniart et tail
Facility. Enter the total number of
incinerator* that bun regulated medical
waite at your facility- Only toclude
Incinerator* that Incineraienyu/ofeo'awoVoa/
  Box l> Incinerator Detign Information. To
complete Itemi A through D to thli box, reler
le deiign blue printa. manufacturar'a
toformitioo. or other aoureoa.
  A. Age of Unit. Enier the age of the
todneralor unit to yean.
  & Type ofUnlL Mark aa "X" to the box
that deicribei Ihii incinerator type.
  • Aa "excen air" unit if uiually • compact
box-like a tructure with chamber* and bafOoa.
and It operate* with high air Dow* to enure
adequete combuilioa. It If uiually loaded
manually through a charging doer.
  • A "nerved air' unit la niually
cylindrical but can be rectangular, and H
typically bai eombuitioa air fed through the
floor or oa the aide*. The wait* I* uiually
manually loaded, although larger unit* can bo
mechanically loaded.
  • A "rotary kiln" unit If cylindrical and
rotate* about the lengthwiie axia. If thie
Incinerator I* not deicnbed by any of the
three group* lined, merk an "X" to the box
labelled "other" and detoibc the unit to the
epece provide! If necauary. attach
additional iheeta.
  C Number ofCombuttion Chamber* Mark
aa "X" to the box thet deicribei the number
of combuiUoa chember* to  Ihit incinerator.
  D. Detign Charging Capacity. Enter the
atximum emounl of watt* that thia
tocineretor ie detigned to bom. to pound* par
hour. If you cannot locale any record*.
eitimite the number of pound* per hour that
thii unit Ii deiigned te bum. (NOTE. When
entering a quantitative reipona*. euch aa,
rate*, weight* or time, right Juiury the entry
  Box 9 Certification. After completing thi*
form, the fedlity owner or an aulhoriiad
repreintative mail lign and date the
eerufScetioa and indicate hi* or her petition,

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.Appendix m to Put 25V—Truuportn Report Form tad InitmctfoBi
                            TRANSPORTER REPORT
                 I. TRANSPORTER IDENTIFICATION INFORMATION
Page lot	
1. Reporting Period
D June 23, IK* to Occii^r I*, 1«9 DJune 18, 1990 to Decanbsr u. 1990
Q Decanter 20, 1989 to June 17, 1990 Q December 13, 1990 to June 12, 1991
2. Transporter Name and Mailing Address
Name
Address •
City State Zip Code
5. Contact Person
3. EPA Medical Waste Identification Number
| 1 1 1 1 I 1 1 1 1 1 1 1

4. Certification for l.-.iermediate Transporter
Dves
U No Signature
r i
Name Title Telephone Number
6. Certification
1 certify tk.at 1 have personally examined and am familiar with the information submitted in this and at! attached
documents, aid that based on my inquiry of those individuals immediately responsible tor ob'.a.' -g the information. 1
believe that the subraaed information is true, accurate, and complete.
Name and official title of owner or owners aothorized representative.
Signature Tale
Date
                          II. DISPOSITION INFORMATION
7
. Total Quantity of Regula
A. Untreated Waste
B. Treated Waste
ted Medics! Waste by Category i
Second Transporter or
Transfer Facility
t 1 1 1 1 1 1 1 1 1 Pounds
1 1 1 1 1 1 1 1 1 iPftunrt*
ind Destination
Intermediate Handler or
Destination Facility
1 1 1 1 1 1 1 1 1 (Pounds
1 1 1 1 1 1 1 1 1 (Pounds


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12390
Federal Register / Vol. 54. No. 56 / Friday. March 24.1M9 / Rulei and Regulation!
Transporter Namt or D number.
                             III. GENERATOR IDENTIFICATION
     8. Total Number of Generators From Whom Regulated Medical Waste was Accepted
         (If your answer Is V. skip to section IV)          I I M  M  M  I	
     9. Identity of Generators
                         Pitt* Compl»!» SKtfcru A ft a/* C for •**> Gtntnw
     A. Name and Location of Gsnerator
     Generator Name
     Street Address
     cay
                              State
                             Zip Code
                                       B. Type of Generator     1-1
                                              Peter to Instructions tor code
      A. Name and Location of Generator
      Generator Name
      Street Address
C. Quantity of Regulated Medical
   Waste Accepted From the Generator
  Untreated I I  '  '  ' '  '  *  '
                                                     Treated  Mill1111
                                       B. Type of Generator
                                               Refer to Instructions lor code
      CBy
                               State
                              Zip Code
C. Quantity of Regulated Medical
   Waste Accepted From the Generator
  Untreated f  I  I  I I  I  I  I  I Pounds
  Treated  '  '  '  t '  '  '  '  ' Pounds
      A. Name and Location of Generator
      Generator Name
      Street Address
      City
                               State
                              Zip Code
                                        B. Type of Generator
                                               Refer to Instructions tar cede
 C. Quantity of Regulated Medical
    Waste Accepted From the Generator
  Untreated  '  t I  I  I  I I I  I  pounds
  Treated   i  I  t  I  t  I I I  I  Pounds
       A. Name and Location of Generator
       Generator Name
       Street Address"
       Ctty
                                State
                               rip Code
                                        B. Type of Generator     Li
                                                Refer to Instructions lot code
 C. Quantity of Regulated Medical
    Waste Accepted From the Generator
   Untreated  I  t  I  I t  t  I I I Pounds
   Treated   i  I  »  » »  »  »  I  1 Pounds

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Tnniportw Nam* or ID Number.
     IV. INTERMEDIATE HANDLER OR DESTINATION FACILITY IDENTIFICATION
10. Total Number of Intermediate Handlers or Destination Facilities to which Regulated
Medical V/aste was Delivered , , , , , , , , , (if your answer totr. do not

11. Identity of Intermediate Handlers or Destination
r#mtt CempMt Stclbnt A tnS I
A. Name and Location of Facility
Facility Name
Street Address
Cay State Zip Code
A. Name and Location of Facility
Facility Name
Street Address
Cny State Zip Code
A. Name and Location of Facility
Factf) Kame
Street Address
Coy State Zip Code
A. Name and Location of Facility
Facility Name
i -eel Address
City State Zip Code
Facilities
HortKhFacSty
B. Type of Facility l_l
Refer to instruction* for codf
C. Quantity of Regulated Medical
Waste Delivered to the Facility
1 IntrAatAft I1II1II1I PntlfVle
T»«iMl | | | | 1 1 I 1 I Pounds

B. Type of Facility J-l
Peter to instructions tor code
C. Quantity of Regulated Medical
Waste Delivered to the Facility
Untreated 1 1 1 1 1 1 1 1 1 Pounds
Treated | | 1 1 1 I 1 1 1 Pounds

B. Type of Facility J_L
Refer to instructions for code
C. Quantity of Regulated Medical
Waste Deliver : i to the Facility
Untreated 1 1 1 1 1 1 1 1 J Pounds
Treated 1 1 1 1 1 1 1 1 1 Pounds

B. Type of Facility i-1
Refer to instructions forced*
C. Quantity of Regulated Medical
Waste Delivered to the Facility
Untreated | | | | | f || 1 Pounds
TmalMf (I f M H 1 1 Pourxte

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            Federal Register / Vol. 54. No. 56 /  Friday. March 24.1989  I  Haiti  aao  nepuiuona
 itnllnforaation
 thority
 •bit information It required by EPA under
  •ulboriliii el Section 11001 and 110M of
  Resource Conservation end Recovery
 L EPA expict* Ihit you will provide tail
 million bned on tie record! yon ut
 Hind lo keep M • medical wait*
 aiparttr.
 10 Moil CempliU This RcportT
 Mil report muil be completed by
 asportirt of regulited med.ce,' wiiti who
 apt ind transport regulated medical waite
 tented ia • Covered Stilt. and who ut
 •ulred le obtain an EPA Medical Wutt
 •atificatioa Number under | U9.7S of thii
 rt
 MI Type of Information Ii Required By
 uReportT
 Hit Traaiporter Report Fora coDisU
 oraataon on the source mad deposition of
 ,-uItted Dcdietl want handled by •
 niportu. Tie torn U divided ialo bar
 :D'OBB
 rrantpoiitr IdeatiCcation WorcatloB
 Disposition InforaietioB
  Ctntiator Identification
 . Inlirmidialt Htnditn  aad Destination
 FtcUltyldfBtifiEalloa
 sw to Complete These FomiT
 A separate copy of thie font muit bt
 •pleled for taeh Covered Suit In which
 * regulitid medical w»»l« which you hive
 imported, during tht reporting period wtt
 ntrated.   .
 INolK If yon did not trmniport regulated
 edical wails generated In a Covered State
 jrini a reporting period, you do not htvt to
 ibout a Trmrjporter Report Fora lor thai
 avercd Stilt (or that reporting period). Tbt
 .amplea deicribed below illuilriti who (i-e,
 on transporters] auat report, aad far
 hich Covered Staler
 Example 1: Company X  aecepli waeta
 .•nerattd in Niw York, tin tail acinuio New
 ork it illumed le be a Covered Stall and
 ew Hifflpihin. a non-Covered SiaU.)
 Cbir.pany Xaeeepts rrj-jU«ed medical
 ••me from ilx gentraion located la Niw
 ork and fransporta the waiU for disposal IB
 «e ficilitiei ia New Huapihirt. (Beciuii
 :*w York Ii t Covered Slate under the
 eaonitration program. Company X nut
 ottfy EPA thit II aceepti and traniportt
 egulated medical waiU f tnarattd la •
 fevered Stall. EPA will laiui an EPA
 Medical Waite Ider.uncallon Number to
 loapany X for the Suit of New York.)
 fa thii can. Traniporttr X only acctpti
 md t-ansporti reguUted medical waiU boa
 int Covered Slate and, Ihut. will only bavt
 o coapleto ont report, far the Suit of New
fork.
 Example t Company T aceepti refulatid
aedical waste gtotrited  In Nr» ferny and
Sew York. (In tail aceaario both Saw Jersey
aad New York are usamod to be Covered
Statci. and New Kaapihirt a Baa-Covered
Stale.)
 Company Y accept* regalilod midical
waiti from four |ineratori la Niw York and
fern five generator* In New Jersey- Company
Y deliver* tat waiU accepted bom thiM
Itniralon to t deitaition facility In New
Kampihin. (Cempaay Y notifies EPA that It
acctpti and bauporu regulated medical
waste that it  iincrattd la two Covered
Stitei EPA IHUII two EPA Medical Waitt
IdtaUficaUonNumbcn to Company Y. tht
first identification number Ii for the transport
of regulated medical wailt ftntrattd la New
Yoik and the lecond auabir U fa tht
transport of regulated atdical waite
gtnirated In New )cnty.)
  Beeauie Company Y hai accepted wain
geaenled ia two Cowed Sutat. fhj
company will be required to complin and
inbuilt two Triniportir Report Forma. DM
for tLi wane from tie four generator* la Niw  .
Yo* and a teparait Tnupertar Report Fom
for tht five generator* la Ntw Jinry.
  Extmpli I. Three traniporter compaalea,
Company X Company & aad Company V.
traniport regulated midical waiti generated
In New York, (Again, In thla icintrio Niw
York b auumed to be t Covered Situ and
Ntw Hampshire, a non-Covered SUU.)
  Company X accipt* tejuliUd midical
wwtt bom alx genenton located la New
York and tnneporu tht wnle to Company B
who U an Intirmediili transporter located la
New HinpiJure. Company B accepts the
wnti from Company X and triniports tht
witt* to Company Y. also located ia New
KampiLLt. who then delivers the wisti to a
destiaelion ficility ia Niw Hampshire.
(Because New York is a Covered Slate. aO
three compiniei [X. B. and Y) auit notify
EPA thai tbry accept and franiport regulaltd
•edical waile geamtid In a Covind Stilt.)
   Each  touiporter company  must alto
complete a aeparaii Transporter Report
Fora. In completing the fora. Company X
must supply information on eich Niw York
generitor from whom It iccepts reguliUd
 medical wiitt. and on tht quantititi tt
 accepted. Company Y must lupply
 taforaabon  on the diipoial fadliiy 10 which
 It delivers the reguliUd midical wasti and
 the quantities It delivered. Company B auat
 only tupply  information to verify U to an
 "istcraelste IraRiporter* as It neither
 accepted waite dinclly from a generitor nor
 delivered waste lo aa uUraediaU handler or
 destination facility.
 When to Complete (he Ktpeiff
   Complete each Transporter Report ulag
 the Information (hit can bt obtained from tht
 tracking forms aad vansporttr legs. UM only
 Ihon Ui clung forms aad logs thai have
 oertificition receipt dues in  Boi 16 of the
 tricking form, thai fall wlihiB the reporting .
 periods Mrntined below. Submit the report
 ao later than 45 dayi following each reporting
 period. The schedule of tubmissioa dales are
 as followc
        ig.
 AM U 1t»t
     Rspoftno panod
  Oecrt* II. ItM.
Deeantto 20. IBM a
  June 17.1000.
June II. I** »
  Decanter 14,noU
                      PetnarytltH.

                      Ai«uel1.1MO,
HAm to Send This Report?
  Copiis of tach report anil be submitted ei
fellowK
  (1) Ont copy BUI! be submitted to- Chill
Waste Charecltriution Branch (OS-4II).
Ouct of Sold Waste. U.S. Environmental
Froiectioa Agenc}-. 401M Streit SW,
Wishington.DC240Ba
  (2) A lecond copy must bt rubmlittd to the
Director of tht wisii minigemtnl agency to
the Suit for which the transporter hai
coapDid the report.
Instructions for Compliling tht Fom
  Tht ilia by lua Instructions thai follow
explain for neb type of traniportar which
Sections MV they aust complete,
  (Note: If your company accept! aad
biniports regulitid medical waiti DOB
ftnerMon located in a Covered Stitr and
you hive not beta  Issued an EPA Medical
Waste Identification Number, you atill mult
complete this form  for tich Covered Stiti't
wisti which you have transported during the
reporting period.
  After completing the entire form, number
 eich pige appropriately la the ipice
 provided (14. pige 14 of U].)
 Sectloa L Transporter Identification
 Information
  Boan 1 through  B requires the lubmitul of
 Informatioa on tat reporting period and your
 transporter operslions Begin with Box I and
 continue erquentiaTly with each Box.
  Boi 1. Reporting fenod. Mark an TT to
 the box (hit ipecifiu the reporting period for
 the Information you are lubmiitina.
  Box 2. Trontporur Kaau and Mailing
 Mirttt. Enter Ihi nimi and the mailing
 addreu of the transporter who Ii completing
 this report.
   Box I. EPA Midical Mas/* IdentlfieoUoa
 Nuoibtr. Enter the U digit identification
 number assigned lo your company'!
 transpsrter operations In the Covered Stan
 for which you are completing this form. If yov
 do not hive an identification number, inter
 Iht name of the Covered Suit for which yea .
 are completing Ihil form,
   Box 4. Ctrtification for Intermedia*
 Trentferter. Transporter! who (1) lollly
 accipt regulilid medical wests from
 transporters who have. Ihimiilvaa,
 »aniported the waste, and (2) deliver ouch
 waste only to another transportat for further
 movement, are considered "inlermediele
 transporters- and need only complilt Boxei I
 through 8. V you are an Intermediate
 transporter, mark  an -X" la the box
 corresponding to "YES* and enter your
 tignttun after the box. If you are not an
 Intermtdiiti traniporter. mirk an "X" to the
 box corresponding lo "NO", la both catei.
 continue on to Box I.
   Box B. Contact Puton. Enter Iht fjaat.
 tJtle. aad telephone number of the person
 who is moil knowledgeable about your
 transportation operation!, or the person who

-------
              Federal Register  / Vol  M. No. 56 / FHday. March 24.1989 / Rulci and  Regulation!       12393
to retpnatlMa f« (he taforaattea ta Ihto
report.
  Bm 0. CtnJfieotien After completing thb
form. Ihi company owner or an oothoriited
itprtitnutivt muit tigs aad dm the
nrufiuliOB and indicate hit or bar title or
petition, If your orj icixab'oe hat BO legal
owner (t.g, t local goverMJtnt entity). Ihe
Individual within your organization who to
itiponiibli for iht laforRatioa IB thii rtpart
suit ilgn BBC* dm (be certification aad
indicate til or her politico.
  If yon wtre u Intermediate trmniporttr
during tht nportini period marked to Boa 1.
you do BOI n»ed lo complete Ihe remaining
aecVoni of thli itport If. however. ym
•ectplid regulated medic*! wtitt directly
from • generator loci led la B Cowed Suti.
or you delivered lush watte to aa
iBlirmcdiil* handler or deitaab'oa ftdllry
during the itportins period -.arled la Box 1.
oontiout with Sectiotu C. 01 and IV and
fellow the Inttructiona.

BcctioB a Diipotltfoa bbrmatin
  Thii tectios requ!rei nbmlnal of
feformib'oa OB the quanbte* of regulated
Btdical wnii yot tamponed  durag Ibe
Itportinf period a^ted is Box L
  Box 7. Total Quantity o/nVgu/otee5
Medical WotH by Category and Deitimlion.
Tail bos rcqveiii i&formiti'oB ea tht lelal
quantity of (A) ur^rreled aad (B) freatec.
regulated medical » atle you eeetpled for
fruiiporl  during the reporting period. Tie
totel ouentiq- of wattt abould only lodode
Iht legulittd medical wt«e you traatporled
 that »at fenerottdin Ibe Covered Slate for
 which you are completing thii Form. For each
 category of watte, enter the quantify of watte
 (ia pauadt) that wat delivered  (1) lo a tecoad
 toar.iporier or trantfer facility and (2] to aa
 Intermediate handler or detUnatf on fidllty. tf
 eldier calef ory of wattt wat not delivered lo
 • fidLty. enter V for that category and
 ft sill ty combiflttion. If yog did aot dr' er
 »tita le eae of the !>•?«» of ftdlitiet
 •9" for Ihti facili> ry?*. R^ht (uttify »*»
tnttr V ta (hi bo* aad akip to Section IV.
Right |uiUfy each i&try (a4-.| 11114 |l |).
  Box 9. Identity cfGenuolon. Complete
Boxct «A through 9C on rocA individual
Itntrolorb tht  Covered Stall from whom
you leetpttd refuliied medical wnti during
the reporting period. Thii form provide*
•pace for IdtntificatioB of four geainton. U
you acecpiid wnii bom mort than four
gemnlcr*, copy ihii ptgt at aeeded aad
prc%-'d» the laforst'JoB on each generator.
tot Du&bcr of giniraton tfittrtd m Bos I
•tut equal Iht total nuaair of all generator!
Identified la Bex I
  SA. HUM end Location tfGenentor. Eotar
the Bime and the addreti npretenttng Ihe
vhytlcal location of Iht genentv (.*, the
location at which Iht want It pitied up).
  VB. Tfrt ofCeianter. Enter one of the
following cedet that belt claiilfiti AM typo
of gtBtrttar. Utt your beit Judjmtnt M to
tht gtnentor'a type.
 BMUoa m. Ccttr; -s- leVaUftea'joa
   nil MCtim n ;uuct (be nbmllUl of
 taformatfoB rtgardin| Ike icneraton DOB
 whom you accepted tegulttcd mtdical watte
 cXviai Iht rtportlnj period marked la Boa L
   Box L Total K OIOM
 •tneraton located t. *.M Covtrti Slate for
 which you B.T cos;' t.-4 thit form. If your
 eompaay 6d aot p.  .•; any rtfulatad
 medical watte dire   . from a ftneretce.
    01

    M
      HeepRal-tnctjdM MM pexontad ei al
       ttoratenea and depestmena.
      US»tt»y IndjftnQ dneal t»d
       kteratanea genvabng raguktiid metfeeJ
  04

  OS

  06

  07
                  Generator Dm
        	BTue-pnjcSoa tasBie* that
         prxdt »n*uUar» aart^of one 01 mont

         tal. 9 pott pat*" ova, etfocef camera,
         urtiy practot cenura. etc. MM hcbdee
         eutttUflt druc teament ttakaet. and
         ranrettdeital metfeal day ea.i US sea,
                          -  and nurse* -^
         vit»-pnctioe pnrvaan oWeee.
         enM-MudM  angle and mApto p*
         veif-praaco eantet otteea.
         f.rt.-A-wv-ircijdat angle and mApto
         prt*»t»^»rts» veinnmn eMoea.
        Le-v Trn or RevMnu* Huih Caw Feo*.
Section TV. Intermediate HtadJtn or
DtiUnttion Fadlitiei Identificttra
  Boxei 10 aad 11 requlret tht tubmltul of
iaformttioa regarding Ihe Intermediate
handler! and dettinition ftcilitiei to which
you delivered reguliltd medical watte during
the reporting period mtrVed la Box L
  Box 10. Total Number of tniermtdiotf
Handler* and Deitinatioa Foa'litiu lo which
Regulated Medical Watt* wot Delivmd.
Enter the toll! number of intermediate
handler! tad dtitinatioa fetiliu'ti to which
you delivered regained medical waite during
the reporting period. Thii box ahould include
B/Jfirilitiii (in both Covered and BOB-
Covered Sutei] that accepted the regulated
medical waite lilted la Box 7. If you did aot
deliver any regulated  medical wtitt to on
Inlermediitt handler or deitinttion facility
during tht reporting period enter "0" to the
Box and do not complete Ihe remainder of
rtl! ttctlon. Right Juitify your entry (a*.
   | |2|B|).
   Box 11. identity of Intermediate Hondlen
end Destination FecU.tiei. Complete Boxet
11A through MC identifying ooeh individual
inltruiediclt handier ondde* Unotion facility
lo which you delivered regulettd medical
waite generated in t.t Covered Sttte for
which thii fora It completed. Thit fora
pravidei ipecei for identification of four
ftcilltlct If you dtlivtrvd wtitt to more thaa
 four ftcilititi. copy thii ptge tt needed aad
provide Ihe requeued Informttion for etch
 fedlity. The number of ficilitiet entered ta
 Box 10 muit equal Iht number of fecflitiea
 Identified la Box 11.
   11A. AV me and Location of Facility. Eater
 the eamt and Ihe addreti reprctenttng Iht
 phytiea! location of Ihe facility.
   HE Type of Facility. Enter one of Ihe
 following code* that bail cltiilffei Ihe type
 of fedlity:
             	.euwoT
             «-*d eri h«ri et rvcng homea
         t,->: n»0em»: crjg  VMVrnnl
        B-aod Br*i~teijM
                                  Watte
  OC Quantity ofRrgutotott Medioal M
Accspied froa> Iht Generator. For each
category (unfretied asd fretted), enter tht
asount of watte (ityounda) thit you
• Mpied from tht ztatralordunag the
^ porting period C you did not accept weite
                                     two*
         tank* (not a: a notpKaQ and M* moot*
         00-t.V ectMMa.
         Mr-vcwidet «Tr Oder boDly eeneratnp
         i«a.iaie« rv-- A" >«r.e euet  t* amtw
         la-Ki tarvtecv  kiftmtnea. ett. • you
         •nur vw eodt. i*«en> tht type ef gano>
         at* et «• epta a*ser the eada,
                                                                                             InorwTiar.
                                                          *sar>- (oner MH merattr).
                                                Treatment and U.r.-aon  F»*-t» (ewer
   liC. Qvoni;* ofRegulotfdMedieel Waif
 Dt ..end a if* Facility. For etch category
 (it .re.ted and treated} enter Ihe quantity of
 wtr.t (in poundt) tht! you accepted for
 fantport lo Ihe Intermediate handler or
 dettiaitioa ftcihty during Iht reporting    -
 period. If you did aol dtlivtr wtitt to one ol
 Ih, catigoritt eater V for tfut«W-
 RightJuitify each easy (e«. |0|0|t|0|0|0|
  ^ttirVaaaejnTy(e4.|||«|0|OJOin|
  panada).

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12394
Federal Register / Vol. 84. No. M / Friday. March 24.1989 7 Rules and ReguliUona
Appendix IV to 40 Cfl Put CSS Recommended Medical Wait* Ttuipocter Notification Fern ud Instructions
IMed Sates
Eitviwvnema) Protection
Agency

Medical WasteTransporter
Notification Form
FOR OFFICIAL EPA USE ONLY

1Mb*.*:   M  1   •  I  I   I

OaieRaceiMd:

RsceMng Official:
                                                               .....
                                                               1  M   t  I
  1. Covered Suit tor which yew re notifying
  2. Tiantponer Name and UtUing Addnm
                                    3. EPA Haurdous Waste O Number
                                                   1   t   1  1  1         1   1  1  1   1   1
  4.T«n.p«1.r-.F.cB.trlcc.lton(.}
                                        ieea*
  Am GAOV T
                                                   AMA CoAV T

  S. CarUfieatien
          «.r Miuih. ^ «Mibui « BM) DmMiAion lor miKino w tubmiuien el tolM §Urtm»fm ttprcMnuiient v omitiiont M 1 ta* iMd.
           rafl^
  ACL

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             Federal Reghtcr / Vol 84. No. B6 / Friday. March 84.1BS9 / Rulet and Regulation!       12395
la*truetSea» tor CoapltOa| tbt Modieal
Watte TnMporter NotiRcatin Tom

Gtfitrol bfametiem
  Tfcii fefanitfon ti nqdrt d by the ETA
u4er aulboriry erSeeUoa 11009 aad 11004 of
tt t ReMarce Coiutrvetloa asd Recovery
ASL
  Ma Mutt Kei:jys TraAiporttrt wbo
t-. sty— irr-i}(.!-'~*£>ca) wtitttbitla
t > iew  i If. a Ccvwd Suit aui notify iht
I. ..I En orenatnla) Pr»(ect»e£ Afraey for
teib Covered Sla\e't irj-Jurf aedical
want Ibey Intead lo trmatport. TUt
ftquireaeat tiUndi to traniportan wbo do
•ol artuaL'y traaipon ibt wtttt wlthta Ihal
Ce»-srtrf Sttit't boundariti but wbo
toa£-port Ibt wtiu. itntnttd b the Cmtrvd
Suit, ovir 4t tail Covered Stett't
bour.ii.-it.
  Tri e», • "*r» pltntdng ***(• activity aay
•)!>' u==;Iti« a Notitct tios Fora or tubnil
a If.. r wn'.tiniRj the IrJvBilicn required b
4: CT3 IHTZfb) EPA «r-.!l i>,te iiiut a
Mti:t! Uei:i Jst-^u'.e: N^berunique
to the! tw.ipent: for cadi Covtrtd Suit for
     t  i
trm:
to »
oft/
           •J> regJittd Btdieal »ntt
           end cte bt uitd b) fentrilon
           : lh« trintponer kn ttf.foi !TA
           lo franrpoit *tnt froc t'nir
         Notifr. NotUlMboB nul b*
•ubmintd for o Covtrvd St«u Ulan ibt
frtcipenr miy leupt rtfulittd nrdietl
««ilc (tDtrtUd ID tfcit Covmd Sutt
Trcuparttn miy. bowtvcr. icorpl oacb
Miti wet ferybivt mbmlnrd tbrtr
lolifiabon. bel btfon itetiviai tbdr
MtntiSuliea BCBbti UpoDrtetipioflbM
•ustbcr. Ibt t4Diporttr c«H tDlff ll b Bar t
of tbi Meist.' U nil Tn ckinf Fom. wbn
tt»l fer= to t* v-'ni AdditioBiUy. Ibt
t-*nip;-ir- f.j: er.it/ ti.i1 aumbcr b Bet 17
et tit Tnduaf Fern wbu isuni » •
Meoadu) friupoTiif, tad b Box I whn
biUitiiu i taeUni fora for lood
                                          Mien le Send NotjfiaotioKTv* eopln of
                                        Die oonplrltd NottfiudOD Fora, fartick
                                        Covirte Suit. Bull bt itot le- Cftitt Wuu
                                        ChaneltriMtioD BrwtK EnviionBtvUl
                                        PreitdioB Aiteey {OS-JJ2) 401 M SBMU
                                          Oni copy owl •!»« bt wnt to Ibt Under
                                        ef ti» wtilr Mnt|tn*nl ird|tviw
•bout year opcnDeai. tnd bcludc that
tvraoo'l Itltpbent ouabtr.
 Bex X CPA Hoiordata Wetlt
Uvit-fieetiO* tiumbtn. If Ike hdbiy
idtaiifird le Box I bit in EPA K»u-dou»
W«ttt IdtnUficition Numbw. tntci Ibt EP*>
atiignrf IZ-chirtele bitvdout wailt
Idiatificitioa nasbct (or Ibt ftdltly.
  Bet 4. Tnraeentrt Facility Location!*)
Eaitr Ibt iddrcii. bdlity Itltpbonr auabu
•ad aay cumal Suit mtdiu! or iafedJmi
kiitt ptrali er tietati nambtn for ttcb
totniportttion or Utatfir fidlitv loetltd
within the Covtred S'.ttt Idtntlnid b Boa V
  U (but ut BOit Iliu few wth hdlttitt bi
thti Cevtrtd Suit yea will nttd lo uft an
oddJIionil tattl|i) lo prox-ldt Hit required
bdlity informilioa: alUtb Iht additional
abttutotbtKral
  Bex 5 C*m/ie«/on.Tli* CMtlDealloa
Suieatal muil be rted aad band tinted bj a
corponlt officer or tbt owner/operator al tl«a
toaat porttr company.

[TR Dec. B^6JW Filed 9-S-B» • IS as)

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                            Land Restriction Rules
                                 Robert Cianciarulo
v-3

-------
Robert G. cianciarulo -  Mr. Cianciarulo is the Land Disposal
                         Restrictions (LDR) Coordinator for EPA
                         Region I.  His responsibilities include
                         developing guidance documents and
                         training on the LDR for the regulated
                         community as well as EPA and State
                         personnel involved in LDR enforcement.
                         Additional responsibilities include RCRA
                         corrective action and enforcement.  Mr.
                         Cianciarulo holds a B.S. in Chemical
                         Engineering from the University of
                         Lowell.

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The Land Disposal Restrictions (40 C.F.R. Part 268)

I.   Overview of the LDR
     A.   Five Rulemakings
     B.   Philosophy behind the LDR
     C.   General Framework

II.  Generator Requirements
     A.   Testing and Recordkeeping Requirements
     B.   Treatment Standards
     C.   Other Special Requirements

III. Treatment/Storage Facility Requirements
     A.   Testing and Recordkeeping Requirements
     B.   Storage Prohibition and Special Requirements
     C.   Waste Analysis Plans

IV.  Conclusion

-------
     WHO Etch mpnwk
    QUinHHtNuntar
 COHWCATK»(|ZM.A«)PXI»
    RrtJnCoplisferlVMn
       lUcyellngof
    UntfObpoalFMr
      WUEKhShlpmM

NOnRCkTKN(|2(aT|l)(10
   0)
      Wou Antfyil* On
      (I MUM)
RECOROKEEWQ (t»tT|l)ll»)
     o»B»ejfellnjFtefl!)r
                                  prick* * AffflaH
    Kb 2 « By!

    MM»a7!

 UQUDANDNOMJQUBVM1B:
BM W«k DIM RMl
Uwb • Ml «4 nut to Mudtd
BMUM
     9«
   Mta.au
    toft
RECORDKEEmO||NlT(«l»
                                 ON Crfomli LM (|MUt MM IMMMp
                                 Figure 1. Generator Requirements

    Note: This flowchart can be used as a guide only. For a complete discussion of the
    generator's notification requirements, refer to the text of this document as well as the
    regulations. Also, since different notifications and certifications apply for Characteristic
    Wastes which have been treated until rendered non-hazardous and "lab pack" waste,
    Section IV of this document and pertinent regulations should be consulted for additional
    information.

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                          APPENDIX A




      NOTIFICATION AND CERTIFICATION REQUIREMENTS






                          Table of Contents








Notification and Certification Requirements Summary Table                     A-2



Certification Statements Summary                                       A-5



Certification Statements
                                A-l

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                                    NOTIFICATION AND CERTIFICATION REQUIREMENT SUMMARY TABLE
Scenario
                    NOTIFICATION
Notifies        How
Whom?        Often?
                                                        Notification Must Include
                                                                CERTIFICATION
                                                Certifies      How          Certification
                                                to Whom?    Often         Must Include
• Generator manages a
restricted waste that does
not meet the treatment
standards/prohibition
levels; sends It off-site
for storage or treatment
(§268.7(a)(1))

• Generator manages a
restricted waste, determines
waste can be land disposed
without further treatment
(§2G8.7(a)(2»

• Generator's waste Is
subject to a case-by-case
extension under §268.5,
exemption under §268.6. or
a nationwide variance under
Subpart C (§268.7(a)(3))
Treatment
storage or
recycling facility
Treatment,
storage,
recycling, or
disposal faculty
Facility
receiving
waste (MTR
unit)
 •  Small quantity generator   Recycling
 (100-1000 kg/month) subject  facility
 to tolling agreement pursuant
 to §26220(e)
With each     - EPA HW number                  N/A          N/A
shipment      - Corresponding treatment standard or
               prohibition level
              • Manifest number
              - Waste analysis data, where available
With each     - EPA HW number                   TSDF         With each
shipment      - Corresponding treatment standard or                shipment
               prohibition level
              - Manifest number
              - Waste analysis data, where available

With each     - EPA HW number
shipment      - Corresponding treatment standard and
               ell applicable prohibitions
              - Manifest number
              - Waste analysis data, where available
              - The dale the waste to subject to the
               prohibitions
              - Statement that waste Is not prohMed
               from land disposal

With Initial     - EPA HW number                   Recycling      With initial
shipment      - Corresponding treatment standard or  facility         shipment
               prohibition level                    (V waste
              - Manifest number                   meets the
              • Waste analysis data, where available  treatment
                                                 standard)
N/A
Statement that waste
meets applicable
treatment standards/
prohibition levels.
See "A".
                                                                                            Statement that
                                                                                            meets applicable
                                                                                            treatment standards/
                                                                                            prohibition levels.
                                                                                            See'A".
                                                   A-2

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Scenario
• Generator sending
lab-pack containing only
wastes listed in §268
Appendix IV or V
Notifies
Whom?
Treatment or
storage facility
Notification
How
Often?
With each
shipment
Notification Must Include
- All EPA HW numbers
- Five letter technology code: INCIN
• Manifest number
• Waste analysis data, where available
Certifies
to Whom?
Treatment
or storage
facility
Certification
• irnaa
now
Often
With each
shipment
Certification
Must Include
For Appendix IV
lab-packs, see "D".
For Appendix V
lab-packs, see "E".
• TSDs sending restricted
waste off-site for additional
treatment or storage
(§268.7(b)(6))
• Treatment facilities
sending restricted wastes
off-site to land disposal
facilities (LDFs)
(§268.7(b)(4J)
Must meet same
notice and
certification
requirements
applicable to
generators

LDFs
With each     - EPA HW number
shipment      • Corresponding Treatment Standard
              - Manifest number
              • Waste analysis data, where available
LDFs
With each      For wastes with
shipment       treatment standards
               expressed as
               concentrations, see TT.
               For wastes with
               treatment standards
               expressed as
               technologies, see *C".

               For wastes which have
               been deemed in
               compliance with the
               treatment standards
               based on the analytical
               detection limit
               alternative specified In
               §268.43(c), also Include
               •P.
                                                   A-3

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                                             Notification                                                  Certification
Scenario                   Notifies        How                                            Certifies      How          Certification
                           Whom?        Often?        Notification Musi Include           to Whom?    Often         Must Include


• Generator or TSDF        Regional        With each     - Name and address of Subtitle D     Regional      With each     Statement that waste
sending characteristic waste  Administrator    shipment       facility                            Administrator  shipment      meets applicable
which has been rendered                                  - Description of waste, as generated                               treatment standards/
non-hazardous to a                                       - Treatment standard applicable to                                prohibition levels.
Subtitle D land disposal                                    waste at time of generation                                     See -B".
facility (§268.9)
                                                   A-4

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                             CERTIFICATION STATEMENTS SUMMARY
Certification
Statement
Initiator
Recipient
Description
40CFR
A



B
Generator


Treatment Facility
                  Treatment or
                  Storage Facility
                  Generator
                   Generator
                   Treatment Facility
Treatment, Storage
or Disposal Facility

Land Disposal
Facility
                     Land Disposal
                     Facility
                     Treatment or
                     Storage Facility
                     Treatment or
                     Storage Facility
                      Land Disposal
                      Facility
Wastes Meeting
Treatment Standards

Wastes whose
Treatment Standards
are listed as
Concentrations
§ 268.41
                                                                                 §268.7(a)(2)(li)
§268.7(b)(5)(!)
                     Wastes whose
                     Treatment Standards
                     are listed as
                     Technologies (§ 268.42)

                     Appendix IV
                     Lab Pack Wastes
                     (organometallics)

                     Appendix V
                     Lab Pack Wastes
                     (organics)

                     Incinerated wastes
                     (organic detection
                     limit)
                      «268.7(b)(2)(U)
                      § 268.7{a)(7)
                       1268.7(a)(8)
                      § 268.7(b)(5)(iii)
                                                 A-5

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                           CERTIFICATION STATEMENTS

 A. I certify under penalty of law that I personally have examined and am familiar with the
     waste through analysis and testing or through  knowledge of the waste to support this
     certification that the waste complies with the treatment standards specified in 40 CFR Pan
     268 Subpart D and all applicable prohibitions  set forth in 40 CFR 268.32 or RCRA
     Section 3004(d).  I believe that the information I submitted is true, accurate and complete.
     I am aware that there  are significant penalties  for submitting a false certification,
     including the possibility of a fine and imprisonment (§268.7(a)(2)(ii))

 B.  I certify under penalty of law that I have personally examined and am familiar with the
     treatment technology and operation of the treatment process  used to support this
     certification and that, based on my. inquiry of those individuals immediately responsible
     for obtaining this  information. I believe that the treatment process has been operated and
     maintained properly so as to comply with the performance levels specified in 40 CFR Part
     268, Subpart D, and all applicable prohibitions set forth in 40 CFR 268.32 or RCRA
     section 3004(d) without impermissible dilution of the prohibited waste.  I am aware that
     there are significant penalties for submitting a  false certification, including the possibility
    of fine and imprisonment.  (§268.7(b)(5)(i))

 C. I certify under penalty of law that the waste has been treated in accordance with the
    requirements of 40 CFR  268.42. I am aware that there are significant penalties for
    submitting a false certification, including the possibility of fine and imprisonment.
    (§268.7 (b)(5)(ii))

 D. I certify under penalty of law that I personally have examined and am familiar with the
    waste and that the lab pack contains only the wastes specified in Appendix IV to Pan 268
    or solid wastes not subject to regulation  under  40 CFR Pan 261.  I am aware that there
    are significant penalties for submitting a false certification, including the possibility of
    fine or imprisonment  (§268.7(a)(7))

 E.  I certify under penalty  of law that I personally  have examined and am familiar with the
    waste through analysis and testing or through knowledge of the waste and  that the lab
    pack contains only organic waste specified in Appendix V to Part 268 or solid wastes not
    subject to regulation under 40 CFR Pan  261. I am aware that there are significant
    penalties for submitting a false certification, including the possibility of fine or
    imprisonment  (§268.7(a)(8))

F.  I certify under penalty of law that I have personally examined and am familiar  with the
    treatment technology and operation of the treatment process used to  support this
   certification and that, based on my inquiry of those individuals immediately responsible
   for obtaining this information, I believe that the nonwastewater organic constituents have
   been treated by incineration in units operated in accordance with 40  CFR Pan 264,
   subpart O or Pan 265, subpart O, or by combustion in fuel substitution units operating in
   accordance with applicable technical requirements, and I have been unable  to detect the
   nonwastewater organic constituents despite having used best good faith efforts to  analyze
   for such constituents. I am aware that there are significant penalties for submitting a false
   certification, including the possibility of fine  and imprisonment.  (§268.7(b)(5)(iii)>


                                         A-6

-------
      FROM  4O  C.F.R..   §   268.4J.Ca->
TABLE CCWE-CoNsrrruENT CONCENTRATIONS M WASTE EXTRACT
WttttOOdt
DOW
0005— 	
oooe_ 	
rwn?


IH* *w 260 ng/kg Mweuy).
MM n
























rmfl





TOOT——


















BfM4




n«a

containing wtatM.'





Sttitao
TgtOf tf>Y "K**?
T«M*CCW«i?6R43 	
T*M»m«nMA4i
T|fi4 CCW * IW *3 	 	 	 	
TiWt CCW h 268 4 ...« 	 	
Tabfe 2 r» 266 42 and Tibta CCW n
268.43.
TiWt CCW in 26* *3
TtfM CCW * Mf *?
Tfttte 9 bi 9M 42 ml T«M* CCW n
268.41









































TtM» CCW to Iff 1




TimCCWki;M43 	 	




TiMn OCW ki M» *J 	 	







IteBuUM huvdom eenrttNM
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7440-38-2
7«40-3»O
7440-43-S
744047^2
743942-1
7434-974
7782-49-2
7440-22-4
6744-1
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141-784
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11046-1
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71-554
76-19-1
79414
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7440-434
7440-4742
743942-1
IttnjaJl
7440-28-4
7*40 43 9
744IM7-32
743942-1
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7440-42-4
7440 439
7440-47-32
7439-92-1
7440424
7440-224
7440 43^
7440-17-32
7439-92-1
7440424
7440-28-4
7440-434
74404742
743942-1
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7440-224
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•^•«BMM.^M



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Has

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NA
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NA
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NA
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NA
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NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA




-------
                                     ETROM   4O   C.F.R.    §   268.42C&O
 226M
                     TABU 1.—TECHNOLOGY COOES AND DESCRIPTION OF TECHNOLOGY-BASED STANDARDS
 AOQAS

 AMLSM

 Biooa



 CARBN



 CHOXD
           Vongngoitumi^uodgt*oik»inibooib^err>oenT^n>od>a^ioidorio^  »«nang eon bo oceompleMa Brough phyifcoj
             vetuM/pPAgi prtiwcfli pmondon of ta oonujnon ond/or ponooodon ttvougti dotoniflon.
           A/Mtoimtson of loud. olamonW morafy conlimntied MBI ndtoecttvo mibraaj uOting togonk raooi
                                                                           .   _          oucn • eoppor. *c, nfctoL gou, ond
             •Jtu am IMUB h  •  nonfiqud, omMoltf inwlgiin ond taroby roduang pooratf  onMoloni of itomontol  morcuy noon to M o».
           BkxMgrodtlfen el orgtnct or nctvmwrte fcorganct a*. dogndoblo inorgora tat oonM ta oloriwb) of phoophon* i*eg^ ond «*f) h u*
             oporuodundor oitar oorobte or onoorobc condMem Men Ml* MiegM compound w (tfeMr pvwrwtw hu bMn MtatwitUr ndund ki
             cenomntlen n «• mdwto (•». ToW Orgtne Carbon eM oA*i to uMd « in MMtor pnmHr kr 0w 6«oegrtdtflon of nwr «gra
             unnmuena •« cmet b* artrty wwlyzid In wutgwtUr iwduM).
           Cvten adMrpbon (grwUttcd or povdaraeO of noiHiwMle norgwta. orynfrmtttBei. intf/ar orgw* eontAwtt, op«M weh tat • i
 DEACT
                                    hot not undergone brooMvaugh (e.g, teat Orgonto CMOH CM ofton bo UMd « on Motor poruwor tor ta
             odoorpOan ol «neny orgonk: eonrtmonu tat eomol bo dkecoy enrirad ki MitoiMOM iooMuo^ BmUhrougn aeon «tan ta evbon hoi
             boBBmo nulled «*> ta oonmiont (or cvJcotor ponmoior) and oubMMol ohong* ki odnrodon Mo otoookaod m«di tat ooncAjom ooon.
           Chomcol or tucntflc odditton udkting ta Mtomng oridodon roigtnti tor «wto roogontol or oontimaoni or  nogonot (1) HmcMurtto to«
             ttoachX (2) ernorta; (3) cNorkw tforido; (4) oano or UV (lAwtotot IgnQ MMiod em (S) poraoooo; (9) powAbH: (n poroNoittoK «
             pormonggnioK wd/or n otar oadang roogontt of oqjvilort ofBdoney. portormod n tnb optndtd ouch tat i lunogm aompound or Mooto
             poranwtw te bofi lubianatfy ndueod n eoneomrtfln
                             g ON totortng Mdudng iMgongi (or
                                  at •qiMtani •nctoney. portomd ki trttt opntad tuah tal •
             oubftanHitr roduort ki eonoontifen h ta rosduDs (eg, Tobtf Orgonle H^ogwwoMOltontouoMHonvidkMorporonMvtor tandiMknor
             mony Miug»n*iod organ* oonottuonbi M emnot bo dkoeOr onolynd to tnotMnttr nottM). Chomcol roducfton k commonly taod tor ta
                                                     HtodMtobbrttU
           Fuol wbrtUton ki unftj oponM to oooordcnot ««h oppfcobto tocMcol opomoni
                            TABLE a—TECHNOLOOY-BASED STANOAROB nr RCRA WASTE Coot
                            wuw doMnpton* md/or voitmom nMoiogoqr
                                                                CAS No. tor
 OOBI

 0001


 0001


 0001

 0001
 0001
 0002
0008
0003
0003
0003

0003
0008
0008
0008
0008
0012
0013
0014
001$
0016
0017
POOS
        T«btoCCWEn26M1
          «ndTiW»CCW«i
          26843.

        TibtoCCWEIn2BB.41
          •ndTMMCCWIn
          26443.
        T*W»CCWn26843.
        TibtoCCWn2B843—
        Tobto OCW ta 26&43_
        TtttoCCWn 268.43—
        Tobk)CCWn26843_
        TiW.CCWEn26S.41
          end TMM CCW h
          268.43.
                           tontecto
                             TOCto
               bnod  on  281.21 («X1)—

              bnod on 28l^i(iKl)-Lo»
                                                                           DEACT
                                                                                                    NA,
                           leratBM* two*  btiod on 2B1.2HlH1M*gft

                             tan or oouol to 10% tow orgmc arborv
                           kjnacM
                                                                                   SS;or
                                        1281^1 WO.
                                       on MINIUM).
                           tad MbeoMgory bM4d on 281 -22(1X1)	
                                               on26lJ2UM1).
                                            on28U2(iN2).
                              att HAM* bued on 261J3WK5)	
                                   twMd on 26173(D 16). (7). md OH—
                           wmr IMC*** teMd on 261 J3w 421 OX ond
                             (4).
                              •r MKtvw tttMd on Ml J9MH1)	
                                     NA

                                     NA
                                     NA
                                     NA
                                     NA
                                     NA
                                     NA

                                     NA
           HM

           NA
           OEACT
           OEACT
           OEACT
           OEACT
                                                                                                    OEACr*.
           DEACT
           NA
                         OEACT.
                         OEACT.
                         OEACT.
                         DEACT.
                         OEACT.
                                                                           NA
                                                                        OEACT.
                                                                        RTHRM.
                                                  •ndtatoroiM
                             •eluded 4tMwften from rogutoton under ta
                             hnd Ospoul rKtnaoni of 40 CHI 268 or
                             •xtnoMo undv omor EP* njouutom (IM «0
                             CFH 266.60)4.
                             tan or oouoi to 260 mg/kg tout Utrouy
                             eoruoni mmvy ond oqino (ond on iw
uenxy.  (Hgh  Mereury  Subringory  gmeler
  tan or eoual to 260 mg/fcg Ml
  ono*9*ViiG9 finc>uttnQ •nontfAtOf
  KNNIM from RUERQ).
Endnn	
                           Lndeno.
MsffoiycKor-
                                                                7439-07-6
                                                                7439474
                                     72-204
                                     SB-80-0
                                                                          NA
                                               CARBHorMCM
                              IPMT
2.4A-TP	
2-H»opropine..
80014S-1
•4.7B-7
•3-72-1
BCOawrNON
CHOXO;BlOOG.orMCW
CHOIOorfNCM
(WETOK or CHOXO) ft CATOft
 or WON
                                                                                                   MERCrerRMERC.
                                                                                                    RMERC
NA,
NA,
NA.
NA.

NA.

-------
                Federal Ragtiig / Vol. 55. No. 106  / Friday. June 1.1090 /  Rulei  and Regulation!        22701
         EXOERITS  FROM   4O   C.F.R.    §   268.  43 (a)
                                  TABLE CCW.-CONSTTTUENT CONCENTRATIONS m WASTES
          Wtttt 0000
                                        Saaaho
                                                            fieguUtad hazardoua conattbart
                                                                                        CAS No lor
                                                                                         hazardM
                                                                                         eonattuart
                                                                      Waaiaiaian
                                                                      concana-aauii
                                                                                                                (mg/kQ)
OOC3 (Raactnw
  iy  buadon261.23(a)(5l).
                              TaMa CCWE ai 268 41.
                                                          CyandaKAtnenaUa).
                                                          57-12-5
                                                          57-12-5
                                                          7440-38-2
0007.
                             TattaCCWEIn2684l.
                             TaMa CCWE m 266 41.
                             TaHaCCWEki26641.
                                                          CMM
                                                                                       743942-1
0010.
0011-
0012-
0019.
COM.
0016.
TaMeCCWEIn26841.
Tab* CCWE m 268 41.
TaMa 2*i 268 42	
                                                          Salami
                                                          Endr
7762-49-2
7440-22-4
720-20-6
                             TaMa Ik) 368 42.
TaMa 2 Hi 268.42-
TaMa2«2«84S-
                                                              ph
FOC1-FOOS tpam aotoi
                             TaMa 2 to 268.42-
F00i-f«05 apant aofcanti
  oauacal nduany
  category)
FOOC	
                                  CCWE n 26841 and TaMa 2
                               (126842.
                             2,4.5-TPSKax.
                             1.U-TneMoroet
                             Ban
7149-6
3001-35-1
•a.75-7
                                                          ManytanaeMortda
                             TaMa CCWE « 268 41.
                             Cyanjde»(Toia&	
                             Cyanttaa(AmanaMa).
                                                                                       57-12-6
                             TaaeCCV^ »268 41.
                                                          Nckal.
                                                          Cyandaa (Total)	
                                                          CyandailAinanaMa).
                                                             d
                                                          ••CMI
                                                          OjvMaalA
FC10_

FOIL
                             Ttt>»CCWEn26841
                             Cyandaa (AmanaMa).
                             Qrandataoialt	
                                                          Uad.
F012—
                             TaSieCCWcei 268 «>....
                                                          Cyandat rotan	
                                                          CyandaalAmanaMa).
                                                          OiromMti {Total).
F019-.
                             Tab'* CCWcm Z68 41.
                                                          CyarHdM (Total)..
F024	—
                              Tasw CCWE n 26841 and TaHa 2
                               ft  26642 (Note   F024 organe
                               tunoartt must be  fraaiad via av
                               cnaiaton (MON))
                                                          2-CNon>tJ*jt«d*ne..
7440-4742
749842-1
744042-0
57-12-5
57-12-5
7440-4742
743942-1
7440424
57-124
57-184
7440-4742
749942-1
7440-024
57-124
57-12-5
7*40-47-32
7439-82-1
7440424
57-12-5
57-124
57-124
57-124
7440-4742
743942-1
7440424
S7-12-5

7440-4742
7439-82-1
7440424
57-124
57-124
7440-4742
                  OJ6
                   10
                  WO

                   5.0
                                                                                                          10
                                                                                                          SjO
                   NA
                   NA
                 0.030
                 OjOTO
                  0.44
                                                                                                          1.2
                                                                                                         OJ6
                                                                                                          14
           f 580
             90
             NA
             NA
             NA
             NA
             NA
             NA
            0.13
             1J
            104
             7*
           •7*
                                                                           044
                                                                            1J
                                                                            01
                                                                           OX
                                                                           OM
                                                                           044
                                                                            1.8
                                                                            ai
                                                                           OJ2
                                                                           OM
 01
032
004
044

 01
 1J
 ai
oje
OJM
044

 0.1
OJ2
OM
044

OM
0.32
                                                           I.IOeNaroettii
                                                                                        10745-1
                                                                                                       •0014
                                                           ea-l^Ochto
                                                               1>OcMorepr
                                                                                       1006141-5
                                                                                       10061424
                                                                          •OJ014
                                                                          •0*14
                                                                          •OJ«4
   30
  NA
  NA
  NA
  NA

   30
  NA
  NA
  NA
  580
   30
  NA
  NA
  NA
  580
   90
  NA
  NA
  NA

  NA
  110
  8.1
  NA
  NA
  NA
  110
  8.1
  NA
  NA
  NA
•590
  •30
  NA
•028
                            •0.36
                           •0.014
                           •0.014
                           • 0.014
                           •0414
                           •0.014

-------
Toxicity Characteristics Leaching Procedure (TCLP) Rule
                                   Mary Jo Krolewski
     V-4

-------
                                 Biography

                             Mary Oo Krolewskl

An Environmental Engineer with the U.S. Environmental Protection Agency -
Region I.  Responsibilities Include Regional Toxicity Characteristic
Contact, as well as RCRA corrective action and enforcement work.  Received
a B.S. 1n Mechanical Engineering from Cornell University.

-------
               TOXICITY CHARACTERISTIC RULE OVERVIEW

I.   Reasons For Modifying The EP  Toxicity Characteristic

     A.    Many  "hazardous"  waste  streams  capable  of  adversely
           affecting the  groundwater were  not currently  regulated
           because of limited scope of existing TC.

     B.    Congress directed  the  EPA in  the Hazardous and  Solid
           Waste Amendments (HSWA)  of 1984 to address deficiencies
           in  the  EP  Toxicity  Test  and  identify  additional
           constituents as hazardous waste.

II.  Background

     A.    Toxicity Characteristic Rule was promulgated in March 29,
           1990 Federal Register.

     B.    The TC Rule adds 25 organic constituents  to the Toxicity
           Characteristic list for a total  of 38 constituents.  (The
           TC is one of the four characteristics used to define a
           solid waste as a hazardous waste.)

     C.    The rule  also  replaces  the  Extraction  Procedure  (EP)
           Leach Test  with  the Toxicity   Characteristic Leaching
           Procedure (TCLP).

     D.    Regulatory  levels  for  the  constituents are  based  on
           health-based factors and  are derived using a  groundwater
           transport model.   The  model simulates  hazardous  waste
           leachate in a municipal  landfill.

III. Industries Likely to be Affected:

           Petroleum: Products. Refining, and Marketing
           Rubber and Synthetic Rubber
           Plastic Materials and Resins
           Synthetic Fibers and Textile Mills
           Pharmaceuticals and Organic Chemicals
           Pulp and Paper / Lumber and Wood Products
           and possibly Uater Treatment Industry

IV.  Effects on industry

     A.    Previously Unregulated Companies

           i)    Companies  which have previously  been  unregulated
                under RCRA but will generate  more than 100 Kg/month
                of TC waste must notify EPA of their hazardous waste
                activity.
           ii)   Notification Dates
                LQGs:   October  29,  1990
                SQGs:   November 2,  1990

-------
           ill)  Compliance  Dates
                LQGs:   September  29,  1990
                SQGs:   March  25,  1990

      B.    Existing  Hazardous Waste Generators

           i)    The  effect of  this   rule  upon  existing  hazardous
                waste  generators  is  that  new  waste  streams may
                become  subject  to RCRA.
           ii)   Companies with permanent EPA Identification Numbers
                do not  need to  notify to add a waste.
           iii)  Companies may be  subject to facility standards  if
                wastes  are  treated or disposed  of on-site or are
                stored  for  greater than 90  days.
           iv)   To continue or start treatment,  storage  or disposal
                activities  involving a newly regulated TC  hazardous
                waste  after  September  25,  1990,  a  company must
                submit a Part A  permit application to obtain interim
                facility status.  Part A permit applications are due
                September 25, 1990.
           v)    As a result of  added  TC wastes,  some SQGs may
                become  LQGs.  These companies must submit a change
                of  status   request to the   EPA Regional Office  by
                March 25, 1991.

      C.    Existing  Interim Status and Permitted Facilities

           i)    Interim  status  facilities  with TC  waste streams
                and/or units  are  required to submit a revised Part
                A Permit Application  by September 25, 1990.
           ii)   Permitted facilities are required to submit a permit
                modification request to account  for newly  regulated
                wastes and/or units.

v.    Effects on the State  Programs

      A.    Being a HSWA Rule, the  Regulations are effective in all
           states, enforceable  by  EPA.

      B.    States have no authority until change in regulations.

      C.    To avoid dual regulations on the regulated community, EPA
           urges states to  adopt the  TC Rule.

VI.   impact Issues

     A.    TCLP vs EP
           i)   Results from  the  TCLP  are considered  to be more
                reproducible than  the EP Toxicity Test.
           ii)   Since   more  of   the  hazardous   constituent   is
                extracted,   the TCLP tends to be more aggressive for
                lead and other metals.

-------
           ill) As a result, a company which generated a waste that
               passed the  EP Toxicity test  may  find  that the same
               waste will  fail the TCLP and thus the  waste will be
               subject to  RCRA regulation.

     B.    Land Disposal Restrictions Program
           i)   Land Disposal Restrictions Rule  does  not yet apply
               to wastes which  are brought into the RCRA program
               solely because of the TC Rule.
           ii)  These wastes may continue to be sent to  a hazardous
               waste  landfill   until   treatment  standards  are
               established.

     C.    Underground Storage Tank Program
           i)   Since  Underground Storage  Tanks  (UST)  sites  are
               regulated under Subtitle I of RCRA, the petroleum-
               contaminated  media  and  debris  generated  during
               cleanup has been temporarily excluded  until the EPA
               completes  a number  of  studies to determine  the
               impacts of  the TC Rule on these  wastes.
           ii)  Any media removed  from  inside the tank that fails
               the TCLP is not  exempted and must be treated as a
               RCRA hazardous waste.
           iii) UST exclusion does not include transport spills.

     D.    WASTE OIL
           i)   Waste oil,  particularly  automotive waste oil,  may
               fail TCLP for both aromatic  hydrocarbons (benzene)
               and  chlorinated  solvents  (trichloroethylene  and
               tetrachloroethylene).
           ii)  Waste oil that is  recycled  is exempt from the TC.
               (See 40 CFR Parts 261.6 and  266.40)   Recycling can
               be  accomplished   by   either  reusing  the  waste
               (blending/reprocessing) or by burning  the waste for
               energy recovery.
           iii) Note: The  goal of  the  waste oil  exemption  is to
               encourage recycling.  The EPA has set  up guidelines
               and  reserves  the  right to  make site by  site
               determinations to prevent "sham  recycling".
VII. SUMMARY
     A.   Provided   was  a   brief   overview  of   the  Toxicity
          Characteristics Rule.  The effective date of the  rule  is
          September  25,  1990.   A  handout  with  the  schedule
          deadlines has been provided.

     B.   For  future  questions  contact  Mary  Jo  Krolewski   or
          Stephanie Goodwin at (617)  573-5740.  Contact Region I
          TC Hotline ((617) 223-5527) for document  requests.

-------
                                  IMPLEMENTATION SCHEDULE
                                 DEADLINES  FOR THE  TC RULE
PREVIOUSLY UNREGULATED COUPAMIES
        (Large Quantity Generators  (LQGs) of TC waste)

        October 29. 1990
        *    notify EPA of hazardous waste activity to get a permanent EPA Identification Number
             (Request form from EPA Region I (617) 223-5527)


        (Small Quantity Generators  (SQGs) of TC waste)

        Noveober 2. 1990
        *    notify EPA of hazardous waste activity to get a permanent EPA Identification Number
             (Request form from EPA Region I (617) 223-5527)

        March 25, 1991
        *    begin to comply with RCRA regulations for TC hazardous wastes


        (Companies treating,  storing or disposing of TC waste)

        Septenber 25, 1990
        *    companies wishing  to avoid entering Subtitle C of  RCRA must cease managing newly regulated TC
             wastes; facilities may convert to activities that  are exempt from permitting (i.e., wastewater
             treatment in tanks)
        *    companies continuing to manage TC wastes must come into compliance with RCRA including
             applicable Part  265 standards and notify EPA by submitting Part A permit applications

        March 25, 1994
        *    surface impoundments must be in compliance with minimum technology requirements


EXISTING LARGE QUANTITY GENERATORS

        September 25, 1990
        *    begin to comply with RCRA regulations for TC hazardous wastes


EXISTING SMALL QUANTITY GENERATORS

        March 25, 1991
        *    begin to comply with RCRA regulations for TC hazardous wastes
        *    companies no longer considered to be SOGs by the addition of the TC wastes request EPA  to
             change the status  of the company to LOG


EXISTING INTERIM STATUS AMD PERMITTED FACILITIES

        Septenfaer 25. 1990
        *    interim status  facilities with newly regulated TC  wastes must submit a revised Part A  permit
             application
        *    permitted facilities request permit modification to maintain eligibility to receive TC  wastes
             (Class 1 modification)

        March 25, 1991
        *    permitted facilities request permit modifications  for minor process changes and/or new  units
             (Class 2 and/or 3  modifications)

        Septenfaer 25. 1991
        *    newly regulated land disposal units must submit Part B permit applications and certifications
             of compliance with ground water monitoring and financial assurance requirements to EPA.
             Interim status  terminates for land disposal units  which do not.

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                        Fact Sheets/References

                            Waste Management
                              Division Programs
v-5

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                    WASTE MANAGEMENT DIVISION PROGRAMS

Fact Sheets
1.    Superfund
2.    Identifying Superfund Sites
3.    Superfund Remedial Program
4.    Superfund Removal Program
5.    State and Local Involvement 1n the Superfund Program
6.    Superfund Glossary
References
1.    Enforcement Actions Under RCRA and CERCLA at Federal Facilities
2.    Administration Recors for Decisions on Selection of CERCLA Response
      Actions
3.    Section 120 of CERCLA

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                       United States              Office of Emergency          21,15, .,»,•
                       Environmental Protection       and Remedial Response        WH/FS-87-001R
                       Agency                  Washington DC 20460
&EPA          Superfund
                       Congress enacted the Comprehensive Environmental Response,
                       Compensation, and Liability Act (CERCLA), commonly known as
                       Superfund, in 1980.  This law created a  tax on the chemical
                       and petroleum industries and provided a  broad Federal authority
                       to respond directly to releases or threatened releases of '
                       hazardous substances that may endanger public health or welfare
                       or the environment.  Over 5 years, $1.6  billion were collected
                       and the tax went to a Trust Fund for cleaning up abandoned
                       or uncontrolled hazardous waste sites.   The U.S. Environmental
                       Protection Agency (EPA) is responsible for running the Superfund
                       program.  On October 17, 1986, the Superfund Amendments and
                       Reauthorization Act (SARA) was signed into law.  SARA increases
                       the Trust Fund to $8,5 billion over  5 years and strengthens
                       EPA's authority to conduct cleanup and enforcement activities.

                       Under the Superfund program, EPA can:

                          •  Pay for the cleanup of hazardous waste sites when
                             those responsible for such sites cannot be found or
                             are unwilling or unable to clean up a site.

                          •  Take legal action to force those responsible for hazardous
                             waste sites that threaten public health or the environment
                             to clean up those sites or pay back the Federal government
                             for the costs of cleanup.

                       The law authorizes two kinds of response actions:

                          •  Short-term removals where actions  may be  taken to
                             address releases or threats of releases requiring
                             prompt response.

                          •  Longer-term remedial responses that permanently and
                             significantly reduce the dangers associated with
                             releases  or threats of releases of hazardous substances
                             that are  serious but not immediately life threatening.
                             They can  be conducted only at sites on EPA's National
                             Priorities List  (NPL).

                       Remedial and removal responses include,  but are not
                       limited to:

                          •  Destroying, detoxifying or  immobilizing  the  hazardous
                             substances on  the site through incineration  or
                             other treatment  technologies.

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Containing the substances on-site so that they can
safely remain there and present no further threat.

Removing the materials from the site to an EPA-approved.
licensed hazardous waste facility for treatment,
containment, or destruction.

Identifying and restoring contaminated ground water,
halting further spread of the contaminants, or in
sore circumstances providing an alternate source of
drinking water.

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                         Unned States
                         Environmental Protection
                         Agency
                        Office of Emergency
                        and Remedial Response
                        Washington DC 20460
                         Fall 1987
                         WH/FS-87-005R
?/EPA           Identifying  Superfund   Sites
                         National  Priorities List  (NPL)

                         and Hazard Ranking  System  (MRS)

                         The National Priorities List (NPL) and  the Hazard Ranking
                         System (HRS) are Key elements in the U.S. Environmental Protection
                         Agency's  Superfund program.  The NPL is EPA's list of uncontrolled
                         or abandoned hazardous  waste sites  identified for possible
                         long-term remedial action under Superfund.  The HRS  is the
                         chief  method EPA uses to rank the potential risks posed by
                         different sites.  The 1986 law reauthorizing Superfund requires
                         EPA to revise the HRS and propose the revisions  in the Federal
                         Register.  The public may Garment on the revisions for 60
                         days after EPA proposes them.  The  revised HRS must  be operational
                         by October, 1988.

                         How Does  Superfund Work?

                         The first step.in the Superfund process  is to identify abandoned
                         or uncontrolled hazardous waste sites and take any immediate
                         action necessary under  its Removal  Program.  EPA identifies these
                         sites  through a variety of methods, including reviewing records
                         and  information provided by States, handlers of  hazardous substances
                         and concerned citizens.  Information on  sites is incorporated
                         into the Comprehensive Environmental Response, Compensation and
                         Liability Information System  (CERCLIS),  a national computerized
                         data base that  contains information on potential hazardous waste
                         sites as well as  information  on Superfund removal, remedial,  and
                         enforcement activities.  Currently, CERCLIS contains  information
                         on over 27,000  sites;  approximately 1,000 are on or proposed  for
                         the  NPL.
  Congress enacted the
  Comprehensive Environmental
  Response. Compensation, and
  Liability An ICERCLA). commonly
  known as Superfund. in 880 This
  law created a tax on the chemical
  and petroleum industries and
  provided a broad Federal authority
  to respond directly to releases or
  threatened releases ol hazardous
  substances that may endanger
  public health 01 wellete or. the
  environment Over 5 years. SI 6
  biihon were collected and the tax
  went to a Trust Fund lor cleaning up
  abandoned or uncontrolled
  hazardous waste sues The U S
  Environmental Prelection Agency
  (EPA) is responsible lor running the
  Superfund program On October 17.
886 the Superfund Amendments
and Reauthorization Act (SARA) was
signed into law SARA increases the
Trust Fund to $8 5 billion over 5
years and strengthens EPA's
authority to conduct cleanup and
         Activities
Under the Superfund program. EPA
can
• Pay for the cleanup of hazardous
waste sites when those responsible
for such sites cannot be found or
aie unwilling or unable to dean up a
Me
• Take legal action to force those
responsible foi hazardous waste
sues that threaten public health or
the environment to clean up those
sues or pay back the Federal .
government for the costs of
cleanup
The law authonzes two kinds of
response actions.
• Short-term removals where
actions may be taken to address
releases or threats ol releases
requiring prompt response
• Longer-term remedial responses
that permanently and significantly
reduce the dangers associated with
releases or threats ol releases of
hazardous substances that are
serious but not immediately hie
threatening They can be conducted
only at sites on EPA's National
Priorities List (NPLI
Remedial and removal responses
include, but ate not limited to
• Destroying detoxifying or
immobilizing the hazardous
substances on the site through
incineration or othei treatment
technologies
• Containing the substances on-sne
so that they can safely remain there
and present no further threat
• Removing the materials from the
site to an EPA-approved licensed
hazardous waste lacdity for
tieatment. containment or
destruction
• Identifying and restoring
contaminated giound water halting
further spread o« the contaminants.
or in some circumstances providing
an alternate source ol dunking
water

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     Next, EPA or  the State conducts a preliminary assessment
to decide  if the site may pose a potential hazard.  The new
Superfund  law allows citizens to petition EPA to conduct
a preliminary assessment.  EPA plans to propose regulations
describing the process of petitioning.
     If a preliminary assessment shows that the site does
not present a potential hazard, no further action may be taken.
If the preliminary assessment shows that a contamination problem
exists, EPA will perform a more extensive study called the
site inspection.   The new Superfund law set these goals:

     •  By January 1988, complete preliminary assessments at
     all sites in  CERCLIS.

     •  By January 1989, complete site inspections for all
     sites deemed  necessary.

What Is the Purpose of the NPL?

The NPL serves to  notify the public of sites that EPA decides
may represent a long-term threat to public health or the environment
and so may need remedial action.  A site must be on the NPL
to undergo remedial action financed by the Trust Fund.  Remedial
action may involve activities such as containment, treatment,
and disposal of wastes that will bring site conditions to
the point that human health and the environment are protected.
The NPL is one tool EPA uses to help set priorities for cleanup
of Superfund remedial sites.

How Do Sites Get on the NPL?

To be on the NPL,  a site must have an HRS score of 28.50
or more, the State must have chosen the site as its top priority
site, or it must meet all three of the following criteria:

     • the U.S. Department of Health and Human Services has
     issued a health advisory reoormending that people be removed
     from the site to avoid exposure

     • EPA determines that the site represents a significant
     threat

     • EPA determines that remedial action is more cost-
     effective than removal action.

     EPA  publishes a proposed rule in the Federal Register
listing sites it is proposing to add to the NPL.  Typically,
a 60day public comment period follows this publication.  During
this period, the public can review information about  the proposed
sites and  let EPA  know if it agrees or disagrees with the
HRS score  and any  other information used  to propose the site.
After considering  the relevant Garments received, EPA publishes
a final rule in the Federal Register adding all proposed sites
that still meet the conditions for listing.

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What Is the HRS?

The Hazard Ranking System is a scoring system that evaluates
the potential relative risks to human health and the environment
posed by different sites.  It does not determine if cleanup
is possible or worthwhile, or the amount of cleanup needed.
Rather, it allows EPA to compare the potential risks presented
by different sites.  The HRS is intended as a screening mechanism
for sites to determine which ones may need additional comprehensive
study.

How Does the HRS Work?

Preliminary assessments, site inspections and other information
are used to develop three HRS scores.

     •  The first score measures the possibility of harm to
     humans or the environment from hazardous substances
     leaving the site-through ground water, surface water,
     or air.  Only this score is used to place sites on
     the NPL.

     •  The second measures the possibility of harm to people
     coming in direct contact with hazardous substances.

     •  The third measures the possibility of harm from hazardous
     substances that can cause fires or explosions.

The first score is used to place sites on the NPL and is generally
called "the HRS score."  The second and third scores can be
used to identify sites that need removal actions.  The new
Superfund law requires EPA to revise the HRS by October 1988.

Why Are Sites on the NPL Presented in Groups of 50?

EPA considers sites within each group of 50 to have approximately
the same priority for cleanup.

Why Did EPA Select 28.50 As the Cutoff Score?

EPA first selected 28.50 as the cutoff HRS score because
it produced an NPL of at least 400 sites, the minimum set
by the Superfund law.  The law set no upper limit on the  size
of the NPL.  To be consistent, EPA has continued to add sites
with scores of 28.50 or above.  The cutoff was selected to
meet legal requirements and does not reflect a decision
that sites scoring below the cutoff do not present seme risk.

How Often Are Sites Added to the NPL?

The NPL must be updated at least once a year.  EPA usually
updates the NPL more frequently.

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If a Site Is on the NPL, Will EPA Pay for Response Actions?

Not necessarily.  EPA will study the nature and extent
of the problems at an NPL site before determining if it requires
remedial action.  Whenever possible, EPA attempts to have
those responsible take remedial action.  Superfund will pay
only when those responsible cannot or will not pay to clean
up.

Can EPA Begin Taking Action at Sites on the Proposed NPL?

Yes.  EPA may start the Remedial Investigation/Feasibility
Study (RI/FS), which describes the type and extent of contamination
at the site, identifies alternatives for remedial action,
and supports technical and cost analyses of the alternatives.
However, the remedy selected cannot be constructed or implemented
until the site is on the final NPL.  In addition, removals
also can be undertaken before a site is on the final NPL.

How.Does EPA Determine Funding Priorities Among NPL Sites?
           •
In large part, EPA uses the NPL to determine high-priority
sites for cleanup.  However, funding of actions will not always
take place  in the order that sites are on the NPL.  Numerous
factors such as State priorities, cost, and available cleanup
technologies influence the order for funding actions.

Will Sites  on the Final NPL Keep Their Priority for Response
Action After New Sites Are Added?

Not necessarily.  Once new sites are placed on the final
NPL, the priority for starting work on sites already on the
NPL may change.  However, EPA will continue funding the cleanup
of sites where  it or the State has already begun  to take action.

How Long Do Remedial Actions Take?

The time required.for remedial action  depends on  the
site.  Actions  can  involve many steps,  including  a Remedial
Investigation/  Feasibility Study  (RI/FS), and design and construction
or  implementation of the  remedy selected.  In a  few cases,
the only action necessary may be  to remove drums  of hazardous
substances  or empty storage tanks —actions  that  take  little
time.  In most  cases, a response  action may  involve different
and more expensive  measures —  for  example,  cleaning polluted
ground water or dredging  contaminated river  bottoms.   In these
cases,  it can take  several years  of complex  engineering analysis
and design  work before  the actual construction can begin.
The new Superfund  law establishes schedules  for completing
RI/FSs, remedial designs  and remedial constructions.

-------
                        United States
                        Environmental Protection
                        Agency
                         OMiee o< Emergency
                         and Remedial fiesoonse
                         Washington DC ?W60
                          Fan 19B7
                          WH-FS-B7-002R
                        The   Superfund
                        Remedial  Program
                         Under the Superfund Remedial Program, the U.S. Environmental
                         Protection Agency (EPA) takes long-term cleanup actions to
                         stop or substantially reduce releases or threats of  releases
                         of hazardous  substances that are serious but not immediately
                         1ife-threatening.

                         How Does EPA  Learn About Potential Remedial Sites?

                         EPA learns about sites for  potential remedial action
                         through a variety of sources, including required reporting,
                         routine inspections of facilities that  treat, store  or dispose
                         of hazardous  wastes, visible evidence,  and citizen reports.
                         Once a site is identified,  EPA or the State reviews  any available
                         documents on  the site, in what is called a preliminary assessment,
                         to determine  if further action is needed.  Sane sites do
                         not require further action  because it  is determined  they do
                         not threaten  human health or the environment.
                              If a potential problem does exist, EPA or the State
                         conducts a site inspection.  Typically, the site inspection
                         involves collecting information about  the site — for
                         example, types of soils on  site, streams or rivers on or
                         near the site, number of people in the  area, weather conditions,
                         and who owns  or operates the site. Samples of wastes, soil,
                         well water, river water* and air are collected to determine
                         what hazardous substances are on the site.  Samples  also
                         are taken nearby to determine if the substances have traveled,
                         or migrated,  away front the  site.
Congieu «na:ted me
Compiehenswc Environmental
Response Compensation, and
LiBtxlrty Act ICERCLA). commonly
known as Supertund m I960 This
tow mated * »• on me chemical
and petroleum mdustnes »nd
provided • b>Md federal •uinontr
10 respond ducAty to ideate* o>
threatened (erases of na»roo.is
substances thai mav endang*:
PUDI.C tieann 01 wetfaie o> me
environment Over 5 yean H 6
tJJ.cn were collected end me it-
went 10 a liust Fund to> coating up
a&anaoned o> uncontrolled
haieidoj* waste Sites ine I' i
Environmental Pioiecnor. Agtn:»
(EPA) IS responsible IQI lunn.ng me
         gram On OciOMr: 17
886. the Supertund Amendment!
and Reauihonzawm Act (SARA) was
signed AID law SARA increases the
Trust Fund to U S When over &
years and strengthens EPA'»
authority to conduct cleanup and
enforcement acwiues
Under the Superfund program. EPA
can
• Pay lor the cleanup of hataidous
waste sues when those responsible
loi such sues cannot be found or
•ie unwitfang oi unable 10 clean up a
sne
• lake legal a:iion 10 force mose
responsive .tot nawdoji waste
hies mat in'ieaten put>i.c neatin or
me environment to dean up mose
sues o< pay back me Federal
government for the costs a!
cleanup
The law autnorues two k«ds el
response actons'.
• Shon-term remova't wnere
actions may be taken to address
releases or miens of teJease*
reouning piompt response
• Longei-teim nmedai reioonset
that peimanemly ana stgnJicantiy
reduce the dangeis associated with
releases or ttueats of leteases of
tiaiaidous substances that aie
senous but not immediately Me
threatening Ihey can be conducted
only it sues on EPA s N*i«n»i
Pi«rnies List (NPtl
Remedial and removal responses
include but are not bmucc to
• Destroying tfetonlymp or
mmoMiiing the hazardous
substances on the s-te through
mcineiat«n or Other treatment
technologies
• Containing me substances on-*ie
so that they can saiety remain meie
and present no lunhei tmeat
• Removing the maienais I'om the
*>ie to an EPA approved k:ensed
ha;*'doui waste la^ty fo'
tieatmem containment or
destruction
• Identifying and testonn;
contamtnaied grouna »»ic' haling
lunnei spiead oi me cont*>T>'n*nts
01 m some c«Cumstanc«
an •neinaie souice o* 0'">^na
watei

-------
     Based on  information obtained fron the site inspection,
EPA uses its Hazard Ranking System (HRS) to calculate a
score for the  site that indicates if hazardous substances
have migrated  through ground water, surface water, and air
or if they have the potential to migrate.  Sites with high
enough scores  are considered for EPA's National Priorities
List (NPL).  Sites on the NPL present the most serious
problems among hazardous waste sites nationwide and are
eligible for long-term remedial actions through the Superfund
program.

What Is the State Role in the Remedial Process?

States play an important role in the remedial process.
Some States receive money from EPA for identifying and managing
sites through  a formal Cooperative Agreement.  Further, States
are always responsible for the long-term maintenance of a
site once the  remedial response is finished.  The new Superfund
law establishes a minimum level of State participation in
all phases of  CERCLA response actions fron preliminary assessment
to deletion of sites fron the NPL.  States also must be notified
of. Federal negotiations with potentially responsible parties
and remedi-al activity managed by EPA.  The National Contingency
Plan (NCP), the Federal regulation that guides the Superfund
program, is being revised to reflect these new state involvement
requirements.

What Happens During a Remedial Response Action?

A remedial response has two main phases, a Remedial Investigation/
Feasibility Study (RI/FS), and a Remedial Design/Remedial
Action (RD/RA).  During the RI/FS conditions at the site
are studied, the problem(s), if any, are defined and alternate
methods to clean up- the site are evaluated.  A typical
RI/FS takes approximately 25 months to complete.
     In the remedial design and remedial action phases, the
recommended cleanup is designed and construction undertaken.
The design phase takes approximately 9 months to complete.
The time required to complete the remedy varies according
to the complexity of the site.
     During a  remedial investigation, EPA or the State
collects and analyzes  information to determine the type and
extent of contamination at the site.  Aerial photographs
may be taken of the site and surrounding area to map  the physical
features of the land,  including rock formations and sources
of water.  A variety of techniques are used  to locate contaminated
ground water and buried drums or  tanks  that might contain
hazardous substances.
     Samples are taken froti soils, drums,  lagoons, rivers,
ground water,  and air, then analyzed by EPA-approved  laboratories
to determine  if hazardous  substances might be present and,
if so, the type and amount.   EPA or  the State  reviews and
interprets results  of  the  laboratory analysis.

-------
     Once the extent of contamination is known,  the  feasibility
study can begin.  During the feasibility study,  specific
alternate remedies are considered and evaluated  by EPA and
the public.  The options EPA may consider are:

     •  Removing hazardous substances from the site  to an
     EPAapproved, licensed hazardous waste facility  for treatment,
     containment, or destruction,

     •  Destroying or treating the waste co-site through incineration
     or other treatment technologies,

     •  Containing the waste onsite so that it can safely
     remain there and present no further problem, and

     •  Identifying and removing the source of ground-water
     contamination, and halting further spread of the
     contaminants.

     In rare circumstances, the recommended remedy may
involve relocating residents to prevent further exposure.
Design and construction activities are conducted under the
supervision of EPA and the U.S. Army Corps of Engineers, or
the State can manage all site activities on its own.

How Is the Best Cleanup Alternative Chosen?

EPA must take into account certain factors specified  in the
NCP for evaluating remedial action alternatives at hazardous
waste sites.  In addition to protecting human health  and
the environment, the remedy chosen must:

     •  Be technically  feasible, considering the  location
     and conditions at  the  site,

     •  Be cost-effective,  and

     •  Use  permanent  solutions and alternative treatment
     technologies  or  resource recovery technologies as much
     as possible.

Can  EPA Make Those Responsible  Pay?

 EPA always makes a thorough effort to identify and locate
 those  responsible for causing contamination problems at the
 site ("potentially responsible parties").  To save Superfund
monies for those cases where no responsible party can be identified,
 EPA will  take legal action to make those identified as re
 sponsible pay for the costs of cleanup actions.  Although
 EPA is willing to negotiate with private parties and encourages
 voluntary cleanup, it has the authority under the Superfund
 law to legally force those responsible to take specified cleanup
 actions.  'All work performed by responsible parties  is  closely
 guided and supervised by EPA and must  meet the same  standards
 required for actions financed  through  Superfund.

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Can Local Citizens Get Involved in Superfund Cleanups?

To ensure that the local public is involved in Superfund actions,
c?A conducts comunity relations activities.  These efforts
are designed to inform local officials and residents about
conditions and developments at Superfund sites and to make
sur*» t'oat the concerns of the community are communicated to
r?A and State officials.  EPA or the State also prepares a
community relations plan that is tailored to the needs of the
community near the site.  A community relations plan is prepared
for all remedial sites and for all removal sites where activities
last longer than 45 days.  The plan describes the activities that
will be conducted to encourage citizen input and inform the
community of progress at the site.  Community relations activities
may include holding periodic informal meetings of small groups of
interested citizens and government staff, or larger public
forums that include a presentation about activities at the
site and a question and answer period.  Information also
can be provided through technical suntnarws and the distribution
of fact sheets such as these.  In addition to the community
relations plan, EPA must conduct several other public involvement
activities for remedial actions.  The completed feasibility
study report with a preferred remedial alternative must be
available for public comment for at least 21 days.  During
the public comment period, EPA may hold a public meeting to
discuss the range of alternatives that were analyzed, and
the rationale for recommending a particular alternative.
EPA then prepares a Responsiveness Summary describing significant
ccmunity comments on the proposed remedial action and the
alternatives corisvVjru-1.  The public involvement process will
be repeated if EPA decides that a new alternative that is
significantly different frcm the original alternative is nost
appropriate for the site.

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r/EPA
                          United States
                          Environmental Protection
                          Agency
                           Office of Emergency
                           and Remedial Response
                           Washington DC 20460
                           Fall 1987
                           WH/FS-87-003R
The  Superfund
Removal   Program
                          Incidents involving hazardous substances that present
                          an imminent threat to human health  or the environment may
                          occur or  be discovered in  any community at any time.  These
                          kinds of  incidents may include, but are not  limited to:

                               •  Illegal disposal of toxic materials  or hazardous waste,

                               •  Improper  handling  or disposal of hazardous substances
                                  at landfills, industrial areas, etc.

                               •  Spills of hazardous substances when  a truck or
                                  train overturns,

                               •  Discharges of hazardous substances  into the air or
                                  water during a fire.

                               The  U.S. Environmental Protection Agency (EPA) Superfund
                          Emergency Response Program was created to respond to situations
                          such as these.
                          How Can  EPA Respond to Releases or Threatened Releases of
                          Hazardous Substances?
                          Under Superfund,  EPA may  respond  to releases or threats
                          of releases of hazardous  substances by starting a  removal
                          action.   A removal action is a short-term  action intended
 Congress enacted the
 Comprehensive Environmental
 Response. Compensation, and
 Liability Act (CERCLA). commonly
 known as Superfund. in 1980 This
 law created a tax on the chemical
 and petroleum industries and
 provided a broad Federal authority
 to respond directly to releases or
 threatened releases of hazardous
 substances thai may endanger
 public health 01 welfare qr the
 environment Over 5 years. SI 6
 billion weie collected and the tax
 went to a Trust Fund for cleaning up
 abandoned or uncontrolled
 hazardous waste sites The U S
 Environmental Protection Agency
 (EPA) is responsible for running the
 Superfund program On October 17
1986. the Superfund Amendments
and Reauthorization Act (SARA) was
signed into law SARA increases the
Trust Fund to $8 5 billion over 5
years and strengthens EPA's
authonty to conduct cleanup and
enforcement activities
Under the Superfund program. EPA
can
• Pay lor the cleanup of hazardous
waste sites when those responsible
for such sites cannot be found or
are unwilling or unable to clean up a
site
• Take legal action to force those
responsible for hazardous waste
sites thai threaten public health 01
the environment to clean up those
sites or pay back the Federal
government for the costs of
cleanup
The law authorizes two kinds of
response actions
• Short-term removals where
actions may be taken to address
releases or threats of releases
requiring prompt response
• Longer-term remedial responses
that permanently and significantly
reduce the dangers associated with
releases or threats of releases of
hazardous substances that are
serious but not immediately Me
threatening They can be conducted
only at sues on EPA's National
Priorities List (NPL)
Remedial and removal responses
include, but are not limited to
• Destroying detoxifying or
immobilizing the hazardous
substances on the site through
incineration or other treatment
technologies
• Containing the substances on-sne
so that they can safely remain there
and present no further threat
• Removing the materials from the
site to an EPA-approved. kcensed
hazardous waste facility for
treatment, containment, or
destruction
• Identifying and restoring
contaminated ground water, halting
further spread of the contaminants
or in some circumstances providing
an alternate source of drinking
water

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to stabilize or clean up an  incident or site that poses a
threat to human health or the environment.  These actions
may include:

     • Removing and disposing of hazardous substances,

     • Constructing a fence, posting warning signs, or taking
       other security measures to control access of humans
       or animals to a site,

     • Providing alternate water supplies to local residents
       where drinking water  has become contaminated,

     • Temporarily relocating area residents.

     Under Superfund, removal actions can last no longer than
12 months in duration or cost more than $2 million, although
exemptions may be granted in certain circumstances.
     Because the purpose of  removal actions is to respond
to more immediate threats and because they are short-term
actions, they generally cannot deal with long-term environmental
problems like area-wide contamination of ground water.  In
that event, the On-Scene Coordinator refers the site to EPA's
Remedial Response Program for further investigation and assessment.
     Remedial actions are longer-term actions that stop or
substantially reduce releases or threatened releases of hazardous
substances that are serious  but not immediately life-threatening.
Remedial actions can be undertaken only at sites on EPA's
National Priorities List (NPL), which identifies the most
serious uncontrolled  or abandoned hazardous waste sites.
EPA often conducts both removal and remedial actions at NPL
sites.  Removal actions may  be
required if an immediate threat is discovered during remedial
work.  Removals also must contribute to the efficient performance
of any long-term remedial action.

How Does the Removal Program Work?

The National Contingency Plan (NCP), the Federal regulation
that guides the Superfund program, outlines the roles and
responsibilities of each agency involved in responding to
releases or threatened releases of hazardous substances.
The U.S. Coast Guard has primary responsibility for response
to releases in or upon the coastal and other navigable waters
of the United States, and EPA has primary responsibility
for inland response.
     The first step in EPA's removal program is the discovery
of a release or threatened release of hazardous substances
that presents a threat to public health or the environment.
EPA may be notified through  the National Response Center (NRC)
at the 24-hour telephone number 1-800-424-8802, which is operated
by the U.S. Coast Guard, or  be contacted directly by States,
cotmunities, industries or individuals.

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     The NRC notifies the appropriate government agencies
and officials when a release is reported.  EPA's On-Scene
Coordinator evaluates the situation, and based upon this evaluation,
may use Superfund money to clean up the incident if those
responsible for the incident cannot or will not conduct the
cleanup, or if State or local officials are unable to respond.
Other government agencies may be called upon for assistance
when necessary, depending upon the nature and extent of the
release.

Who Pays For Removal Actions?

Sane removals are paid for or conducted by those responsible
for creating the emergency.  In addition to past and present
owners or operators, those responsible may include generators,
transporters, storers, or disposers of hazardous substances.
The rest may be paid for and conducted by State or county
response teams with their own funds, or by EPA, using Superfund
money.  When Superfund money is used, EPA may take action
to force those responsible to reimburse the Federal government
for the costs of the cleanup.

How .Can You Obtain Information On Removal Actions?

     Superfund makes every effort to ensure open, two-way
coranunication with the public.  In removal program activities,
EPA appoints a spokesperson to provide information concerning
the release, inform the community of actions taken, and respond
to inquiries.  In addition, nearby residents and State and
local officials will be notified of removal activity as close
to the start of the activity as possible.  If on-site activities
last longer than 45 days, EPA will interview affected parties
to determine their concerns and information needs.  Fran these
interviews, EPA will prepare a formal plan for conducting
conmunity outreach activities.

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                             United States
                             Environmental Protection
                             Agency
                          Office of Solid Waste
                          and Emergency Response
Publication No.
9375.5-01/FS
Fall 1989
   O  EPA     State  and  Local
                            Involvement  In The
                            Superfund  Program
 Office of Emergency and Remedial Response
 Hazardous Site Control Division  (OS-220)
                                                 Quick Reference Fact Sheet
INTRODUCTION


When Congress first enacted the Comprehensive Environmental Response. Compensation, and Liability Act (CERCLA) in 1980. it
required States lo be active partners inconducting Superfund response actions. Under CERCLA, Stales with the technical and management
capability to carry out a response action may be authorized to lead cleanup efforts at a site. Local communities and certain local government
agencies (such as (ire departments and public health agencies) also participate in Superfund cleanup operations.

In 1986. Congress amended CERCLA and passed the Superfund Amendments and Reauihorizaiion Act of 1986 (SARA). CERCLA. as
amended, strengthens the partnership between the Federal Government and State and local authorities.

Stale and local governments play an important role in ensuring effective, efficient and well •coordinated cleanups. Often local authorities
are the first rcsponders at the scene of a hazardous substance release, providing critical Tire protection, security. and health-related services.
HOW STATES AND
 ,OCAL GOVERNMENTS
BECOME INVOLVED
The law authorizes the Federal Government to lake response actions at a site (Federal-lead), or to
transfer the necessary funds and management responsibility to a Stale (State-lead), to political
subdivisions of States or to federally recognized Indian Tribes. Regardless of who has the lead,
the National Oil and Hazardous Substances Pollution Contingency Plan (NCP) (40CFR Pan 300)
is the master plan for Superfund response. Together. CERCLA, as amended, and the NCP. ensure
States' involvement in response by requiring EPA to work with States during: I) negotiations with
potentially responsible parties (PRPs). 2) the National Priorities List (NPL) listing and deleting
process. 3) study of the site to determine cleanup options, and 4) selection and implementation of
the remedy.

CERCLA. as amended, prohibits EPA from providing for a remedial action unless the Staie makes
the following assurances or guarantees:

•   Pay pan of the cleanup. A  Stale is required to pay 10 percent of the cost of actual cleanup
    only if the site was privately operated ai the lime of the hazardous substance release.  A Suic
    is required  to pay SO percent or more of the total response costs incurred by Superfund i f the
    State or locality operated the site at the time hazardous wastes were disposed there.   For
    example, if an old municipal landfill is found leaking hazardous chemicals, the State would
    be  required lo provide at least half the cost of an entire Superfund response. Political
    subdivisions may provide ihecosi share, but the State must assure payment in case of default.

•    Ensure the availabilityof a facihty(s) for disposal of hazardous materials removed from a sac
    during cleanup. Disposal facilities must comply with all Federal and State requirements, and
    must not threaten the quality of human health and the environment.

•    Ensure that the State's disposal capacity can adequately handlcalt wastcsgcncratcd * nhm the
    State over 20 years (effective starting in 1989).

•    Operate and maintain the selected remedy once the cleanup is completed and is proven to be
    operational and functional. The State assumes full responsibility for future operation and
    maintenance.  Although a political subdivision  may manage the actual oncrauon and
    maintenance of the selected remedy, trie State maintains ultimate responsibility.
                                                                                         Pnnud on tocycfetf Paper

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 OVERVIEW OF CERCLA

 Congress enacted the Comprehensive Envi-
 ronmental  Response. Compensation and
 Liability Act (CERCLA),commonly known
 as Supcrfund, in 1980. This law created a
 lax on the  chemical and petroleum indus-
 tries and provided broad Federal authority
 to respond directly to releases or threatened
 releases of hazardous substances that may
 endanger public health or welfare or the
 environment Over five years, SI.6 billion
 were collected, anc* the tax went to a Trust
 Fund for cleaning up abandoned or uncon-
 trolled hazardous waste sites. The U.S. En-
 vironmental Protection Agency (EPA) is re-
 sponsible for running the Superfund  pro-
 gram.

 On October 17,1986, the Superfund Amend-
 ments and Reauihori ration Act (SARA) was
 signed into law. SARA increases the Trust
 Fund to $8.5 billion over five years, and
 strengthens  EPA's  authority to conduct
 cleanup and enforcement activities.

 Under the Superfund program, EPA can:
•   Pay for the cleanup of hazardous waste
    sites when those responsible for such
    sites cannot be found or are unwilling
    or unable to clean up a site.

•   Take legal action to force those respon-
    sible for hazardous waste  sites that
    threaten public health or the environ-
    ment to clean up those sites or pay back
    (he Federal Government for the costsof
    cleanup.

The law authorizes two kinds of response
actions:

•   Short-term removals where artions may
  .  be taken to address releases or threat-
    ened releases requiring prompt re-
    sponse,

•   Longer-term rtmedial responses that
    permanently and significantly  reduce
    the dangers associated with releases or
    threats of releases of hazardous sub-
    stances that are serious but not immedi-
    ately life threatening. They can be
    conducted only ai sites on EPA's Na-
    tional Priorities List (NPL).

Remedial and removal responses include,
but are not limited to:

•   Destroying, detoxifying or immobi-
    lizing the hazardous substances on
    the site through incineration or other
    treatment technologies.

•   Containing the substances on-siie so
    that they can safely remain there and
    present no further threat.

•   Removing the materials from the site
    to an EPA-approved, licensed  haz-
    ardous  waste facility for treatment.
    containment, or destruction.

•   Identifying  and  restoring contami-
    nated ground water, halting further
    spread of thecomaminanLs.orin some
    circumstances providing an alternate
    source of drinking water.
                              OVERVIEW OF SUPERFUND  PROCESS
                                     ; ~,  REMOVAL ACTIONS

                       MAY OCCUR PRIOR TO OR DURING THE REMEDIAL PROCESS
                         PUBLIC PARTICIPATION AND ENFORCEMENT ACTIVITIES

                         , J    OCCUR DURING ALL REMEDIAL PHASES  ">-,    ',
                                                                                                 I
                                                                                                 r

 >tatc and local involvement in the Superfund program varies depending upon the type of response action. During a removal action, which
 s an action taken over the short term to address a release or threatened release of hazardous substances, often local authorities arc the first
 cspondcrs at the incident For example, a city fire or police department can respond immediately to hazardous substance releases or may
serve in a support role to a State or Federal authority conducting removal cleanup activities.

 ?urinc a remedial action, which is an action intended to slop permanently or substantially reduce over the long term a release or threatened
 clcasc of hazardous substances, there are many ways for State and local governments to participate. States may conduct the Preliminary
Assessment and Site Inspection IPA/SH. the Remedial Investigation and Feasibility Studv (Kl/FS^ or the Remedial Design and Remedial
Action (RTJ/RAV Slates and local governments also may help identify potentially responsible panics and inform local communities about
 cleanup. Whether a site requires a remedial or removal response, the role of State and local agencies is critical in protecting public health
and the environment

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 MECHANISMS TO
 ENSURE STATE AND
 LOCAL INVOLVEMENT
          CODE OP
          FEDERAL
       REGULATIONS

       40 CFR Part 35
          Subpart 0
 Superfund provides the following mechanisms for Slate and local involvement:

 •   Cooperative Agreements transfer funds from EPA in States  political subdivisions thereof
     and/or Indian Tribal governments to undertake the lead for sie-specific response, or to
     defray their costs associated with participation in Federal -lead or political subdivision-lead
     responses or other CERCLA implementation activities.  It is also the legally binding
     document to get assurances when the State does a remedial action.  If a State receives
     funds through a Cooperative Agreement, the State is not prohibited from entering into
     intergovernmental agreements with political subdivisions for Superfund response.

 •   Sunerfund Slate Contragjs are joint, legally binding agreements between EPA and a State or
     Indian Tribe. Superfund State Contracts provide a vehicle for assuring the transfer of State
     cost-sharing funds when EPA is leading a response action, for documenting that States meet
     all  required assurances  under CERCLA, us amended, and for documenting CERCLA
     Section 121(0 involvement during a political subdivision-lead response.

 Procedures for using Cooperative Agreements and Superfund Slate Contracts for Superfund
 responses can be found at 40 CFR Pan 35 Subpart 0.
THE ROLE OF
POLITICAL
SUBDIVISIONS
 A political subdivision may be directly involved in a Superfund remedial cleanup.  States,
 however, are required to be active partners. What legally constitutes a political subdivision differs
 from State to State. It is the responsibility of each State to determine what unitof govemmentmeets
 its legislative definition of a political subdivision (for example, a region, county, or town).

 If a political subdivision leads the Superfund response, there are two options available to ensure
 appropriate Slate involvement and to provide the required assurances. In the first option, EPA
 enters into a Cooperative Agreement directly with the political subdivision. In this scenario. EPA
 must also enter into a three-party Superfund State Contract, which specifies how EPA, the State,
 and political subdivision will comply with CERCLA Sections 104 and 121 and the NCP.  In the
 second option, EPA enters into a Cooperative Agreement directly with the State. The State, in turn,
 "passes through" the funds to a political subdivision and enters into a two-party Intergovernmental
 Agreement with the political subdivision prior to either the State or political subdivision incurring
 costs for field activities.  This second option is similar to a State hiring a contractor to conduct
 response activities.
THE ROLE OF
INDIAN TRIBES
Under the law, EPA is required to treat Indian Tribal governments substantially the same as
States. This means that if a Tribe is federally recognized, it may lead a response or may provide
suppon when EPA leads the activities. To be considered substantially equivalent to States, an
Indian Tribe must have jurisdiction over a site listed in CERCLIS (EPA's data base of information
on hazardous waste sites). Federally recognized Indian Tribes may not have to provide CERCLA
Section 104 assurances inall cases. Currently,EPA provides for off-site disposal,and the decision
of who will oversee the operation and maintenance of the remedy is made on a case-by-case basis.
THE ROLE OF
LOCAL GOVERNMENTS
                      S//
Local governments also play an important role during a Superfund cleanup. Although most local
governments do not have the resources to conduct entire cleanups at hazardous waste sites,
localities often provide important public safety measures during emergencies, and may receive
some financial assistance under the Local Government Reimbursement (LGR) program (Section
123 of CERCLA. as amended).

The LGR program is intended to alleviate significant financial burden on local government as a
result of conducting temporary emergency measures in response to a hazardous substance threat,
and offers assistance of up to 525,000 per response directly to local governments. Requirements
for pursuing reimbursement under CERCLA Section 123 are found in EPA's Interim Final Rule

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                                  on Reimbursement to Local Governments for Emergency Response to Hazardous Substances
                                  Releases (40 CFR Pan 310). In addition, EPA has prepared a fact sheet and application package
                                  that can be obtained by contacting EPA's RCRA/Superfund Hotline.

                                  Local communities are important sources of information. Localities may be the first to identify
                                  a hazardous waste site by bringing it to the attention of State or Federal authorities.  Communities
                                  can provide valuable details about a Superfund site, including information on the location of sites
                                  (site discovery), detail on site history (site investigation),  and/or information on potentially
                                  responsible parties.

                                  States often will coordinate with local officials to identify community concerns regarding a site
                                  cleanup. Throughout all cleanup actions, local officials are kept informed of plans and progress
                                  through telephone contacts or visits by EPA and Slate staff. Communities may also be asked to
                                  review and comment on important reports, studies, and proposed actions.

                                  Whether a Federal-lead or State-lead managed response, to guarantee that local citizens are
                                  involved in decisions about cleanup actions in their communities, both EPA and the State conduct
                                  formal and informal community relations activities.  Each  NFL site designated for remedial
                                  response under Superfund must have an approved Community Relations Plan (CRP) in place
                                  before field activities can begin.
          FUTURE
       DIRECTIONS
As die Superfund program continues to address the hazardous wa- te issue nationwide. State and
local governments will assume an increasingly active role in confronting issues at Superfund sites.
Some States have already developed their own State-wide cleanup program to address sites not
included on EPA's National Priorities List

In an effort to support State and local involvement in Superfund responses, EPA has taken several
steps:

• Developed a new Subpan to the NCP, the roadmap to conducting responses under CERCLA.
  This Subpan outlines the requirements for State, local and Indian Tribal involvement in all
  phases of response.

• Published an administrative rule to complement the general procedures described in the NCP.
  This rule, Cooperative Agreements and Superfund State Contracts for Superfund Response
  Actions, can be found at 40 CFR Pan 35 Subpan 0.

• Developed a series of Directives, designated by the 9375.S code, which is guidance relating to
  State, political subdivision, and federally recognized Indian Tribal involvement in the Super-
  fund program.

The Agency also is encouraging States and local governments to participate in EPA-sponsorcd
training programs.
FOR MORE
INFORMATION
For more information on State and local involvement in the Superfund program, contact the
RCRA/Superfund Hotline at 202-382-3000 or 1-800-424-9346.  For a list of directives and
publications or information on obtaining copies, contact the Superfund Docket &. Information
Center (SDIC) at 202-382-6940.

For more information on training opportunities for State and local governments and Indian Tribes,
contact the Superfund Training Coordinator in EPA's Office of Solid Waste and Emergency
Response at 202-382-4364.

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                                Office of Emergency
                                and Remedial Response
                                Washington DC 20460
Unned States          Office of Emergency       WH/FS4&007
Environmental Protection     and Remedial Response     Wmierl966
Agency
4>EPA       Superfund Glossary
                This glossary defines terms often used by the U.S.
                Environmental Protection Agency (EPA) staff when
                describing activities under the Comprehensive
                Environmental Response, Compensation, and
                Liability Act (CERCLA, commonly called
                SuperfUnd), as amended in 1986. The definitions
                apply specifically to the Superfund program and
                may have other meanings when used in  different
                circumstances. Italicized words included  in various
                definitions are defined separately in the glossary.

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  Administrative Order on Consent
  (AO): A legal and enforceable
  agreement signed between EPA and
  potentially responsible panes
  (PRPs) whereby PRP* agree to
  perform or pay the cost of site
  cleanup. The agreement describes
  actions to be taken at a site and may
  be subject to a public comment
  period. Unlike a consent decree, an
  administrative order on consent
  does not have to be approved by a
  judge.

  Air Stripping: A treatment system
  that removes, or "strips*. uolaflle
  organic compounds from
  contaminated ground water or
  surface water by forcing an
  alrstream through the water and
  causing  the compounds to
  evaporate.
  Aquifer  An underground rock
  formation composed of materials
  such as sand. soli, or gravel that can
  siore and supply ground water to
  wells and springs. Most aquifers
  used in the United States are within
  a thousand feet of the earth's
  surface.

  Carcinogen:  A substance that
  causes cancer.
  Carbon Adsorption:
 A treatment system where
 contaminants are removed from
 ground water or surface wafer
 when the water Is forced through
 tanks containing activated carbon, a
 specially  treated material that
 attracts the contaminants.
 Cleanup:  Actions taken to deal
 with a release or threatened release
 of hazardous substances that could
 affect public health and/or the
 environment. The term "cleanup* is
 often used broadly to describe
 various response actions or phases
 of remedial responses such as the
 remedial Inuestlgatlon^easwUlty
 study.

 Comment Period:  A time period
 during which the public can review
 and comment on various documents
 and EPA actions. For example, a
 comment period Is provided when
 EPA proposes to add sites to the
 Notional Priorities List. Also, a
 minimum 3-week comment period is
 held to allow community members to
 review and comment on a draft
/eoslbif fty study.
 Community Relations (CR): EPA's
 program to inform and involve the
 public In the Superfund process and
 respond to community concerns.
 Comprehensive Environmental
 Response. Compensation, and
 Liability Act (CERCLA):  A Federal
 law passed In 1980 and modified In
 1986 by the Superfund Amendments
 and Reauthorizatlon Act. The Acts
 created a special tax that goes into a
 Trust Fund, commonly known as
 Superfund, to Investigate and clean
 up abandoned or uncontrolled
 hazardous waste sites. Under the
 program. EPA can either:
 • Pay for site cleanup when parties
 responsible for the contamination
 cannot be located or are unwilling or
 unable to perform the work.
 • Take legal action to force parties
 responsible for site contamination to
 dean up the site or pay back the
 Federal government for the cost of
 the cleanup.
 Consent Decree (CD):  A legal
 document, approved and issued by a
judge, that formalizes  an agreement
 reached between EPA and
potentially responsible parties
 (PRPs) where PRPs will perform sB
 or part of a Superfund site cleanup.
The consent decree describes actions
 that PRPs are required to perform
 and Is subject to a public comment
period.
 Contract Lab
 Program:  Laboratories under
contract to EPA which analyze soil.
water, and waste samples taken
 from areas at or  near Superfund
sites.
Cost-Effective Alternative:  The
cleanup alternative selected for a
site on the National Priorities List
based on technical feasibility.
permanence, reliability, and cost.
The selected alternative does not
require EPA to choose the least
expensive alternative. It requires
that if there are several cleanup
alternatives available that deal
effectively with the problems at a
site. EPA must choose the remedy
on the basis of permanence.
reliability, and cost.
Cost Recovery:  A legal process
where potentially responsible
parties can be required to pay back
the Federal government for money It
spends on any cleanup actions.
Eodangermeot Assessment-  A
study conducted as a supplement to
• remedial (nuesagaflon to
determine the nature and extent of
contamination at a Superfund site
and the risks posed to public health
and/or the environment. EPA or
State agencies conduct the study
when legal action Is pending to
require potentially responsible
parties to perform or pay for the site
cleanup.

Enforcement EPA's efforts.
through legal action If necessary, to
force potentially responsible parties
to perform or pay for a Superfund
site cleanup.
Enforcement Decision Document
(BOD):  A public document that
explains EPA's selection of a
cleanup alternative at a Superfund
site through an EPA en/orcemertt
action. Similar to a Record of
Decision.
Environmental Response Team
(BRT):  EPA hazardous waste
experts who provide 24-hour
technical assistance to EPA Regional
Offices and States during all types of
emergencies Involving releases at
hazardous waste sites and spills of
hazardous substances.
Feasibility Study (PS): See
Remedial /nuesBgaaon/FeastbUUy
Study.
Ground Water  Water found
beneath the earth's surface that fills
pores between materials such as
sand. soil, or gravel. In aquifers.
ground water occurs in sufficient
quantities that It can be used for
drinking water, irrigation and other
purposes.
Hazard Ranking System (HRS):
A scoring system used to evaluate
potential relative risks to public
health  and the environment from
releases or threatened releases of
hazardous substances. EPA and
States  use the HRS to calculate a
site score, from 0 to 100. based on
the actual or potential release of
hazardous substances/rom a site
through air. surface water, or
ground water to affect people. This
score Is the primary factor used to
decide  If a hazardous waste site
should be placed on the National
Priorities List.

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   Hazardous Substance:  Any
   material that poses a threat to
   public health and/or the
   environment. Typical hazardous
   substances are materials that are
   toxic, corrosive. Ignltable. explosive.
   or chemically reactive.

   Hydrology:  The science dealing
  with the properties, movement, and
  effects of water on the earth's
  surface. In the soil and rocks below.
  and In the atmosphere.

  Incineration: Burning of certain
  types of solid, liquid, or gaseous
  materials under controlled
  conditions to destroy hazardous
   waste.

  Information Repository: A fife
  containing current Information.
  technical reports, and reference
  documents regarding a Super/und
  alte. The information repository is
  usually located in a public building
  that is convenient for local
  residents—such as a public school.
  city hall, or library.
  Leachate:  A contaminated liquid
  resulting when water percolates, or
  trickles, through waste materials
  and collects components of those
  wastes. Leaching may occur at
 landfills and may result In
  hazardous substances entering soil.
 surface water, or ground water.
 Monitoring Wells:  Special wells
 drilled at specific locations on or off
 a hazardous waste site where
 ground water can be sampled at
 •elected depths and studied to
 determine such things as the
 direction in which ground water
 flows and the types and amounts of
 contaminants present.
 National OO and Hazardous
 Substances Contingency Plan
 (NCP):  The Federal regulation that
 guides the Super/und program.
 National Priorities List
 (NPL):  EPA's list of the most
 serious uncontrolled or abandoned
 hazardous waste sites Identified for
 possible  long-term remedial
 response using money Iron the
 Trust Fund. The list Is based
primarily on the score a site receives
on the Hazard Ranking System
(MRS). EPA is required to update the
NPL at least once a year.
  National Response Center
  (NRC):  The center operated by the
  U.S. Coast Guard that receives and
  evaluates reports of oil and
  hazardous substance releases Into
  the environment and notifies the
  appropriate agencyts). The NRC can
  be contacted 24-hours a day. toD-free
  •t (600) 4244802.

  National Response Team
  (NRT):  Representatives of 12
  Federal agencies that coordinate
  Federal responses to nationally
  significant pollution incidents and
  provide advice and technical
  assistance to the responding
  •gencyts).

  On-Scene Coordinator:  The
  Federal official who coordinates and
 directs Superfund removal actions.
 Operable Unit:  An action taken as
 one pan of an overall site cleanup.
 For example, a carbon adsorption
 system could be Installed to halt
 rapidly spreading ground-water
 contaminants while a more
 comprehensive and long-term
 remedial investigation/feasibility
 study Is underway. A number of
 operable units can be used In the
 course of a site cleanup.
 Operation and M»<"*»»»«flpf
 (OftM):  Activities conducted at a
 alte after a response action occurs.
 to ensure that the cleanup or
 containment system is functioning
 properly.
 Parts Per BUlioa (ppbl/Parta Per
 Million (ppm):  Units commonly
 used to express low concentrations
 of contaminants. For example. 1
 ounce of trichloroethylene (TCE) In 1
 million ounces of water Is 1 ppm: 1
 ounce of TCE in 1 billion ounces of
 water Is 1 ppb.  If one drop of TCE is
 • • jced In a competition-sue
 t  ' mming pool, the water win
        about 1 ppb of TCE.
Potentially Responsible Party
(PRP):  Any individualist or
companyts) (such as owners.
operators, transporters, or
generators) potentially responsible
for. or contributing to. the
contamination problems at a
Super/und site. Whenever possible.
EPA requires PRPs. through
administrative and legal actions, to
clean up hazardous waste sites they
have contaminated.
 Preliminary Assessment (PA):  The
 process of collecting and reviewing
 available information about a known
 or suspected hazardous waste site or
 release. EPA or States use this
 information to determine If the site
 requires further study. If further
 study Is needed, a site Inspection Is
 undertaken.

 Quality Assurance/Quality Control
 (0A/QC): A system of procedures.
 checks, audits, and corrective
 actions used to ensure that Held
 work and laboratory analysis during
 the Investigation and cleanup of
 Super/und sites meet established
 standards.

 Record of Decision (ROD):
 A public document that explains
 which cleanup alternative^) will  be
 used at Notional Prfortttec List sites
 where the Trust Fund pays for the
 cleanup. The Record of Decision la
 based on information and technical
 analysis generated during the
 remedial tnuestlgatton/feastbUlty
 study and consideration of public
 comments and community
 Regional Response Team
 (RRT):  Representatives of Federal.
 State, and local agencies who may
 assist in coordination of activities at
 the request of the On-Scene
 Coordinator or Remedial Project
 Manager before and during
 response actions.
 Remedial Action (RA): Hie actual
 construction or Implementation
 phase that follows the remedial
 design of the selected cleanup
 alternative at a site on the Notional
 Priorities List.
 Remedial Design (RD):  An
 engineering phase that follows the
 Record of Decision when technical
 drawings and specifications are
 developed for the subsequent
 remedial action at a site on the
 National Priorities List.
 Remedial Investigation/Feasibility
 Study:  Two distinct but related
 studies. They are usually performed
 at the same time, and together
 referred to as the •Rl/FS/They are
 intended to:
•  Gather the data necessary to
 determine the type and extent of
contamination at a Super/und site:
•  Establish criteria for cleaning up
the site:

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  • Identify and screen cleanup
  alternatives for remedial action; and

  • Analyze In detail the technology
  and costs of the alternatives.
  Remedial Project Manager
  (RPM):  The EPA or State official
  responsible for overseeing remedial
  response activities.
  Remedial Response: A long-term
  action that stops or substantially
  reduces a release or threatened
  release of hazardous substances
  that Is serious, but does not pose an
  immediate threat to public health
  •nd/or the environment

  Removal Action:  An Immediate
  action taken over the short-term to
  address a release or threatened
  release of hazardous substances.
  Resource Conservation and
  Recovery Act (RCRA): A Federal
  law that established a regulatory
  system to track hazardous
 substances from the time of
 generation to «n«j*^al The law
 requires safe and secure procedures
 to be used in treating, transporting.
 storing, and disposing of hazardous
 substances. RCRA is designed to
 prevent new. tincont
 hazardous waste sites.
 Response Action:
 A CERCLA-authorlzed action at  a
 Superfund site Involving either a
 short-term removal action or a
 long-term remedial response that
 may include, but is not limited to.
 the following activities:
 • Removing hazardous materials
 from a site to an EPAapproved.
 licensed hazardous waste facility for
 treatment, containment, or
 destruction.
 • Containing the waste safely
 on-slte to eliminate further
 problems.

 • Destroying or treating the waste
 on-slte using Incineration or other
 technologies.
• Identifying and removing the
source of ground-water
contamination and halting further
movement of the  contaminants.
 Responsiveness Summary:  A
 summary of oral and/or written
 public comments received by EPA
 during a comment pertod on key
 EPA documents, and EPAs
 responses to those comments. The
 responsive- ness summary Is
 especially valuable during the
 Record p/Decision  phase at a site
 on the National Priorities List when
 it highlights community concerns
 for EPA decision-makers.
 Risk Assessment:  An evaluation
 performed as part of the remedial
 Investigation to assess conditions at
 • Superfund site and determine the
 risk posed to public health and/or
 the environment
 Site
(81):  A technical
 phase that follows a preliminary
 assessment designed to collect more
 extensive Information on a
 hazardous waste site. The
 information is used to score the site
 with the Hazard Ranking System to
 determine whether response action
 is needed.

 Saperfand: The common name
 used for the Comprehensive
 Environmental Response.
 Compensation, and Liability Act.
 also referred to as the Trust Fund.

 Superfund Amendments and
 Reauthorutation Act
 (SARA):  Modifications to CERCLA
 enacted on October 17.1986.

 Surface Water. Bodies of water
 that are above ground, such as
 rtvers. lakes, and streams.

 Treatment Storage, and Disposal
 Facility (TSD Facility):  Any
 building, structure, or Installation
 where a hazardous substance has
 been treated, stored, or disposed.
 TSD facilities are regulated by EPA
 and States under the Resource
 Conservation and Recovery Act.

 Trust Fund:  A Fund set up under
 the Comprehenstue Environmental
Response. Compensation, and
Liability Act to help pay for leanup
of hazardous waste sites and to take
legal action to force those
 responsible for the sites to clean
 them up.

Volatile Organic Compound:
An organic (carbon-containing)
compound that evaporates
(volatilizes) readily at room
temperature.
                    Water Purveyor:  A public utility.
                    mutual water company, county
                    water district, or municipality that
                    delivers drinking water to
                     customers.
 Superfund Acronyms

 AO—Administrative Order on
 Consent

 CD—Consent Decree

 CERCLA—Comprehensive
 Environmental Response.
 Compensation, and Liability Act of
 1980

 CR—Community Relations
 BDD — Enforcement Dedalon
 Document
 ERT—Environmental Response
 Team

 PS—Feasibility Study
 HRS—Hazard Ranking System
 NCP — National OH and Hazardous
 Substances Contingency Plan
 MPL—National Priorities List
 NRC—National Response Center
 NRT—National Response Team
 OSC — On-Seene Coordinator
 OftM—Operation and Maintenance
 ppm/ppb _ parts per minion/parts
 per billion
 PRP — Potentially Responsible Party
 PA — Preliminary Assessment
 QA/QC — Quality Assurance/Quality
 Control
 ROD—Record of Decision
 RRT — Regional Response Team
 RA—Remedial Action
 RD—Remedial Design
 RI—Remedial Investigation
 RPM — Remedial Project Manager
 RCRA—Resource Conservation and
 Recovery Act of 1976
 SI—Site Inspection
 SARA — Superfund Amendments
 and Reauthorizatlon Act of 1986
 TSD — Treatment. Storage, and
 Disposal Facility
VOC — Volatile Organic Compound

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           UN|TEO STATES ENVIRONMENTAL PROTECTION AGENCY

                       WASHINGTON. O.C. 20*«0
                                               SOV.iOWA!Tt
 JAN 25 1988
MEMORANDUM

SUBJECT: Enforcement Actions Under RCRA and CERCLA at
           Federal Facil>jtifts
              / ^	  /££*£*
FROM:    J. Winston Porter, Assistant Administrator
         Office of Solid Waste and Emergency Response

TO:      Regional Administrators
         Regions I-x


BACKGROUND

     Statutory language makes it clear that Federal facilities
must comply both procedurally and substantively with RCRA and
CERCLA  in the same manner as any non-Federal entity.  The purpose
of this memo is to lay out the statutory authorities under RCRA
and CERCLA that EPA may use at Federal facilities to achieve
compliance and expeditious cleanup.

     Over the past year, a great deal of effort has been spent
identifying those enforcement tools that are available to EPA in
the hazardous waste programs to achieve a higher level of
compliance at Federal facilities.  Specifically, the successful
negotiation of individual agreements such as the corrective
action  order with the Department of Energy  (DOE) at the-'Idaho
National Engineering Lab and the Interagency agreement with the
Department of Army  (DOA) at the Twin Cities Army Ammunition Plant
demonstrated significant progress  in efforts to achieve
compliance and cleanup at Federal  facilities.  Further
clarification of EPA's enforcement capabilities at  Federal
facilities has come  from the Department of  Justice  in
Congressional testimony.

     To continue the above progress  in  resolving compliance and
cleanup issues at Federal  facilities, I am  outlining the
enforcement and permitting response  actions that EPA can
currently  implement  to  formalize compliance and cleanup actions

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at Federal facilities.  A description of the available
enforcement and permitting response actions is given for each of
the following scenarios.

     1) A Federal facility with RCRA compliance issues.

     2) A Federal facility with RCRA corrective action issues.

     3) A Federal facility with CERCLA issues.

     4) A Federal facility with RCRA and CERCLA issues.


I.  A FEDERAL FACILITY WITH RCRA COMPLIANCE ISSUES

     At a Congressional hearing on April 28, 1987 before the
House Oversight and Investigation Sub-Committee, of the  Committee
on Energy and commerce, the U.S. Department of Justice testified
that EPA may not issue Administrative Orders at Federal
facilities under Section 3008(a) of RCRA to address compliance
violations of regulatory requirements.  (See Attachment  1 for a
copy of DOJ's Congressional testimony).   When addressing RCRA
compliance violations, EPA will issue the Federal facility a
Notice of Noncompiiance (WON).  EPA win then negotiate  a Federal
Facility Compliance Agreement (FFCA) to resolve the compliance
issues outlined in the NON.  Detailed below is a description of
the components of a NON and a FFCA.


A.  Federal Facility Notice of Noncompliance

     EPA will issue a Notice of Noncompliance (NON) as the
initial enforcement action at a Federal facility with RCRA
compliance violations.  The notice should be sent to the
responsible Federal official at the facility, or their delegate.
The issuance of a NON at a Federal facility is parallel to the
issuance of a RCRA Section 3008(a) administrative complaint to a
private facility and, therefore, must conform with a RCRA Section
3008(a) complaint in content and format.  As outlined in the
model language (Attachment 2), the NON should contain the
following components:

     1}   A general reference to the Resource Conservation
          and Recovery Act as amended.

     2)   The factual basis for the issuance of the NON
          (e.g., acts, omissions and conditions identified during
          an inspection).

     3)   A reference to the waiver of sovereign  immunity under
          Section 6001 of RCRA.

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      4)   A reference to the citizen suit provisions of Section
           7002 of RCRA.

      5)   A reference to administrative, civil,  and/or criminal
           sanctions under Section 3008 of RCRA that may be
           applied to an  individual who is in charge of hazardous
           waste management activities at a facility.

      6)   A detailed allegation of all RCRA violations with
           citations to authorized state or EPA regulations.

      7)   A detailed compliance schedule (both actions and
           timeframes)  for the correction of violations.

      8)   The  alternatives to the actions provided  for in the NON
           (e.g.,  Presidential exemption or specific  legislative
           relief  from Congress).

      9)   A specific date or timeframe by which the Federal
           facility  must  provide a written response to  EPA
           regarding their plans for addressing the violations
           outlined  in the document and/or a specific date for a
           conference.

      It is essential that the NON specify the  violations, remedy,
and timeframes  for  implementing the remedy in  the same manner
that  a  strong administrative or civil  complaint would  be drafted.


B.  Federal  Facility Compliance Agreement

      After the  NON  has been  issued,  the final  negotiated document
resolving  compliance violations between the  Federal facility and
EPA will continue to be called a  Federal  Facility Compliance
Agreement  (FFCA).   A very important section  in any new FFCA is
the enforceability  clause.   Model enforceability language is
attached (Attachment 3) for  your  inclusion in  any new  FFCA.
Where appropriate,  and when  you can obtain expeditious agreement
from  the affected Federal  facility,  you should add the
enforeatoility clause to existing  Federal  Facility Compliance
Agreements.as well.  This  language  reflects  EPA's view that a
"requirement" in Section  7002  includes  statutory and regulatory
requirements and other items which  are  mandated by these
requirements (e.g.,  schedules  of  compliance, various plans,
recordxeeping and reporting) and  that this final negotiated
document is enforceable under  Section  7002.  This language also
recognizes that under RCRA Section  6001,  Federal agencies are
required to comply with the  agreement,  subject to available
appropriations.

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      All FFCAs should contain the model dispute resolution
 clause found at Attachment 4.   This dispute resolution language
 emphasizes resolution of disputes at a lover level,   in cases
 where disputes are escalated to higher levels,  the  EPA
 Administrator is the final decision maker.

     ISSUance'Qf RCRA Section 3008 fa)  Order  to a ftovernm«»nr-ntJnpf1
      Contractor Operated Facilitv fROrm
C.
      When addressing  RCRA compliance  issues  at a Federal
 facility, EPA also  has  the option  of  issuing an enforcement
 action  against the  non-Federal  operator of a facility.  In many
 cases,  contractors  have the operational responsibility for waste
 generation and management operations  at a Federal facility.

      At the aforementioned Congressional hearing on this topic,
 DOJ stated that they  saw no constitutional or statutory problems
 to asserting Section  3008 authority (or any  other authority)
 against contract operators of government-owned facilities
 (GOCOsMsee Attachment  I,  DOJ Testimony).  This means that EPA
 and the states have the full range of enforcement authorities
 under RCRA and CERCLA at GOCOs  that are available for private
 facilities.

      Actions against  GOCOs can  be  valuable enforcement tools,
 especially at facilities where  the contractor does the majority
 of the  waste management work (i.e., DOE facilities).  On a
 factual  basis EPA has not experienced trouble establishing the
 contractor as the operator.  The Mixed Energy Waste (MEWS) task
 force found that at most of the major DOE facilities the
 contractor(s)  were  responsible  for the day-to-day operations and
 long  term management, or oversight of hazardous waste at the
 facility.   In some  instances, both the Federal agency and the
 contractor(s)  are the operators.   A memo labeled Attachment 5 in
 this package gives  some criteria for determining the operator at
 a Federal  facility.

     GOCOs  are  not  shielded from enforcement actions for
 non-compliance  with environmental  laws.  Therefore, I strongly
 encourage  you to determine who  is  the operator of hazardous waste
management  activities at  a Federal facility when developing an
enforcement  strategy  at  the facility.   You should then examine
 the factual  association of the  contractor at the facility.  When
the primary operator  at  a  Federal  facility is clearly the
contractor(s),  and  the  factual  basis for the enforcement action
 is clearly defined, you should  consider the use of all RCRA and
CERCLA authorities  available for non-Federal facility actions.
The Federal  Facilities  Compliance  Task Force in the Office of
Waste Programs  Enforcement and  the Office of Enforcement and

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Compliance Monitoring win be working with your staff to identify
those cases which may be good candidates for a GOCO enforcement
action.
II.  A FEDERAL'FACILITY WITH RCRA CORRECTIVE ACTION ISSUES

A.  Corrective Action Orders (300B(h>l at Federal Facilltios

     With regard to corrective action and the applicability of
administrative orders under RCRA Section 3008(h) at Federal
facilities, OOJ has taken the view that corrective action orders
are integral to the permitting process.  Since Section 6001 of
RCRA expressly requires Federal facilities to comply with
hazardous waste permits, DOJ has concluded that administrative
orders under Section 3008(h) can be issued to Federal facilities.

     Based on this DOJ determination, Section 3008(h)
administrative orders should be issued whenever possible and
appropriate (e.g., an interim status facility which is not
seeking a RCRA permit or the issuance of the permit is not
expected in the near future).  The existing administrative
procedures for issuing RCRA 3008(h) orders, as set forth in the
February 19, 1987 memorandum to the regional offices, will be
applied to Federal agencies.  However, Federal agencies win have
the opportunity to elevate disputes to the Administrator for a
final decision in the event a dispute cannot be resolved at the
Regional Administrator level.  Consistent with these procedures,
EPA will issue orders as necessary, and provide a reasonable
opportunity for Federal agencies to discuss the order with EPA.
If the Federal agency chooses not to invoke these procedures, the
order becomes final and effective.

     As in the NON and FFCA, a Section 3008(h) order being issued
to a Federal facility should state the waiver of sovereign
immunity found in Section 6001 of RCRA.  It should also contain
the model dispute resolution language found in Attachment 4.  The
the model enforceability language found in Attachment 3 is not
necessary since the order will explicitly cite the statutory
authority in Section 3008(h), and is, therefore, enforceable
under Section 7002 of RCRA.  There should be no difference in
the factual basis for the issuance of a corrective action order
between a private facility and a Federal facility.  The initial
order should be sent to the responsible Federal official at the
facility, or their delegate.

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B.  tfijiuance of a 300B(h) Order to a Government-Owned,
     contractor-Operated Facility (GQCOl

     As described in Part III, RCRA Compliance, section c,  ooj
has determined that EPA has the authority to exercise all of its
Section 3008 enforcement options at GOCOs.   This authority is not
limited to RCRA'compliance issues under Section 3008(a).   it
includes corrective action authorities under Section 3008(h) and
Section 3013 of RCRA.  All C£RCLA enforcement authorities apply
to GOCOs as well.
III.  A FEDERAL FACILITY WITH CERCLA COMPLIANCE ISSUES

A.  Section 120 Interaqenev Agreements

     Under section 120 of the Comprehensive Environmental
Response Compensation and Liability Act as amended by the
Super fund Amendments and Reauthorization Act (hereinafter
referred to as CERCLA) , Federal agencies must enter into an
11 interagency " agreement (IAG) for all necessary remedial actions
at Federal facilities on the NPL.

     The Agency is viewing the Section 120 Interagency agreement
as a comprehensive document to address hazardous substance
response activities at a Federal facility from the remedial
investigation/ feasibility study (RI/FS) through the
implementation of the remedial action.  All such interagency
agreements must comply with the public participation requirements
of Section 117.  The timetables and deadlines associated with the
RI/FS and all terms and conditions associated with the remedial
actions  (including operable units or interim actions) are
enforceable by citizens and the States through the citizen suit
provisions of Section 310 of CERCLA.  In addition, Section 122(1)
of CERCLA authorizes the imposition of civil penalties against
Federal  agencies for failure to comply with interagency
agreements under Section 120.  Procedures for imposing these
penalties are provided for in Section 109 of CERCLA.

B.  other cpRCLA Authorities Available at Federal Facilities
     EPA has  the  authority  to  issua administrative orders  to
Federal agencies  under  Section 104 and  Section  106 of CERCLA.
Section 106 orders  should be used where needed  to assure
compliance with Federal facility requirements for response
action.  Orders under Section  104(e)(5)(A) of CERCLA can be
to collect  information  and  obtain access  to  Federal  agency sites
where  needed.

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     Executive Order 12580 clarifies that EPA is authorized  to
issue Section 104 and Section 106 administrative orders  to other
Federal agencies, with the concurrence of the Department of
Justice.  Section 4(e) of the Executive Order provides that:

     Notwithstanding any other provision of this Order,  the
     authority under Section 104
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 IV.  A FEDERAL FACILITY WITH CERCLA AND RCRA ISSUES

 or™ ?? !If?y*?ases'  facillties subject to an IAG will  also  have
 RCRA liabilities.  The most common example of the RCRA/CEHCLA.
 overlap is where a unit(s)  at the facility has interim status or
 a permit under. RCRA  and a portion of the facility is underqoina a
 CERCLA remedial investigation.                   Y   unaergoing a
 A.  Enforcement Otions
      When developing  a  comprehensive strategy for addressino horh
 RCRA and CERCLA issues  at  a Federal facility? EPA and Ihl s?at2s
 should consider the following options, alone or inlS.biS.S2?*
 as  possible  mechanisms  for getting enforceable requirements in
 1.  A RCRA permit

    All  RCRA Subtitle c permits issued after November 8, 1984
 will  contain provisions for implementing the corrective
 action requirements of 40 CFR Part 264 Subpart F  (or
 authorized state requirements), and Section 3004(u) and (v) of
 RCRA.  For facilities that have or are seeking a RCRA permit, the
 requirements for a "CERCLA" remedial investigation and cleanup
 could be met by implementing these requirements through RCRA
 corrective action.  It is important to keep in mind, however
 that  the extent of coverage of the RCRA permit is generally
 limited  to hazardous wastes/constituents (e.g., some CERCLA
 hazardous substances such as radionuclides are not RCRA hazardous
 constituents and, therefore, the permit may not be able to
 address  all of the releases at a facility).

 2.  A RCRA Corrective Action Order

    The  corrective action authority under Section 3008 (h) of RCRA
 can be used at RCRA interim status facilities to address releases
 from  RCRA regulated units and other solid waste management units.
At a  Federal facility that has interim status, a RCRA corrective
action order could address the investigation and clean-up of
 releases in lieu of a "CERCLA" response action or as an interim
measure.   ..(Again, the extent of coverage in the RCRA corrective
action order is limited to RCRA hazardous wastes/constituents.)

3.  Imminent and Substantial Endangerment Orders

     CERCLA Section 106 can be used to address releases from RCRA
units or CERCLA sites when an "imminent and substantial
endangerment" is shown.

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 4.  An Interagency Agreement under Section 120 of CERCLA

     A Section  120 IAG could be drafted to incorporate all RCRA
 corrective action requirements and CERCLA statutory requirements
 Where some or all of a Federal installation has been listed on
 the NPL, the .CERCLA Section 120 IAG  is required for remedial
 action by statute.

     The first  agreement under Section 120 of CERCLA (XAG) was
 finalized on August 12, 1987.  The IAG at Twin Cities Army
 Ammunition Plant (TCAAP) is a three party agreement between EPA
 the State of Minnesota, and the U.S. Department of the Army.
 Several notable provisions that should be incorporated in every
 CERCLA Section  120 IAG include a dispute resolution process that
 denotes the EPA Administrator as the final decision maker, an
 enforceability clause which states that provisions of the
 agreement are enforceable by citizens and the State through the
 citizen suit provision of Section 310 of CERCLA, and a means for
 resolving both the RCRA and CERCLA requirements when both
 statutes apply.  Further guidance on CERCLA Section 120
 agreements is being developed and win be made available to the
 Regions as soon as possible.  In the interim, the Regions should
 consult with Headquarters on any IAG issues they encounter.

 B.  Strategy for Action at RCRA/CERCLA Sites

     The decision on which of the above mechanisms to employ at a
 Federal facility will be made on a facility specific basis.
 However, if the Federal facility is on the NPL or is likely to be
 placed on the NPL, I encourage the use of a Section 120 IAG to
 incorporate both RCRA and CERCLA activities under one enforceable
 agreement and to serve as a comprehensive plan for investigatory
 and remedial activities at the facility, whether RCRA or CERCLA.
 EPA, the State, and the Federal facility would agree on a
 facility wide strategy, setting priorities and schedules for
 action.   If properly framed, the agreement would satisfy the
 facility's RCRA corrective action requirements,as well as the
public participation requirements of Section 117 of CERCLA and
 Part 124 of RCRA.  At a later date, if appropriate, corrective/
 remedial action requirements found in the IAG could be incor-
porated into the RCRA permit for those facilities seeking an
operating'or post-closure permit, in satisfaction of RCRA
Section 3004(u) and (v) requirements.  An Interagency agreement
under Section 120 of CERCLA does not serve as the replacement for
a RCRA permit at a unit seeking an operating permit.

C.  Importance of the State as a Party to the IAG

     CERCLA Section 120(i) states that nothing in CERCLA Section
 120 shall affect or impair the obligation of the Federal agency
 to comply with the requirements of RCRA, "including the
corrective action requirements."  One interpretation of CERCLA

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 Section 1201i)  is  that  the provision allows  "re-cleanup" of a
 release using RCRA corrective action authorities during or after
 a cleanup  of  that  release under CERCLA; this could be a problem
 if a State, authorized  to implement the RCRA program, contested
 the technical standards of an IAG.  In order to avoid arguments
 over the interpretation of Section 120(i), as well as to avoid
 potentially dupiicative exercises of authority, I encourage the
 inclusion  of  the State  as a full signatory party for ZAG's at
 RCRA facilities.

      A three  party agreement will ensure the fol-lowing state
 roles in the  agreement:

      0 appropriate application of state clean-up standards
      0 public participation requirements
      0 enforceability
      0 involvement in setting priorities
      0 dispute  resolution
      0 review and  comment on technical documents


      This  type  of  agreement would resolve differences between
 EPA and state requirements up front.


                           CONCLUSION

      This  memo  is  the first step in developing an integrated
 RCRA/CERCLA Federal facility compliance and  cleanup strategy.
 The  fundamental principle of the strategy is that there is no
 difference between environmental standards for Federal facilities
 and  private facilities.  EPA holds Federal facilities accountable
 for  environmental  cleanup and will proceed with enforcement
 actions  at Federal facilities in the same way that we would
 proceed  at private facilities.  Although the limitations of
 enforcement authorities at Federal facilities have frustrated
 EPA's  enforcement  capabilities in the past,  the RCRA corrective
 action requirements in combination with CERCLA authorities under
 Section  106 and Section 120 provide many options for achieving
 cleanup  at Federal facilities.

      I have recently established a Federal Facilities Compliance
Task Force within OWPE which is dedicated to achieving compliance
and cleanup at Federal facilities.  The Task  Force win be
working  closely with the CERCLA Enforcement Division and RCRA
Enforcement Division of OWPE, other offices within Headquarters,
and the  Regions to develop guidance and policy regarding Federal
 facilities, to resolve difficult issues that arise from EPA's
negotiations with Federal facilities, to track ongoing
negotiations between EPA and Federal agencies, to pinpoint areas
                                    10

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 for  potential  enforcement  response,  and to  relay the Agency«s
 efforts  at  resolving compliance, corrective action and
 issues at Federal  facilities.

      I am requesting that  you  forward any Federal Facility
 Compliance  Agreements,  Interagency Agreements, etc., that you are
 negotiating with Federal facilities  in your Region to Gene A
 Lucero,  Director of the Office of Waste Programs Enforcement'
 (Mail code: WH-527).

     As  I mentioned earlier, the Task Force will-be working with
 J  J!!9ions to PinP°int areas for possible enforcement action.
 As S£L  M  fncoura9«<> EPA  to take appropriate enforcement actions
 at GOCOs, the Task Force is interested in COCO candidates for an
 enforcement action under RCRA or CERCLA.  I am polling the
 Regions  for suggestions of Federal facilities where the need for
 an enforcement action is imminent and there is a clear means of
 establishing the contractor as the operator.  We win provide
 Headquarter's support for  the development of the order and
 throughout  the negotiation process.

     If you have any questions regarding this memorandum or
 recommendations of candidates for potential enforcement actions,
 please contact Christopher Grundler, Director of the Federal
 Facilities  Compliance Task Force at FTS 475-9801.   Questions can
 also be directed to Jacqueline Thiell of the the Task Force at
 FTS 475-8727.

Attachments

cc:
     Gene Lucero, OWPE
     Roger Marzulla, DOJ
     Henry Longest, OERR
     Tom Adams, OECM
     Marcia Williams,  OSW
     Frank Blake, OGC
     Richard Sanderson, OFA
     Hazardous Waste Management Division Directors,  Regions I-X
     Regional Counsels, Regions I-X
     CERCLA Branch Chiefs,  Regions I-X
     RCRA Branch Chiefs, Regions I-X
     Federal Facility Coordinators

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             UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
                        WASHINGTON. O.C. 104«0


                                                  OSWER Directive 9633.3

                          MAY 29 1937

                                                         OMKI or
                                                •OtID WAIT! AMD IUINCINCV
 MEMORANDUM
 SUBJECT: Administrative Records for Decisions on Selection of
          CERCLA Response Actions
 FROM:    Gene A. lucero, Director      ^
          Office of Waste Programs Enforcemj
Enfo r c emeftk ^£^527?
          Henry L. Longest II, Director
          Office of Emergency and RemediaVvfreffense  (WH-548)

 TO:      Addressees


      As you are aware, section 113(k)  of the Comprehensive Environ-
 mental  Response, Compensation, and Liability Act  (CERCLA), as
 amended by the Superfund Amendments and  Reauthorization  Act  (SARA),
 requires that the Agency establish administrative records containing
 information used by the Agency to make its decision on selection
 of  response action under CERCLA.   Section 113 also  requires  that
 the records be kept "at or  near the facility at issue."  This
 memorandum is to inform you of steps which must be  implemented by
 the Regions immediately to  assemble administrative  records,  if
 not already done.

      As the section 113 requirement for  the establishment of
 records is in effect,  the Regions should ensure that information
 on  selection of a  response  action is assembled now, and  is avail-
 able  for  public,  including  potentially responsible  party, review
 both  in the Regional Office and "at or near the facility at
 issue.*  This requirement applies to all sites for  which a remedial
 investigation has  begun.  Zt also applies to remcval actions
where an  Action Memorandum  has been signed or public comment has
been  solicited.

     This administrative  record consists of information  upon
which the  Agency bases  its  decision on selection  of response
action.   Zt  is  a subset  of  information included in  the site  file.
The site  files  will contain information  on potentially responsible
party liability and cost  documentation,  for example, which is not
included  in  the administrative record.   The administrative record
will also  overlap  with  the  community relations information in the
information  repositories, the  Federal  facility docket, and the

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                                                      OSVER Oirtetlvc 9833.3
                              -2-


  NPL listing docket.   A  separate memorandum concerning letting up
  site rileT. and  long  tern management of administrative records
  is  under  development.  At this time, as you assemble and
  reproduce administrative records, YOU should keep other record*
  management  natters  in mind.

       Three  Billion dollars were available in contract funds
  for  records  management in FY  '87. some of which is still available.
  Additional  funds averaging about $100,000 per Region have been
  earmarked this fiscal year specifically to assist In setting up
  administrative records.  The  Regions should suhnit • list of
  priority  sites at which they  will require assistance In compiling
  a record, and an estimate of  the cost of such activities.  Top
  priority  should be given to those sites for which the Agency
  will be signing Records of Decision (ROPs) In this fiscal year,
  /2^Et?se for whlch a rem«di«l Investigation/feasibility study
  (RI/FS) is  currently available for public comment.  The next
 highest priority includes those sites whVre a ROD has been signed
 and the PRPs are not undertaking the remedial design (RD) or
 remedial action (RA); Kites  where a RI/FS workplan is available:
 and sites where a removal action is underway.  Third priority
 •ites are those where a Rnn has been signed and PRPs are undertaking
 the remedial design or remedial action.

      The Regions should also list sites which presently have
 funding for an administrative record.  A coordinator should
 be designated in each Rep.ion to manage  the compilation of.
 priority sites and oversee  the compilation of these administrative
 records.  Pleas* submit  yo'ir list of priority sites and contract
 n«*d« within two weeks to Linda Boornarian -in OWPF.  She can He
 reached at 3P2-4H3".

      The Agencv plans to  propose  regulations establishing proce-
 dures for  the administrative records.   These administrative
 record regulations  are expected to  be issued in conlunctlon with
 the  proposed NCP  revisions.   The  upcoming proposed regulations
 will  serve as interim guidance under SARA for the creation of
 adequate administrative records for  response action decisions.
 We have been working  with representatives  from the Regions on
 these  regulations.

      During  the course of developing these regu'.ations. numerous
 policy  issues  have  surfaced.   These  issues are currently being
 addressed  at headquarters.   This  memorandum will he followed
 shortly  by a memorandum addressing  issues  related to the admini-
 strative record requirements,  in  greater  detail.  The upcoming
memorandum will summarize the  Agency's  current direction on these
 administrative record  issues.   We will  also be addressing the
 administrative record  requirements  in the  Superfund Record of
 Decision Workshops  in  June and July  of  1QR7, emphasizing information
on FY  '87  RODs.

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                                                    OSVER Dirtctivt 9833.3



      Attached is a list of items which, if generated  for a
 particularjite, should be included  in the administrative record.
 Please note"that information upon which the decision  on selection
 of  response action is based must be  included in the record.

      The Agency will be refining this list.  The upcoming memorandum
 will  go into much greater detail on  all aspects of the administra-
 tive  record.  Until then, the above  lists of documents should be
 used  as an indication of information which should be  placed  in the
 administrative record.

      Please call Deborah wolpe of OWPE at FTS 475-8235 if you
 have  any questions.

 Attachment

 Addressees:

    Directors, waste Management Division, *eg. I, XV, V, VIZ, VIII
    Director,  Emergency and Remedial Response Division, Reg. XX
    Directors, Hazardous Waste Management Division, Reg. XXX, VX
    Director,  Toxics and Waste Management Division, Reg. XX
    Director,  Hazardous Waste Division, Reg. X
    Regional Counsels, Regions X-X
    Superfund  Branch Chiefs,  Regions X-X
    Superfund  Section Chiefs, Regions X-X
cc: Lloyd Guerci, OKPE
    Russcl Wyer, H5CD
    Tim Fields, ESD
    Edward Reich, OECM
    Mark Greenwood, OGC
    Nancy Firestone, DOJ

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                             ATTACHMENT


 Documents  for  Removal  Actions*

 - QA/QC'd  raw  data**
 - Removal  preliminary  assessment
 - Site  investigation report
 - Any other  factual data  relating  to reasons why we selected a
   particular removal action  at  the site
 - Chain  of custody forms"
 - Engineering  evaluations
 - Cost analysis  documents
 - Final  data summary sheets  of  technical models used to evaluate
   the site
 - Action Memorandum
 - AT5DR  health'assessment  (draft versions not included)
 - Memoranda  on major site  specific policy and legal interpretations
   (e.g., off-site disposal availability, compliance with other
   environmental  statutes,  special  coordination needs, e.g., dioxin,
   provisions for State assumption  of pos^-removal site control)
 - Information  from telephone logs  relied on in selecting response
 - New technical  information  presented by PRPs during negotiations
 - Guidance documents and  technical sources ***
 - Community  Relations Plan
 - Public comments, if any
 - Responses  to significant comments
 - Copies of  any  notices,  including notices to PRPs, States, Natural
   Resources  Trustees, notices of availability of information
 - Documentation  of meetings  during which the public and PRPs present
   information  upon which  the agency bases its decision on selection
   of a removal action  (may be after-the-fact restatement of issues ra
 - Administrative Orders
 - Consent decree(s), comments and  responses to comments on the
   consent decree
 - Affidavits or  other sworn  statements of expert witnesses
 - Amendments to  Action Memorandum, including ceiling increase Action
   Memoranda, and Action Memoranda  on technical changes; information
   which  caused the agency  to change the decision, comments, and
   responses  to comments
'  Drafts and internal memoranda are not  included  in  the record
unless they contain  information used to base  thr decision
which the final document does  not contain, or t».e  decision-
maker chooses to base the decision on  a draft document.

** OA/OC'd raw data  (e.g., results of  QC  runs, chromatograms,
mass spectra) and chain of custody forms  are  part  of  the record and
available to the public, but need not  be  in  the same  physical
location as the record in the  Regional office or in the information
repository at or near the site.

•**  Guidance documents and technical  sources may  be  keot  in a
central compendium by the docket clerk.   They need not be  in
each site-specific record.  The index  to  the  record should
reference titles of  relevant guidance  documents and technical
sources.

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 - Documentation of opportunity for consultation with  the State
   on the scope of the removal action;  comments from State,  if any,
   and responses to substantive comments
 - Index of documents in the record

 (Expedited Response Actions should be  treated like removals for
 purposes of compiling an administrative  record; for purposes of
 the administrative record,  RI/FSs  should be treated as a phase
 of a remedial  action, and not a removal)

 Documents for  Remedial Actions*

 • Preliminary  assessment report
 - Site investigation report
 - Any relevant removal documents (if removal action completed or
   ongoing at site)
 - OA/OC'd raw  data**                    «
 - Data summary sheets (usually part of the FS)
 - Chain of custody forms**
 - QAPP
 - Initial work plan and any amendments thereto
 - RI/FS (final deliverable  released for  public comment)
 - Any other factual data relating  to reasons for selecting the remedial
   action at the site
 - Memoranda on site-specific major policy and legal interpretations
   e.g.,  off-site  disposal availability
 -  Information  from telephone logs  relied on in selecting response
 -  Guidance documents and technical sources ***
 -  Proposed plan and brief analysis of plan
 -  Feasibility  Study (final  deliverable released for public comment)
 -  Endangerment Assessment or other public health assessment
 -  ATSDR  Health Assessment (draft versions not included)
 -  Copies of any notices,  including notices to PRPs, States, Natural
   Resources Trustees,  notices of availability of information
 -  Public comments  (including a late comments section)
 -  Documentation of meetings during which the public and PRPs present
   information  upon which the agency bases its decision on selection
  of a remedial action (may be after-the-fact restatement of issues
  raised)
- New  technical  information presented by PRPs during negotiations
- Documents  relating  to State involvement (e.g.  ARAR determinations,
  opportunity  to comment on screening of alternatives, FS, proposed
  plan,  selected remedy)
• Responses  to  substantive  comments
- Transcript of required public meeting(s) on the proposed plan
- ROD, including statement  of basis and  purpose of selected
  action;  summary  of alternatives considered; an explanation of
  why the Agency chose  the  preferred alternative; explanation
  of any statutory  preferences under $121(b) not met: Explanation
  of significant differences between the Proposed Plan and ROD
- Amendments to the ROD,  information which caused the Agency to
  change  its decision,  comments and responses to those comments

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                                                       !BC 2 9
           ADMINISTRATIVE RECORD FOR FEDERAL FACILITIES
                            Fact Sheet
 Background
      Section 113(k)  of CERCIA  requires the establishment of
 administrative records for selection of CERCLA response actions.
 Executive order 12580  authorizes Federal agencies to establish
 the administrative record  for  selection of response actions for
 Federal  facilities under their jurisdiction, custody, or control.

      Section 113(k)(2)(B)  of CERCLA requires that EPA promulgate
 regulations  establishing procedures for the participation of
 interested persons in  the  development of the record.  Federal
 agencies must compile  and  maintain records as required by the
 regulations,  as finally promulgated.  EPA is developing
 regulations  which  would require the following:


 General  Responsibilities

 o     The lead agency (as defined by EO 12580) must compile and
      maintain the  administrative record file (i.e.,  the
      incomplete record as  it is being complied).

 o     When EPA is involved  in the selection of the response action
      at  a Federal  facility on  the NPL, the lead agency must
      provide  EPA with  a copy of the index to the record file and
      key documents in  the  record file.  The Inter-Agency
      Agreement (IAG) may require that the lead agency furnish
      additional documents  to EPA.

 o     EPA may  require the lead  agency to place additional
      documentation in  the  record file.


 Remedial  Actions

 o     The  administrative record file must be available for
      public inspection  when the remedial investigation phase
      begins.

 o     The  record file must  be available both at a central
      location  (Federal  agency  regional office) and at or
      near the  site at  issue.

o    A notice  of availability  of the record file must be
     published in a major  local newspaper.

o    A public  comment period of not less than 30 days is
     required  on the RI/FS, proposed plan, and record file.
                                                 DRAFT

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Non-time Critical Removal Actions

o    The administrative record file must be available for
     public inspection when the Engineering Evaluation/Cost
     Analysis  (EE/CA) or its equivalent is completed.

o    The record file must be available both at a central
     location  (Federal agency regional office)  and  at or
     near the  site at issue.

o    A notice  of the availability of the record file  must be
     published in a major local newspaper.

o    A public  comment period of not less than  30 days is
     required  on the EE/CA and record file.
Time Critical Removal Actions

o    The administrative record file must be available  for
     public inspection no later than 60 days after
     initiation of on-site removal activity.

o    The record file must be available both at  a central
     location (Federal agency regional office)  and at  or
     near the site at issue.

o    A notice of the availability of the record file must be
     published in a major local newspaper.

o    A public comment period of not less than 30 days  is
     required from the time the record file is  available for
     public inspection.


Emergency Removal Actions (lasting less than 30 days)

o    The administrative record file must be available  for
     public inspection no later than 60 days after
     initiation of on-site removal activity.

o    The record file must be available at a central location
     (Federal agency regional office).

o    A notice of availability of the record file must  be
     published in a major local newspaper.

o    No public comment period is necessary.
                                                  DRAFT

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99th Conpcu  J       onmuTrrr PRIKT           SlPiT'
 2dSeuion   J       COMMITTEE PRINT
THE  COMPREHENSIVE   ENVIRONMENTAL
  RESPONSE,  COMPENSATION, AND  LIABIL-
  ITY ACT  OF  1980  (SUPERFUND)  (P.L.  96-
  510)
                 AS AMENDED BY
 THE SUPERFUND AMENDMENTS AND REAU-
   THORIZATION ACT OF 1986 (P.L. 99-499)
                  DECEMBER 1986
          Printed for the use of the Senate Committee
             on Environment and Public Worlu
              U J. GOVERNMENT PRINTING OFFICE

 64-704 0             WASHINGTON : 1987
        Fvr ult by iht SuprnnUndcnl of Ducum»nu Coftftrwioftal Suit* OtTiot
           US Cov»min*nl Pnntu-« Odix. WMhinfum. DC 20402

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                               78

be selected in accordance with title IX of the Federal Property and
Administrative  Services Act of 1949.  The Federal selection proce-
dures shall apply to appropriate contracts negotiated by all Federal
governmental agencies involved in carrying out this Act Such proce-
dures shall be followed by response action contractors and subcon-
tractors.
SEC 119. FEDERAL FACILITIES.
  (a) APPLICATION OF ACT TO FEDERAL GOVERNMENT.—
      (1) IN GENERAL,—Each department, agency, and instrumental-
    ity of the United  States (including the executive,  legislative,
    and judicial branches of government} shall be subject to, and
    comply with, this Act in  the same manner and to the  same
    extent, both procedurally and substantively,  as any  nongovern-
    mental entity, including liability under section 107 of this Act.
    Nothing in this section shall be construed to affect the liability
    of any person or entity under sections 106 and 107.
      (2) APPLICATION OF REQUIREMENTS TO FEDERAL FACILITIES.—
    All guidelines,  rules, regulations, and criteria which are appli-
    cable to preliminary assessments carried out under this Act for
    facilities at which hazardous substances are located, applicable
    to evaluations of such facilities under the National Contingency
    Plan, applicable to inclusion on the National Priorities List, or
    applicable to remedial actions  at such facilities shall also be
    applicable to facilities which are owned or operated by  a de-
    partment, agency, or instrumentality of the United States in the
    same manner and to the extent  as such guidelines, rules,  regu-
    lations, and criteria  are applicable to  other facilities. No de-
    partment, agency, or  instrumentality of the  United States may
    adopt or utilize any such guidelines, rules, regulations, or crite-
    ria  which are  inconsistent with the guidelines, rules, regula-
    tions, and criteria established by the Administrator under this
    Act
      (3) EXCEPTIONS.—This subsection shall not apply to the extent
    otherwise provided in this section with respect to  applicable
    time periods. This subsection shall also not apply  to any re-
    quirements relating to bonding,  insurance, or financial respon-
    sibility. Nothing  in this Act shall be construed to require a
    State to comply with section 104(cX3)  in the case of a facility
    which is owned or operated by any department,  agency,  or in-
    strumentality of the united States.
      (4) STATE LAWS.—State laws concerning removal and remedi-
    al action, including  State laws regarding  enforcement,  shall
    apply to removal and remedial action at facilities owned or op-
    erated by a department,  agency,  or instrumentality of the
    United States when such facilities are not included on the Na-
    tional Priorities List. The preceding sentence shall not apply to
    the extent a State  law would apply any standard or require-
    ment to such facilities which is more stringent than the stand-
    ards and requirements applicable to facilities  which are not
    owned or operated  by any such department, agency, or instru-
    mentality.
  (b) NOTICE.—Each department, agency, and instrumentality of the
United States shall add to the inventory of Federal agency hazard-

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                               79

     waste facilities required to be submitted under section 3016 of
     Solid Waste Disposal Act (in addition to the information re-
quired under section SOHXaXS) of such Act) information on contami-
nation from each facility  owned or operated by the department,
Agency, or instrumentality if such contamination affects contiguous
or adjacent property owned oy the department, agency, or instrumen-
tality or by any other person, including a description of the monitor-
ing data obtained.
  (c) FEDERAL AGENCY HAZARDOUS WASTE COMPLIANCE DOCKET.—
The Administrator shall establish a special Federal Agency Hazard-
ous  Waste Compliance Docket (hereinafter in this section referred to
as the "docket'} which shall contain each of the following:
      (1) All information submitted under section 3016 of the Solid
     Waste Disposal Act and subsection (b) of this section regarding
     any Federal facility and notice of each subsequent action taken
     under this Act with respect to the facility.
      (2) Information submitted by each department,  agency, or in-
     strumentality of the United States under section 3005 or 3010 of
     such Act
      (3) Information submitted  by the department, agency,  or in-
 •   strumentality under section 103 of this Act.
The docket  shall be available for public inspection  at reasonable
times.  Six  months after establishment of the docket and every  6
months thereafter, the Administrator shall publish in the Federal
Register a list of the Federal facilities which  have been included in
the docket during the immediately preceding 6-month period. Such
publication  shall also indicate where in the appropriate regional
office of the Environmental Protection Agency additional informa-
tion may be obtained with respect to any facility on the docket.  The
Administrator shall establish a program to provide information to
the public with respect to facilities which are  included in the docket
under this subsection.
  (d) ASSESSMENT AND EVALUATION.—Not later than  18 months
after the enactment of the Superfund Amendments and Reauthor-
ization Act  of 1986. the Administrator shall take steps to assure
that a preliminary assessment is conducted for each  facility on the
docket. Following such preliminary assessment, the  Administrator
shall, where appropriate-—
      (1) evaluate such facilities in accordance with  the criteria es-
     tablished  in accordance with section 105 under the National
     Contingency  Plan for  determining priorities among releases;
    and
      (2) include such facilities on  the National Priorities  List
    maintained under such plan if the facility meets such criteria.
Such criteria shall be applied in  the same manner  as the criteria
are applied  to facilities which are owned or  operated by other per-
sons. Evaluation and listing under this subsection shall be complet-
ed not later than SO months after such date of enactment. Upon the
receipt of a petition from the Governor of any State, the Administra-
tor shall make sucn an evaluation of any facility included in the
docket.
  (e) REQUIRED ACTION BY DEPARTMENT.—
      (1) RIFS.—Not later than 6 months after the inclusion of any
    facility on the National Priorities List, the department, agency,

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                           80

 or instrumentality which owns or operates such facility shall,
 in consultation fwith the Administrator and appropriate State
 authorities, commence a remedial investigation ana feasibility
 study for such facility. In the case of any facility which is listed
 on such list before the date of the enactment of this section,- the
 department, agency, or instrumentality which owns or operates
 such facility shall in consultation with the Administrator and
 appropriate State'authoHties, commence such  an investigation
 and study for such facility within one year after such date of
 enactment  The Administrator and appropriate State authori-
 ties shall publish a timetable and deadlines for expeditious
 completion of such investigation and study.
   (2)  COMMENCEMENT OF REMEDIAL ACTION;  INTEXAGENCY
 AGREEMENT.—The  Administrator shall review the results of
 each investigation and study conducted as  provided  in para-
 graph (1). Within 280 days thereafter,  the head of the depart-
 ment, agency, or instrumentality concerned shall enter into an
 interagency agreement with the Administrator for the expedi-
 tious completion by such department, agency,  or instrumentality
 of all necessary remedial action  at such facility. Substantial
 continuous physical onsite remedial action shall be commenced
 at each facility not later than IS months after completion of the
 investigation  and study. All such interagency agreements,  in-
 cluding review of alternative  remedial action plans and selec-
 tion of remedial action, shall comply with the public participa-
 tion requirements of section 117.
   (3) COMPLETION OF REMEDIAL ACTIONS.—Remedial actions at
 facilities  subject  to interagency agreements under this section
 shall be completed as expeditiously as practicable. Each agency
 shall include  in its annual budget submissions to the  Congress
 a  review of alternative agency funding which could be used to
provide for the costs of remedial action. The  budget submission
 shall also include a statement of the hazard posed by the facili-
 ty to human health, welfare, and  the environment and identify
 the specific consequences of failure to begin and complete reme-
 dial action.
   (4) CONTENTS OF AGREEMENT.—Each interagency agreement
 under this subsection shall include,  but shall not be limited to,
 each of the following:
      (A) A review of alternative remedial actions and  selection
    of a remedial  action  by the head of the relevant depart-
    ment, agency, or instrumentality and the Administrator or,
    if unable to reach agreement on selection of a  remedial
    action, selection by the Administrator.
      (B) A schedule for the completion of each such remedial
    action.
      (C) Arrangements for long-term  operation and mainte-
    nance of the facility.
  (5) ANNUAL  REPORT.—Each department, agency, or instrumen-
tality responsible for compliance with this section shall furnish
an annual report to the Congress concerning  its progress in im-
plementing the requirements of this section. Such reports shall
 include, but shall not be limited to, each of the following items:

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                               81

           (A) A report on  the progress  in reaching interogeney
         agreements under this section.
           (B) The  specific cost estimates and budgetary proposals
         involved in each interagency agreement.
           (C) A brief summary of the public comments regarding
         each proposed interagency agreement.
           (D)A description of the instances  in which no agreement
         was reached.
           (E)A report on progress in conducting investigations and
         studies under paragraph (1).
           (F) A report on progress in conducting remedial actions.
           (G)A report on progress in conducting remedial action at
         facilities which are not listed on  the National Priorities
         List
     With respect to instances in which no agreement was reached
     within the required time period, the department, agency, or in-
     strumentality ^filing the report under this paragraph shall in-
     clude  in such  report an explanation of the reasons why no
     agreement was reached.  The annual report required by  this
    paragraph shall also  contain a detailed description on a State-
     by-State  basis of the status of each facility subject to this sec-
     tion, including a description of the hazard presented by each fa-
     cility,  plans and schedules for initiating and completing re-
     sponse action, enforcement status (where appropriate), and an
     explanation of any postponements or failure  to  complete re-
    sponse action. Such reports shall also be submitted to tne affect-
    ffstates.
      (6) SETTLEMENTS WITH OTHER PARTIES.—If the Administrator,
     in  consultation with  the head of the relevant department,
    agency, or instrumentality of the United  States, determines  that
    remedial investigations  and feasibility studies  or remedial
    action will be done properly at the Federal facility by another
    potentially responsible party within the deadlines provided in
    paragraphs (1),  (2), and (3) of this subsection, the Administrator
    may enter into  an agreement with such party under section 122
    (relating to settlements).  Following approval by the Attorney
    General  of any such  agreement relating to a remedial action,
    the agreement shall be entered in the appropriate United States
    district court as a consent decree under section 106 of this  Act.
  (f) STATE AND LOCAL PARTICIPATION.—The Administrator  and
each department, agency, or instrumentality  responsible for compli-
ance with this section shall afford to relevant State ana local  offi-
cials the opportunity to participate in. the planning and selection of
the remedial action, including but not limited to the review of ail
applicable  data as it becomes available and the  development  of
studies, reports, and action plans. In the case of State officials, the
opportunity to participate  snail be provided in accordance with sec-
tion 122.
  (g) TRANSFER OF AUTHORITIES.—Except for authorities which are
delegated by  the Administrator to an officer or employee of the En-
vironmental Protection Agency, no authority  vested in the Adminis-
trator under  this section may be transferred, by executive order of
the President or otherwise, to any other officer or  employee of the
United States or to any other person.

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                               82

   (h) PROPERTY TRANSFERRED BY FEDERAL AGENCIES.—
       (1) NOTICE.—After the last day of the 6-month period
     ning on the effective date of regulations under paragraph (2) of
     this subsection, whenever any department, agency, or instrumen-
     tality of the United States enters into any contract for the sale
     or other transfer of real property which is owned by the United
     States and on which any hazardous substance was stored for
     one year or more, "known to have been released, or disposed of,
     the head of such department, agency, or instrumentality shall
     include in such contract notice of the type and quantity of such
     hazardous substance and notice  of the time at which such stor-
     age, release, or disposal took place, to the extent such informa-
     tion is available on the basis of a complete search of agency
     files.
       (2) FORM OF NOTICE; REGULATIONS.—Notice under this subsec-
     tion shall be provided in such form and manner as may be pro-
     vided in regulations promulgated by  the Administrator. As
              as practicable after the enactment of this subsection
    'but not'later than 18 months after the date of such enactment,
promptly as
    and after consultation with the Administrator of the General
    Services Administration,  the Administrator shall promulgate
    regulations regarding the notice required to be provided under
    this subsection.
      (3) CONTENTS OF CERTAIN DEEDS.—After the last day of the 6-
    month period beginning  on  the effective date of regulations
    under paragraph (2) of this subsection, in the case of any real
    property owned by the United States on which any hazardous
    substance was stored for one year or more, known to have been
    released, or disposed of, each deed entered into for the transfer
    of such property by the  United States to any  other person or
    entity shall contain—
          (A) to the extent such information is available on the
        basis of a complete search of agency files—
              (V a notice of the type and quantity  of such hazard-
            ous substances,
              (iij notice of the time at which such  storage, release,
            or disposal took place, and
              (iiij a description  of the remedial action  taken, if
            any, and
          (B) a covenant warranting that—
              (i) all remedial action necessary to protect human
            health and the environment with respect to  any such
            substance remaining on the property  has  been taken
            before the date of such transfer, and
              (ii) any additional remedial action found to be neces-
            sary after the date of such  transfer shall be conducted
            by the United States.
    The requirements of subparagraph  (B) shall not apply in any
    case in which  the  person or entity  to whom  the property is
    transferred  is a  potentially responsible party  with  respect to
    such real property.
  (i) OBLIGATIONS UNDER SOLID WASTE DISPOSAL ACT.—Nothing in
this section shnll affect  or impair the obligation of any department,
agency,  or instrumentality of the United States to comply with any

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 requirement of the Solid Waste Disposal Act (including corrective
 action requirements).
   (j) NATIONAL SECURITY.—
      (1) SITE SPECIFIC PRESIDENTIAL ORDERS.—The President may
     issue such  orders regarding response  actions at any specified
     site or facility of the Department of Energy or the Department
     of Defense as may be necessary to protect the national security
     interests  of the  United States at that site or facility.  Such
     orders may include, where necessary to protect such interests, an
     exemption from any requirement contained in this title or under
     title III of the Super-fund Amendments and Reauthorization
     Act of 1986 with respect to the site or facility concerned. The
     President shall notify the Congress  within 30 days of the issu-
     ance of an  order under this paragraph providing for any such
     exemption.  Such  notification shall  include a statement of the
     reasons for the granting of the exemption. An exemption under
     this paragraph shall oe for a  specified period which may not
     exceed one  year.  Additional  exemptions may be granted,  each
     upon the President's issuance of a new order under  this para-
     graph for the site or facility concerned. Each such additional
     exemption shall be for a specified period which may not exceed
     one year. It is the intention  of the  Congress that whenever an
     exemption is issued under this paragraph  the response action
     shall proceed as expeditiously as  practicable.  The Congress
     shall be  notified periodically  of the progress of any response
     action  with respect to which  an exemption has  been  issued
     under this paragraph.  No exemption snail be granted under
     this paragraph due to  lack of appropriation unless  the Presi-
     dent shall  have specifically requested such appropriation as  a
     part of the budgetary process  and the Congress shall have failed
     to make available such requested appropriation.
      (2) CLASSIFIED INFORMATION.—Notwithstanding any  other
     provision of law, all requirements  of the Atomic Energy Act
     and all Executive orders concerning the handling of restricted
     data and national security information,  inducing  "need to
     know" requirements, shall be applicable to any grant of access
     to classified information under the provisions of this Act or
     under title  III of the Superfund Amendments and Reauthoriza-
     tion Act of 1986.
 SEC 121.  CLEANUP STANDARDS.
   (a) SELECTION OF REMEDIAL ACTION.—The President shall select
 appropriate remedial actions determined to be necessary to be car-
 ried out under section 104 or secured under section 106 which are in
 accordance with this section and, to the extent practicable, :he na-
 tional contingency plan,  and  which provide  for cost-effective re-
 sponse.  In evaluating the cost effectiveness of proposed alternative
.remedial actions, the President  shall take into account the  total
 short- and long-term  costs of such actions,  including the costs of op-
 eration and maintenance for the entire period during which such
 activities will be required.
   (b) GENERAL RULES.—(1) Remedial actions  in which  treatmenf
 which permanently and significantly reduces the volume,  toxicity or
 mobility of the hazardous substances, pollutants, and contaminants

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    Office of
Regional Counsel
      -VI-

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               Legal Responsibilities and Liabilities
                                 Robert DiBiccaro
VI-1

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                      ROBERT  A.  DI  BICCARO
        DEPUTY  REGIONAL  COUNSEL,  OFFICE OF REGIONAL  COUNSEL


 Bob  DiBiccaro  has  been  with  the  Agency since  1980 when he joined
 the  Office of  Regional  Counsel.  In  1981,  he  became the head of
 the  Grants, Contracts and General  Law Team.

 Bob  was appointed  to his current position  of  Deputy Regional
 Counsel in February,  1985.   He served as  the  Federal Facilities
 Coordinator in the Office of Regional Counsel from January, 1989
 to October 1990.  He represented the Region in the negotiation of
 the  Pease Air  Force Base and Loring Air Force Base Interagencv
 Agreements under CERCLA.

 Before joining the Agency, Bob practiced law  for four years in a
 Boston law firm, and for four years on active duty in the Navy
 Judge Advocate General's Corps where he served as both a
 prosecutor and defense attorney.

 Bob  is a graduate of the University of Pittsburgh and the
University of Chicago Law School.

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                   ENFORCEMENT OF  ENVIRONMENTAL
                    LAWS  AT FEDERAL FACILITIES
                      by  Robert A.  DiBiccaro
                     Deputy Regional Counsel
                           EPA Region  I


[Note:  The following outline is summarized from Chapter VI of the
EPA Federal Facilities Compliance Strategy,  dated November,  1988
(the "yellow book11).]
I.   EPA Compliance Policy for Federal Facilities

Federal agencies must comply with Federal environmental  laws in the
same  manner and  degree as  non-Federal entities,  and EPA  will
utilize the full range of its available enforcement mechanisms to
ensure Federal Facilities compliance.


II.  Civil Enforcement for violations at Federal Facilities

A.   Factors  which distinguish  enforcement  process  at  Federal
     Facilities from enforcement at non-Federal Facilities:

     1.   EPA has a broad mandate  under Executive Order 12088 to
          provide  technical  assistance and  advice   to  Federal
          agencies to ensure compliance with applicable pollution
          control requirements.

     2.   EPA  places   emphasis  on  negotiations  with  Federal
          Facilities to resolve non-compliance through Compliance
          Agreements or Consent Orders.

     3.   EPA will not bring civil judicial suits against Federal
          agencies  and will  rely  on  administrative  enforcement
          mechanisms.

     4.   Depending on the specific environmental  legislation, EPA
          generally will not assess civil penalties against Federal
          Facilities.

     5.   Dispute resolution  procedures are provided through the
          Office of Management and Budget  for  funding disputes,
          the Attorney General for  legal  disputes, and  the EPA
          Administrator for disputes under  CERCLA.  Some EPA media
          guidance also has dispute resolution procedures.

     6.   Problems at Federal Facilities in obtaining funds needed
          to  meet  environmental  requirements do not  alter the
          obligation to comply, but are  taken   into  account in
          negotiating schedules.

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B.   Civil  administrative  enforcement  process  against  Federal
     Facilities

     1.   Determination of violations through on-site inspections,
          source self-monitoring and reporting documents,  and
          A-106 process

     2.   EPA notifies  facility of violation  through Notice  of
          Violation (NOV)  or other media program equivalent.

     3.   Facility response to NOV in form of  a certification of
          correction of violation, or a remedial  action plan,  or
          through negotiation of Compliance Agreement  or  Consent
          Order

          -  Timely  and  appropriate  response  criteria  in  EPA
          enforcement guidance must be met.

     4.   If agreement is  not  reached with Facility, EPA can issue
          a  proposed Compliance  Agreement or proposed  Consent
          Order.

          -  Facility  is  given  a  specified  time  to respond  in
          writing  as  to  whether  it  agrees  with  the  terms,  or
          whether  it  will  seek resolution through EPA  dispute
          resolution process.

     5.   Dispute resolution process

          - For disputes arising before finalization of Compliance
          Agreement or Consent Order:

               - Internal  EPA Dispute  Resolution procedures under
               specific statutes

               - EPA Federal Facilities Dispute Resolution process

                       Referral  by  Regional   Administrator  to
                    Assistant Administrator  for  affected  media
                    program and  to Assistant  Administrator  for
                    Enforcement for negotiation with the  parent
                    Federal  agency headquarters office

                    - If unresolved, referred to EPA Administrator
                    who will consult with head of parent  Federal
                    Agency

                    - Referral to  Office of Management  and Budget
                    under  E.O.  12088.    EPA  Administrator  may
                    request  OMB involvement on funding and other
                    disputes.

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                    -  Referral  to U.S.  Attorney General  by EPA
                    Administrator  for resolution  of interagency
                    legal disputes

          - For disputes  arising  under a Compliance Agreement or
          Consent Order:

               -  Terms of  agreement  or order  apply  (with EPA
               Administrator  having   final   dispute  resolution
               authority).

     6.   Impact of funds availability on achieving compliance and
          negotiating compliance schedules

C.   Enforcement actions by States

     1.   Under delegated or authorized Federal programs

     2.   Under State enforcement authority

D.   Citizen suits

E.   Enforcement  actions for  violations  at Federal  Facilities
     against non-federal parties


III. Criminal Enforcement Actions at Federal Facilities

A.   Criminal sanctions will be sought against employees at Federal
     Facilities for criminal violations of environmental statues
     in same manner  as is done against employees  at non-federal
     facilities.

B.   An employee is liable for all  criminal acts committed whether
     or  not  those  acts were  committed  within  the  scope  of
     employment.

C.   Two elements are required to establish criminal liability.

     l.   There  must   be  a  wrongful  act  prohibited  by  an
          environmental statute.

          - Lower level employees as well as higher level officials
          may be found liable.

     2.   The  employees  must  knowingly  violate  the  statute.
          Knowledge  can  be  found  by  direct or  circumstantial
          evidence, and it can be established if it is shown that
          there was "conscious  avoidance"  or "willful blindness"
          by  the  employee.    Ignorance  of   specific  regulatory
          requirements is not a defense.

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                      PERSONAL LIABILITY FOR
                ENVIRONMENTAL CRIMINAL VIOLATIONS
                       by Andrew Lauterback
              Regional Criminal Enforcement Counsel
               U.S.  Environmental Protection Agency
Environmental crimes fall within a category of offenses called
public welfare statutes.  In contrast with common law crimes
which are strictly construed, public welfare statutes are
construed to effectuate the regulatory purpose.  Because of this
fact, courts have allowed the use of inferential doctrines in
order to prove the elements of the crime; i.e. the responsible
corporate officer doctrine and conscious avoidance.  Furthermore,
"knowingly" as used in a public welfare statute does not require
proof of specific intent or knowledge of the law.  As stated by
the Supreme Court in United States v. International Minerals &
Chemical Corp.. 402 U.S. 558, 565 (1971):

     [W]here ... dangerous or deleterious devices or products or
     obnoxious waste materials are involved, the probability of
     regulation is so great that anyone who is aware that he is
     possession of them or dealing with them must be presumed to
     be aware of the regulation.


Employee and Corporate Officer Liability

A corporation often provides an effective shield for its
employees against exposure to civil suits.  Such is not the case
with criminal prosecution.  The general rule of law is that an
employee is liable for all criminal acts committed whether or not
those acts were performed within the scope of employment.  A
great deal of the litigation in environmental criminal law has
focused on the liability of corporate employees and officers.  It
is helpful to separate the discussion into two categories:  1)
the wrongful act; and 2) proof of knowledge.

1.   The Wrongful Act

     a.    Lower Level Employees.

Since most of the environmental statutes rely on a permit system
as their primary means of regulation, one issue that has been
tested is whether employees, who are not owners or operators and
therefore have no obligation to obtain permits, are criminally
liable for the environmental wrongdoing.  This issue was
considered in United States v. Johnson & Towers. Inc. et al.. 741
F. 2d 662 (3rd Cir. 1984).  The case involved a New Jersey

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company that repaired and overhauled large motor vehicles, and
used degreasers and other industrial chemicals in its process.
Workers had periodically pumped these chemical wastes from a
holding tank into a trench which flowed from the plant's property
into a tributary of the Delaware River.  The Court held that the
company's foreman and service manager can be criminally
prosecuted under the Resource Conservation and Recovery Act
(RCRA), 42 U.S.C. §§ 6901 et sea..  but only if they knew or
should have know that there had been no compliance with the
permit requirement.

A similar issue was the subject of a recent criminal case brought
under the Comprehensive Environmental Response, Compensation, and
Liability Act (CERCLA), 42 U.S.C. § 9601 et sea. United States v.
Carr, 880 F. 2d 1550  (2nd Cir. 1989).  Carr was the supervisor of
maintenance at Fort Drum, New York, and directed work crews to
dispose of waste cans of paint in an improper manner.  Under
Section 103 of CERCLA, it is a crime for any person "in charge of
a facility" from which a prohibited amount of hazardous substance
is released to fail to report such release to the appropriate
federal agency.  Carr failed to report the release.  His claim on
appeal was that he did not come within the reporting requirement
of Section 103 of CERCLA because he was not in charge of the
facility.  In upholding the conviction, the Second Circuit
stated: "[W]e believe Congress intended the reporting
requirements of CERCLA's section 103 to reach a person-even if of
relatively low rank-who, because he was in charge of a facility,
was in a position to detect, prevent and abate a release of
hazardous substances." at 1554.

     b.   Responsible Corporate Officer Doctrine.

It is well-settled that corporate officers are liable for their
own criminal acts, for the criminal acts they have others commit,
and when they aid and abet in the commission of a crime.  Arising
out to two Supreme Court cases, United States v. Park. 421 U.S.
658 (1975) and United States v. Dotterweich. 320 U.S. 277 (1943),
courts have recognized that in the area of public welfare
statutes, corporate officers can be held criminally liable if
they bear a "responsible relationship" to, or have a "responsible
share" in, the prohibited conduct.   The responsible corporate
officer doctrine allows liability for the physical acts of lower
level employees to be transferred to the corporate officer who
shares in the responsibility for that conduct.  It greatly
broadens the statute's reach by making one liable not only for an
affirmative act, but also for the failure to act.  Those
corporate agents vested with the appropriate power and
responsibility are required to devise whatever measures are
necessary to ensure compliance.  This is a powerful tool for a
prosecutor, especially when the statute's mens rea is negligence,
like the misdemeanor provisions in the Clean Water Act  (CWA), 33
U.S.C. § 1251 et seq.  In that context, the corporate officer can

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 satisfy  all  the  elements  of the offense for a CWA violation
 committed within his  or her area of responsibility, for which the
 officer  had  no knowledge, but should have known.  In an early CWA
 criminal cases,  United States v. Frezzo Bros.. Inc.. 602 F.2d
 1123  (3rd Cir. 1979), the government relied upon the responsible
 corporate officer doctrine in the prosecution of the co-owners of
 a mushroom farm  for the discharge of process waste without and
 NPDES permit.  The conviction was upheld.  "We have examined the
 judge's  charge and we perceive no error in the instruction to the
 jury on  this theory."  at 1130 n. 11.

 2.   The Element of Knowledge

     a.   Knowledge of What?

 Most of  the  environmental statutes make it a crime to violate
 their provisions knowingly.  But how far down the sentence does
 the modifier "knowingly"  travel?

 Most of  the  litigation of this issue has been in RCRA.  In United
 States v. Johnson & Towers, supra. the Court held that
 "knowingly"  applies to all the elements of the offense.
 Therefore, the government had to prove that the defendants knew
 that a disposal  was occurring, knew that the disposal was of a
 hazardous waste, and  knew that it was not in compliance with a
 RCRA permit.  Nevertheless the court sated, "[this] does not
 impose on the government  as difficult a burden as it fears."  741
 F. 2d at 669.  Such knowledge, the court held, can be inferred by
 the jury as  to those  individuals who hold the requisite
 responsible  positions with the corporation.

 The next case to confront this issue was United States v. Haves
 International Corporation. 789 F. 2d 1499 (llth Cir. 1986).  This
 case followed the reasoning articulated in Johnson & Towers and
 held that the government had the burden of proving knowledge as
 to every element of the offense.  Nevertheless, it went even
 further  in ruling on what evidence and inferences could be used
 by the government to prove its case.  The facts concerned an
 airplane refurbishing plant that in the course of its operation
 generated paint  and solvent waste.  The company contracted with a
 waste recycler to haul away all its waste on eight occasions.
 Government officials  subsequently discovered approximately six
 hundred  drums of waste generated by Hayes at seven different
 illegal  disposal sites.  The company and one of its officers were
 convicted of eight counts of knowingly transporting a hazardous
waste to an unpermitted facility.  On appeal, the defendants
 raised three arguments:

     1.   they did not commit a knowing violation because they
misunderstood the regulations;

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     2.   they did not know that the waste recycler did not have
a permit; and

     3.   they did not commit a knowing violation because they
believed that the waste was going to be recycled.

The court ruled against the defendants on all three arguments and
upheld the convictions.  The court held that RCRA was a public
welfare statute and "it is completely fair and reasonable to
charge those who choose to operate in such area with knowledge of
the regulatory provisions — [l]t would be no defense to claim
no knowledge that the paint waste was within the meaning of the
regulations; nor would it be a defense to argue ignorance of the
permit requirement."  786 F. 2d at 1503.  The court held that the
government was required to prove knowledge of the permit status,
but explained that this should not be difficult.  "A defendant
acts knowingly if he willfully fails to determine the permit
status of the facility."  786 F. 2d at 1504.  Moreover, the court
held that circumstantial evidence can be considered and the jury
can draw inferences based on the evidence; for instance, if the
price quoted to dispose of the waste is below the market price,
the jury can infer that the defendant knew that it was not being
taken to a licensed facility.  The defendants' third defense
concerning the belief that waste was recycled was similarly
rejected.  The court held that, with mistake of fact defenses
like this one, the belief had to be held in good faith, and there
was sufficient evidence for the jury to reject the defense in
this case.

The Ninth Circuit Court of Appeals has also recently ruled on the
issue whether a criminal conviction under RCRA requires knowledge
of the facility's permit status.  United States v. Hoflin. 880 F.
2d 1033 (9th Cir. 1989).  The court declined to follow the
holding in Johnson & Towers and Haves International and held that
the statute does not require proof that the defendant knew of the
facility's permit status.  On another issue, whether the
government had to prove that the defendant had knowledge of the
hazardous nature of the waste, the court did not depart from the
prior holdings.  The court held that the defendant did not have
to know that the waste was a regulated hazardous waste under the
applicable regulation, but the government had to prove that the
defendant knew that the waste had the potential to be harmful to
others or the environment.  See also United States v. Greer. 850
F. 2d 1447 (llth Cir. 1988).

     b.   How Is Knowledge Proved?

The term "knowingly" has escaped precise definition and remains a
flexible concept.  Because these offenses fall within a category
of laws called "public welfare" statutes, the courts have relaxed
the standards traditionally applied to the element of knowledge.

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There are two methods available by which knowledge can be
established.  The first and more traditional approach is actual
knowledge.  It is applied, by means of direct or circumstantial
evidence, to show that the defendant committed the act
voluntarily and intentionally, and not because of mistake,
accident or other innocent reason.

The second method by which knowledge can be established is with
conscious avoidance or willful blindness.  This doctrine allows
knowledge to be inferred when a defendant deliberately closes his
or her eyes to what would otherwise have been obvious or
available.

The purpose of "[this] theory is to impose criminal liability on
people who recognizing the likelihood of wrongdoing, nonetheless
consciously refuse to take basic investigatory steps."  United
States v. Rothrock. 806 F. 2d 318, 323 (1st Cir. 1986).   It has
been applied in several environmental prosecutions.  See United
States v. Hayes International, supra.  Moreover, courts have
demonstrated a great deal of latitude as to what is proper
evidence of conscious avoidance.  In at least one case,  although
not in the environmental field, failure to consult records
evidenced a reckless disregard for the truth, with a conscious
purpose to avoid learning the truth.  United States v. White. 765
F. 2d 1469 (llth Cir. 1985).

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CRIMINAL PROVISION IN FEDERAL ENVIRONMENTAL STATUTES

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                             CLEAN AIR ACT
     sc  741 3fc)  Penalties
"(1 )   Any person who knowingly:

      (A)   violates any requirement of an applicable implementation plan (i)
            during any  period of federally  assumed enforcement, or (ii) more
            than 30 days after having been notified by the Administrator under
            subsection  (a)(l) that such person is violating  such requirement,
            or

      (B)   violates or  refuses to comply  with any order under section 7419
            [Primary Nonferrous Smelter Orders] or under  subsection (a)
            [Admininstrative Orders] or (d) [Final Compliance Orders] of this
            section, or
       *
      (C)   violates section 7411 (e) [New Source  Performance Standards
            (NSPS)], section 741 2(c) [National  Emissions  Standards for
            Hazardous  Air Pollutants (NESHAPS)], or
      «
      (D)   violates any requirement of section 741 9(g) (as in effect before
            August 7, 1977) [smelters], subsection (b)(7), or (d)(5) of socvon
            7420 (relating to noncompliance penalties), or any requirement. M
            part B (relating to ozone),

    •  Shall  be punished by  a fine of not more  than $25,000 per day of
      violation, or by imprisonment for not more than 1 year or by both. If trie
      conviction  is for a violation committed after the first conviction of $(••;'•
      person under this  paragraph, punishment shall be by  a fine of not rr; '.•..-
      than $50,000 per day of violation or by imprisonment for not more than .:
      years or by both."

      Any person who knowingly makes any false statement, representation, or
      certification in any application, record, report, plan or other document
      filed or required to be maintained under this Act or who falsifies, tampers
      with, or knowingly renders inaccurate any monitoring device or method
      required to be maintained under this Act shall,  upon conviction, be
      punished by a fine of not more than $10,000 or by  imprisonment for not
      more than  6 months or by both.'

      For the purpose of this subsection the term 'person' includes, in addi-
      tion to the entities referred to in  section  7602(e) of this  title,  ar
      •esponsible corporate officer.

                               CAA (END)

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                          CLEAN WATER ACT
                                (CWA)
33U.S.C. I3i9fe) Criminal Penalties
[309(0]

"(1)   Negligent Violations • Any person who:

      (A)    negligently  violates  section  1311 [Effluent Limitations], 1312
            [Water Quality  Related Effluent Limitations],  1316  [National
            Standards of Performance], 1317 [Toxic and Treatment Effluent
            Standards],  1318 [Records and Reports; Inspections (Monitoring
            and Entry)], 1328 [Aquaculture] or 1345 [Disposal of Sewage
            Sludge] of  this  title, or any permit condition or  limitation
            implementing any of such sections in a  permit issued  under
            section 1342 [National Pollutant Discharge Elimination System
            (NPDES)] of this  title by the Administrator or by a State, or any
            requirement imposed in a  pretreatment program approved under
            section  I342(a)(3)  [Permits for  Discharge  of Pollutants
            (Certification)] or 1342(b)(8) [State Permit Programs (POTW Permit
            Conditions)] of this title or in a permit issued under section 1344
            [Permits of Dredged or Rll  Material] of this title by the Secretary of
            the Army or by a State; or

      (B)    negligently  introduces into a sewer system or  into a publicly
            owned  treatment works any  pollutant or hazardous substance
            which such person knew or reasonably should have known could
            cause  personal injury or property damage or, other than in
            compliance  with all applicable  Federal,  State,  or  local
            requirements or permits, which causes such treatment works to
            violate any effluent limitation or condition in  any permit issued to
            the treatment works under  section 1342  of  this title by the
            Administrator or State;

      Shall be punished by a fine of not less than $2,500  nor more than
      $25,000 per day of violation, or by imprisonment for not more than  1 year
      or by both. If a conviction of a person is for a violation committed after a
      first conviction of such person under  this paragraph, punishment shall be
      by  a  fine of not  more than $50,000 per day of  violation,  or by
      imprisonment of not more than 2 years, or by both."


 '.)    Knowing Violations - Any person who:

      (A)    knowingly violates section  1311,1312,1316,1317.1318,1328 or
            1345 of this  title, or any permit condition or limitation implementing
            any of  such  sections in a permit issued under section 1342 of this
            title by the Administrator or by  a State, or any requirement

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                                                                      3
                                                               CWA(2)

            imposed  in  a pretreatment program approved under section
            I342(a)(3) or 1342(b)(8) of this title or in a permit issued under
            section 1344 of this title by the Secretary of the Army or by a State;
            or
      (B)    knowingly introduces into a sewer system or into a publicly owned
            treatment works any pollutant or hazardous substance which such
            person knew or reasonably should  have known could cause
            personal injury or property damage or, other than in compliance
            with all applicable Federal, State, or local requirements or permits,
            which causes such treatment work to violate any effluent limitation
            or  condition in  a permit  issued  to the treatment works under
            section 1342 of this title by the Administrator or a State;

     Shall be punished by a fine of not less than $5.000 nor more than $50,000
     per day of violation or by imprisonment for not more than 3 years or by
     both.  If a  conviction of a person is for a violation committed after a first
     conviction  of such person under this paragraph, punishment shall be a
     fine of not  more than $100,000 per day of violation or by imprisonment of
     not more than 6 years, or by both."

"(3)   Knowing  Endangerment:

      (A)    General Rule • Any person who knowingly violates section 1311,
            1312. 1313,  1316, 1317, 1318, 1328,  or 1345 of this title, or any
            permit condition or limitation implementing any of such sections in
            a permit issued under section'! 342 of this title by the  Administrator
            or  by a State, or in a permit issued under section 1344 of this title
            by  the Secretary of the Army or by a State, and who knows at that
            time that he thereby places another person in imminent danger of
            death or serious bodily injury, shall, upon conviction, be subject to
            a fine of not more than $250,000 or imprisonment of not more than
            15 years, or both. A  person which is  an organization shall, upon
            conviction of violating  this subparagraph, be subject to a fine of not
            more than $1,000,000. If a conviction  of a person is for a violation
            committed after a first  conviction of such person under this
            paragraph, the maximum  punishment  shall be doubled with
            respect to both fine and imprisonment.

      (B)    Additional Provisions • For the purpose of subparagraph (A) of this
            paragraph:

            (i)     in determining  whether a defendant who is  an individual
                  knew that his conduct placed another person in  imminent
                  danger of death or serious bodily injury;

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                                                                     4

                                                               CWA (3)


                  (I)    the person is responsible only for actual awareness
                        or actual belief that he possessed;

                  (II)    knowledge possessed by a  person other than the
                        defendant  but not by the defendant himself may not
                        be attributed to the defendant;

                        except that in proving the defendant's possession of
                        actual knowledge, circumstantial evidence may be
                        used including  evidence that  the  defendant took
                        affirmative steps  to  shield  himself from relevant
                        information;

            (ii)    it is an affirmative defense to prosecution that the conduct
                  charged was consented to by the person endangered and
                  that the danger and conduct  charged were  reasonably
                  foreseeable hazards of:

                  (I)     an occupation, a business or a profession; or

                  (II)    medical  treatment  or medical  or  scientific
                        experimentation  conducted  by  professionally
                        approved methods and such  other person had been
                        made aware  of the risks involved prior to  giving
                        consent;

                        and such defense may  be  established under this
                        subparagraph by a preponderance of the evidence;

                  the term "organization" means a legal entity, other than a
                  government, established or organized for any purpose, and
                  such term includes  a  corporation,  company, association,
                  firm,  partnership,  joint stock  company, foundation.
                  institution, trust, society,  union or any other association of
                  persons; and

            (iv)    the term "serious bodily injury" means bodily injury which
                  involves a substantial risk of death,  unconsciousness,
                  extreme  physical  pain,  protracted   and  obvious
                  disfigurement, or protracted  loss  or impairment  of the
                  function of a bodily member, organ or mental faculty."

"(4)   False Statements • Any person who knowingly makes any false material
      statement,  representation, or certification in any application,  record,
      report, plan, or other document filed or required to  be maintained under
      this title or who knowingly falsifies, tampers with, or renders inaccurate

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                                                                      5
                                                               CWA(4)

      any monitoring device or method required to be maintained under this
      title shall, upon conviction, be  punished by a fine of not more than
      $10,000 or by imprisonment for not more than 2 years, or by both. If a
      conviction of a person is for a violation committed after a first conviction of
      such person under this paragraph, punishment shall be by a fine of not
      more than $20,000 per day of violation or by imprisonment of not more
      than 4 years, or by both."

"(5)   Treatment of Single Operational Upset - For purposes of this subsection,
      a single  operational upset which leads to  simultaneous violations of
      more than one pollutant parameter shall be treated as a single violation."

"(6)   Responsible Corporate Officer as "Person" - For the purpose of this
      subsection,  the term  "person" means, in addition to  the definition
      contained in  section 1362(5) of this title, any responsible corporate
      officer."

"(7)   Hazardous Substance Defined •  For the purpose of this subsection, the
      term "hazardous substance" means:

      (A)  any substance designated pursuant to section  l321(b)(2)(A) of this
          title,

      (B)  any element, compound, mixture, solution or substance designated
          pursuant to section 102 of the  Comprehensive  Environmental
          Response, Compensation and Liability Act of 1980 [section 9602 of
          Title 42],

      (C)  any hazardous waste having the characteristics identified under or
           listed pursuant to section 3001 of the Solid  Waste Disposal Act
            section 6921 of Title 42] (but not including any waste the regulation
           of which under the Solid Waste Disposal Act has been suspended
           by Act of Congress),

      (D)  any toxic pollutant listed under section 1317(a) of the title, and

      (E)  any imminently hazardous chemical substance or mixture with
           respect to which the Administrator has taken action  pursuant to
           section 7 of the Toxic Substances Control Act [section 2606 of
           title 15].

 aau.s.c. i32ifbl Oil and Hazardous Substance Liability
 "(5)   Any person in charge of a vessel or of an onshore facility or an offshore
       facility shall, as soon as  he has knowledge of any discharge of oil or a
       hazardous  substance from  such  vessel or facility  in violation of
       paragraph (3) of this subsection, immediately notify the appropriate

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                                                                6

                                                         CWA(5)


agency of the United States Government of such discharge. Any such
person:

(A)   in charge of a vessel from which oil or hazardous substance is
      discharged in violation of paragraph (3)(i) of this subsection, or
(B)   in charge of vessel from which oil or a hazardous substance is
      discharged in violation of paragraph (3)(ii) of this subsection and
      who is otherwise subject to the jurisdiction of the United States at
      the  time of discharge, or

(C)   in charge of an onshore facility or an offshore facility, who fails to
      notify immediately such  agency of such discharge shall, upon
      conviction, be fined not more than $10,000 or imprisoned for not
      more  than 1 year or both.  Notification received pursuant to this
      paragraph or information obtained by the exploitation of such
      notification shall not be  used against any such  person in any
      criminal case, except a prosecution for perjury or for giving a false
      statement."
                          CWA (END)

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                                                                     8
            COMPREHENSIVE ENVIRONMENTAL RESPONSE,
              COMPENSATION AND LIABILITY ACT OF 1980
                        (CERCLA) (SUPERFUND)
&% \\ s C 9603 Notification Requirements

[§103]

"(b)   Any person:

      •(3)   in charge of a facility from which a hazardous  substance is
            released, other than a federally permitted release, in a quantity
            equal to or greater than that determined pursuant to section 9602
            of this title who fails to notify immediately the appropriate agency
            of the United States Government as soon as he has knowledge of
            such release or who submits in such a notification any information
            which he knows to be false or misleading  shall, upon conviction,
            be fined in accordance with the applicable  provisions of title 18 of
            the United States Code or imprisoned for  not more than 3 years
            (or not more than 5 years in the case of a second or subsequent
            conviction) or both...."

"(c)   Within 180 days after the enactment of this title [June 10, 1981],  any
      person who owns  or operates or who at the time of disposal owned or
      operated, or who  accepted hazardous substances for transport  and
      selected, a facility  at which hazardous substances (as defined in section
      9601(14)(C) of this title) are or have been stored, treated or disposed of
      shall, unless such facility  has a p'ermit issued under, or has been
      accorded interim status under, subtitle C of the Solid Waste Disposal Act.
      notify the Administrator of the Environmental Protection Agency of the
      existence  of such facility,  specifying the amount and type of  any
      hazardous substance to be found there and any known,  suspected or
      likely releases of such substances from such facility.. .Any person who
      knowingly fails to notify the Administrator of the existence of such facility
      shall, upon conviction, be fined not more than $10,000 or impnsoned for
       not more than 1 year, or both....' Notification received pursuant to this
       subsection or information obtained by the exploitation of such notification
       shall not be used against any such person in any criminal case, except a
       prosecution for perjury of a false statement.

 "(d) (2)    . .it shall be  unlawful for any such person knowingly to destroy,
          mutilate, erase, dispose of. conceal or otherwise render unaya. able
          or unreadable  or falsify any records identified in paragraph  (1 of this
          subsection.  Any person who violates this paragraph  shall,  upon
          conviction, be  fined in accordance with the  applicable provisions of
          title 18 of the United States Code or imprisoned for not more than 3
          years (or not more than 5 years in the case of a second or subsequent
          conviction), or  both."

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                                                                     9

                                                           CERCLA{2)
42U.S.C. 9fii9fh)(p  Prescribing Forms and Procedures
Prescribing Forms and Procedures • The President shall prescribe appropriate
forms  and procedures  for claims filed hereunder, which  shall include a
provision requiring the claimant to make a sworn verification of the claim to the
best of his knowledge. Any person who knowingly gives or causes to be given
any false information as a part of any such claim shall, upon conviction, be fined
in accordance with the applicable provisions of title 18 of the United Stales
Code or imprisoned for not more than 3 years (or not more than 5 years in the
case of a second or subsequent conviction), or both.
                           CERCLA (END)

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                                                                   11


 EMERGENCY PLANNING AND COMMUNITY RIGHT-TO-KNOW ACT OF 1986

A? use. 11045  Enforcement
I§325]

(b)    Civil, Administrative and Criminal Penalties for Emergency Notification

      "(4)   Any  person who knowingly and willfully fails to provide notice in
           accordance with section 304 shall, upon conviction, be fined not
           more than $25,000 or imprisoned for not more than 2 years, or
           both (or in the case of a second or subsequent conviction, shall be
           fined not more than $50,000 or imprisoned for not  more than 5
           years, or both).'

(d)    Civil, Administrative and Criminal Penalties with Respect  to Trade
      Secrets

      "(2)   Any  person who knowingly and willfully divulges or discloses any
           information entitled to protection under section 322 shall, upon
           conviction, be subject to a fine of not more than $2
                               (END)

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                                                                      12
       FEDERAL INSECTICIDE, FUNGICIDE AND RODENTICIDE ACT
       P6U                      (FIFRA)
7 use. i36ifai Unlawful Acts

[§12(a)J

"In general

"(1)   Except as provided by subsection (b) [exemptions] of this section, it shall
      be unlawful for any person in any State to distribute, sell, offer for sale,
      hold for sale, ship,  deliver for shipment or receive and (having so
      received) deliver or offer to deliver, to any person:

      (A)   any pesticide which is not registered under section I36a of this
            title, except  as  provided by  section  I36d(a)(1)  [canceled
            registrations] of this title;

      (B)   any registered pesticide  if any claims made for it as a part of its
            distribution or sale substantially differ from any claims made  for it
            as  a  part  of  the statement required  in  connection  with its
            registration under section I36a of this title;

      (C)   any registered pesticide the composition of which differs at the
            time of its distribution or sale from its composition as described in
            the statement required in connection with its registration under
            section  I36a of this title;

      (D)   any pesticide which has  not been colored or discolored pursuant
            to the provisions of section 136w(c)(5) of this title;

      (E)   any pesticide which is adulterated or misbranded; or

      (F)   any device which is misbranded.

(2)   It shall be unlawful for any person:

      (A)   to detach, alter, deface or destroy, in whole or in part, any labeling
            required under this subchapter;

      (B)   to refuse to keep any records required pursuant to section I36f of
            this title, or to refuse to allow the inspection of any  records or
            establishment pursuant to section 136f or 136g of this title, or to
            refuse  to allow an  officer or employee  of the  Environmental
            Protection Agency to take a sample of any pesticide pursuant to
            section 136g of this title;

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                                                                 13

                                                          FIFRA(2)
(C)   to give a guaranty or undertaking provided for in subsection (b) of
      this section which is false in any particular, except that a person
      who receives  and  relies  upon a  guaranty authorized under
      subsection (b)  of this section may give a guaranty to the same
      effect, which guaranty shall contain, in addition to his own name
      and address, the name and address of the person residing in the
      United States from whom he received the guaranty or undertaking;

(D)   to use for his  own  advantage  or to reveal, other than to the
      Administrator,  or  officials  or employees of the Environmental
      Protection Agency or other Federal executive agencies, or to the
      courts, or to physicians, pharmacists and other qualified persons,
      needing such information for the performance of their duties, in
      accordance  with  such  directions  as  the  Administrator  may
      prescribe, any information acquired by authority of this  subchapter
      which is confidential under this subchapter;

(E)   who is a registrant, wholesaler, dealer, retailer or other distributor
      to advertise a product  registered under  this  subchapter for
      restricted use  without giving the classification of the product
      assigned to it under section  I36a of this title;

(F)   to make available for  use, or to use,  any registered  pesticide
      classified for restricted use  for some or all purposes other than in
      accordance with section  136a(d) of this title and any  regulations
      thereunder: Provided. That jt shall not be unlawful to sell, under
      regulations issued by the Administrator,  a restricted use pesticide
      to a person who is not a certified applicator for application by a
      certified applicator;

(G)   to use any registered pesticide in a manner inconsistent  with its
      labeling;

(H)   to use any pesticide which  is under an experimental  use permit
      contrary to the provisions of such permit;

(1)   to violate any  order issued under section 136k [stop sale, etc.
      orders] of this title;

(J)   to violate any suspension order issued under section 136
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                                                                       14

                                                                FIFRA(3)


       (L)    who is a producer to violate any of the provisions of section I36e
             [registration of establishments] of this title;

       (M)    to knowingly falsify all or part of any application for registration,
             application for experimental use permit, any information submitted
             to the Administrator pursuant to  section 136e  of this title, any
             records required to be maintained  pursuant to section  I36f of this
             title, any  report filed under  this subchapter or any  information
             marked as confidential and submitted to the Administrator under
             any provision of this subchapter;

       (N)    who is a registrant, wholesaler, dealer, retailer or other distributor
             to fail to file reports required by this subchapter;

       (0)    to add any substance to, or take any substance from, any pesticide
             in a manner that may defeat the purpose of this subchapter; or

       (P)    to use any pesticide in tests on human beings unless such human
             beings (i)  are fully informed of the  nature and purposes of the test
             and of any  physical and mental health consequences which are
             reasonably foreseeable  therefrom,  and (ii)  freely volunteer  to
             participate in the test."

7U.S.C. 1361  Penalties
[§14]

"(b)   Criminal Penalties:

      (1)    In general - any registrant,  commercial applicator, wholesaler,
            dealer, retailer or other  distributor who knowingly violates any
            provision of this subchapter shall be guilty of a misdemeanor and
            shall on conviction be fined not more than $25,000 or imprisoned
            for not more than 1 year or both.

      (2)   Private applicator - Any private applicator or other  person not
            included in paragraph (1) who knowingly violates any provision  of
            this subchapter shall  be guilty of  a  misdemeanor and shall, on
            conviction, be  fined not more than $1,000 or  imprisoned for not
            more than 30 days or both."

      (3)   Disclosure of information - Any person who, with intent to defraud,
            uses  or  reveals  information relative  to formulas of products
            acquired under the authority of section I36a of this title, shall be
            fined not more than $10.000 or imprisoned for not more than 3
            years or both."

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                                                               15

                                                         FIFRA(4)
(4)    Acts of officers, agents, etc. • When construing and enforcing the
      provisions of this subchapter, the act, omission or failure of any
      officer, agent or other person acting for or employed by any person
      shall in  every  case be also deemed to be the act, omission or
      failure of such person as well as that of the person employed.
                       FIFRA (END)

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                                                                    16

            HAZARDOUS MATERIALS TRANSPORTATION ACT
                                (HMTA)

49 U S.C. 1BQ4 Regulations Governing Transportation of Hazardous Materials
[§105]

(a)    General

      The Secretary may issue, in  accordance with the provisions of sec-
      tion 533 of title 5, United States  Code, including an opportunity  for
      informal oral  presentation,  regulations  for the safe transportation in
      commerce of hazardous materials.  Such regulations shall be applicable
      to any person who transports, or causes to be transported or shipped, a
      hazardous material, or who manufactures, fabricates, marks, maintains,
      reconditions,  repairs,  or tests  a package  or  container  which is
      represented, marked, certified or sold by such person for use  in the
      transportation  in commerce of certain hazardous  materials.  Such
      regulations may govern any  safety aspects of the  transportation of
      hazardous materials which  the  Secretary  deems  necessary  or
      appropriate, including, but not limited  to, the  packing, repacking,
      handling, labeling, marking, placarding and routing (other than with
      respect  to  pipelines) of hazardous  materials, and the manufacture,
      fabrication, marking, maintenance, reconditioning, repairing or testing of
      a package or container which is represented, marked, certified or sold by
      such person for use in the transportation of certain hazardous materials.

(b)    Cooperation

      In addition to other applicable  requirements, the Secretary shall consult
      and cooperate with representatives of the Interstate  Commerce
      Commission and shall consider any relevant suggestions made by such
      Commission, before issuing any regulation with respect to the routing of
      hazardous materials. Such Commission shall, to the extent of its lawful
      authority, take  such action as  is necessary or appropriate to implement
      any such regulation.

(c)    Representation

      No person shall, by marking or otherwise, represent  that a container or
      package for the transportation of hazardous material  is safe, certified or
      in compliance with  the requirements of this Act, unless it meets  the
      requirements of all applicable regulations issued under this Act.

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                                                                     17

                                                              HMTA (2)

49 u.S.C. 1809 Penalties

[§110]

(a)    Civil

      (1)   Any person (except an employee who acts without knowledge)
            who  is determined by  the  Secretary, after notice  and an
            opportunity for a  hearing, to  have knowingly committed an act
            which is a violation of a provision of this title or of a regulation
            issued under this title, shall be liable to the United States for a civil
            penalty. Whoever knowingly commits an act which is a violation of
            any regulation, applicable to any person who transports or causes
            to be transported or shipped hazardous materials, shall be subject
            to a civil penalty of not more than $10,000 for each violation and if
            any such violation is a continuing one, each day of  violation
            constitutes a separate offense.  Whoever knowingly commits an
            act which is a violation of any regulation applicable to any person
            who  manufactures, fabricates,  marks, maintains,  reconditions,
            repairs or tests a package or container which is represented,
            marked,  certified or sold  by such  person for use in  the
            transportation  in  commerce  of  hazardous  materials  shall be
            subject to a civil  penalty of not more than  $10,000  for each
            violation.  The  amount of any such penalty shall be assessed by
            the Secretary by written notice. In determining the amount of such
            penalty, the  Secretary  shall take  into account the  nature,
            circumstances, extent and gravity of the violation committed  and,
            with respect to the  person found to have committed such violation.
            the degree  of culpability, any history of prior offenses,  ability to
            pay.  effect on ability to continue to do business and such other
            matters a justice may require.

      (2)   Such civil penalty may be recovered in an action brought by the
            Attorney General on behalf of the United States in the appropriate
            district court of the United States or, prior to referral to the Attorney
            General, such civil  penalty may be compromised by the Secretary.
            The amount of such penalty, when finally determined (or agreed
            upon in compromise), may be deducted from any sums owed by
            the United States to the person charged. All penalties  collected
            under this subsection shall be deposited in the Treasury of the
            United States as miscellaneous receipts.

(b)    Criminal

      A  person is guilty of an offense if he willfully violates  a provision of this
      title or a regulation issued under this title. Upon conviction, such person
      shall be subject, for each offense, to a fine of not more than $25,000,
      imprisonment for a term not to exceed 5 years, or both.
                              HMTA (END)

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                                                                     18

   MARINE PROTECTION, RESEARCH AND SANCTUARIES ACT OF 1972
                                (MPRSA)

33U.S.C. 1411 Prohibited Acts

[§101]

"(a)   Except as may be authorized by a permit issued pursuant to section
      1412 or section 1413  of this title,  and subject to regulations issued
      pursuant to section 1418 of this title:

      (1)   no person shall transport from the United States, and

      (2)   in the case of a vessel or aircraft registered in the United States or
            flying the United States flag  or in the case of a  United States
            department, agency or instrumentality, no person shall transport
            from any location

      any material for the purpose of dumping it into ocean waters.

(b)   Except as may be authorized by a permit issued pursuant to section 1412
      of this title and subject to regulations issued pursuant to section 1418 of
      this title, no person shall dump any material transported from a location
      outside the United States (1) into the territorial sea of the  United States,
      or (2) into a zone contiguous to the  territorial sea of the  United States,
      extending to a line 12 nautical miles seaward from the base line from
      which the breadth of the territorial sea is measured, to the extent that it
      may affect the territorial sea or the territory of the United States."

33U.S.C. 1415 Penalties
[§105]

 (b)   In addition  to any action which may be brought under subsection (a)
      [civil] of this section, a  person who knowingly violates this subchapter,
      regulations  promulgated under this subchapter, or a permit issued under
      this subchapter shall  be fined not more than $50,000, or imprisoned for
      not more than 1 year, or both.

(c)    For ttap purpose of imposing civil penalties and criminal fines under this
      section, each day of a  continuing violation  shall constitute a separate
      offerfN  as  shall the dumping from  each of several vessels or other
      sources."
                             MPRSA (END)

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                                                                      19


                      NOISE CONTROL ACT OF 1972

& u s.C. 49Q9fal Prohibited Acts

[§10]

"Except as otherwise provided in  subsection (b) [exempted product] of this
      section, the following acts or the causing thereof are prohibited:"

"(1)   In the case of a manufacturer, to distribute in commerce any new product
      manufactured  after the effective date of  a  regulation  prescribed under
      section 4905 [Noise Emission Standards] which is applicable to such
      product, except in conformity with such regulation.'

"(3)   In the case of a manufacturer, to distribute in commerce any new product
      manufactured  after the effective date of  a  regulation  prescribed under
      section 4907(b)  [requiring  information  respecting  noise]  which is
      applicable to such product, except in conformity with such regulation."

"(5)   The importation into the United States by any person of any new product
      in violation of a regulation prescribed under section 4908 [new products
      imported] which is applicable to such product.'

"(6)   The failure or refusal by any person to comply with any requirement of
      section 4910(d) [Administrative Order] or 4912(a) [records, access,
      product availability] or regulations  prescribed under section 4912(a),
      4916 [Railroad Noise Emission Standards] or 4917 [Motor Carrier Noise
      Emission Standards]."

42U.S.C. 4910 Enforcement

[§11]

"(a)(1)       Any person who willfully or knowingly violates paragraph (1), (3),
            (5)  or (6) of subsection (a) of section 4909 of this title shall be
            punished by a fine of not more than $25,000 per day of violation or
            by imprisonment for not more than 1 year or by  both.  If the
            conviction is for a violation committed after a first conviction of
            such person under this subsection, punishment  shall be by a fine
            of not more than $50,000 per day of violation, or by imprisonment
            for not more than 2 years, or by both.'

(b)      For the purpose of this section, each day of violation of any paragraph
         of section 4909(a) of this title shall constitute a separate violation of
         that section.'
                               NCA (END)

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                                                                    20

        RESOURCE CONSERVATION AND RECOVERY ACT OF 1976
                                (RCRA)

42 U.S.C. 6928 Federal Enforcement
[§3008]

"(d)   CRIMINAL PENALTIES - Any person who:

      (1)    knowingly transports or causes to be transported any hazardous
            waste identified or listed under this subtitle to a facility which does
            not have a permit under this subtitle, or pursuant to Title 1 of the
            Marine  Protection,  Research and  Sanctuaries Act (33 U S C
            A 4 A A A  *     ft                                     1   ^^ • **• ^^»
            §1411 etseq.).

      (2)    knowingly treats, stores or disposes of any hazardous  waste
            identified or listed under this subtitle either

            (A)   without having obtained a permit under this subtitle or
                 pursuant to Title I  of the  Marine Protection,  Research and
                 Sanctuaries Act (33 U.S.C. §1411 etseq.) or

            (B)   in knowing violation of any material* condition requirement
                 of such permit; or

            (C)   in knowing  violation  of any  material  condition  or
                 requirement of any applicable interim status regulations or
                 standards;

      (3)    knowingly omits material  information or makes any false material
            statement or representation in  any application, label, manifest,
            record, report, permit or other document filed, maintained or used
            for purposes  of compliance with regulations  promulgated by the
            Administrator (or by a state in the case of an unauthorized state
            program) under this subtitle;

      (4)    knowingly generates,  stores, treats, transports, disposes of,
            exports or otherwise handles any hazardous waste or any used oil
            not identified or listed as a hazardous waste under this subtitle
            (whether such activity took place before  or takes place after the
           date of  the  enactment of this  paragraph)  and who knowingly
           destroys, alters, conceals or fails to file  any record, application,
           manifest, report or other document required to be  maintained or
           filed for purposes of compliance with regulations promulgated by
           the Administrator (or by a state in the case of an authorized state
           program) under this subtitle;

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                                                                     21

                                                               RCRA(2)
      (5)   knowingly  transports  without a  manifest  or  causes to be
            transported without a manifest, any hazardous waste or any used
            oil not identified or listed as a hazardous waste under this subtitle
            required by regulation  promulgated under this subtitle (or by a
            state in the case of a state program authorized under this subtitle)
            to be accompanied by a manifest;

      (6)   knowingly exports a hazardous waste identified or listed under this
            subtitle

            (A)    without the consent of the receiving country; or

            (B)    where there exists an international agreement between the
                  United States and the government of the receiving country
                  establishing notice, export and enforcement procedures for
                  the transportation, treatment,  storage and  disposal  of
                  hazardous wastes, in a manner which is not in conformance
                  with such agreement; or

      (7)   knowingly stores, treats, transports or causes to be  transported,
            disposes of, or otherwise handles  any used oil not  identified or
            listed as a hazardous waste under subtitle C of the  Solid Waste
            Disposal Act:

            (A)    in knowing  violation of  any  material condition  or
                  requirement of a  permit under this subtitle C; or

            (B)    in knowing  violation of  any  material condition  or
                  requirement of  any applicable regulations or  standards
                  under this Act."

Shall, upon conviction, be subject to a fine of not more than $50,000  for each
day of violation, or imprisonment not  to exceed 2 years (5 years in the case of a
violation  of paragraphs (1) and (2))  or both.  If the conviction is for a  violation
committed after a first conviction of such person  under this paragraph, the
maximum punishment under the respective paragraph shall be doubled with
respect to-both fine and imprisonment.

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                                                                    22

                                                              RCRA(3)


(e)   KNOWING ENDANGERMENT - Any person who knowingly transports,
      treats, stores, disposes of or exports any hazardous waste identified or
      listed under this subtitle or used oil not identified or listed as a hazardous
      waste under this subtitle in violation of paragraph (1), (2), (3), (4), (5) (6)
      or (7} of subsection (d) of this section who knows at that time that he
      thereby places another person in imminent danger of death or serious
      bodily injury, shall, upon conviction, be subject to a fine of not more than
      $250,000 or imprisonment of not more than 15 years,  or both.  A
      defendant that is an organization shall, upon conviction of violating this
      subsection, be subject to a fine of not more than $1,000,000.

(f)    SPECIAL RULES • For the purpose of subsection (e):

      (1)     A person's state of mind is knowing with respect to:

            (A)    his conduct, if he is aware of the nature of his conduct;

            (B)    an existing circumstance, if he is aware or believes that the
                  circumstance exists; or

            (C)   a  result of his conduct, if he is aware or believes that his
                  conduct is  substantially certain to cause danger of death or
                  serious bodily injury.

      (2)    In determining whether a defendant who is a natural person knew
            that his  conduct  placed another person in imminent danger of
            death or serious bodily injury: '

            (A)    the person is responsible only  for actual awareness or
                  actual belief that he possessed; and

            (B)    knowledge  possessed  by a  person other than the
                  defendant  but not by the defendant himself  may not be
                  attributed to the defendant;

      PROVIDED, That in proving  the defendant's possession  of actual
      knowledge, circumstantial evidence may be used, including evidence
      that R* defendant took affirmative steps to shield himself from relevant
      information.

      (3)    It is an affirmative defense to prosecution that the conduct charged
            was consented to by the person endangered and that the danger
            and conduct charged were reasonably foreseeable hazards of:

            (A)   an occupation, a business or a profession; or

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                                                              23

                                                      RCRA(4)


      (B)    medical treatment or medical or scientific experimentation
            conducted by professionally approved methods and such
            other person had been made aware of the risks involved
            prior to giving consent.

The  defendant  may establish  an  affirmative  defense under this
subsection by a preponderance of the evidence.

(4)    All general defenses, affirmative defenses and bars to prosecution
      that may apply with respect to other Federal criminal offenses may
      apply under subsection (e) and shall be determined by the courts
      of the United States according to the principles of common law as
      they may be interpreted in the light of reason and experience.

      Concepts of justification and excuse applicable under this section
      may be developed in the light of reason and experience.

(5)    The  term 'organization' means a legal entity,  other than  a
      government, established or organized for any purpose, and such
      term  includes a  corporation,  company, association, firm,
      partnership,  joint  stock company,  foundation,  institution, trust,
      society, union or any other association of persons.

(6)    The term 'serious bodily injury' means:

      (A)    bodily injury which invojyes a substantial risk of death;

      (B)    unconsciousness;

      (C)    extreme physical pain;

      (D)    protracted and obvious disfigurement; or

      (E)    protracted loss  or impairment  of the function  of a  bodily
            member, organ or mental faculty.'
                        RCRA(END)

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                                                                    26


          RIVERS AND HARBORS APPROPRIATION ACT OF 1899
                              (Refuse Act)

aa u s.c. 4oa
[PL55-425 §10]

      Obstruction of navigable waters generally; wharves;  piers, etc.;
excavations and filling in.

      The creation of any obstruction not affirmatively authorized by Congress,
to navigable capacity  of the waters of the United States is prohibited; and it shall
not be lawful to  build or commence the building of any wharf, pier,  dolphin,
boom, weir,  breakwater,  bulkhead,  jetty  or other  structures in  any port,
roadstead,  haven, harbor,  canal, navigable river or other water of the United
States, outside established harbor lines, or where  no harbor lines have been
established, except on plans recommended by the  Chief of Engineers and
authorized by the Secretary of the Army; and it shall  not be lawful to excavate or
fill, or in any manner to alter or modify the course, location, condition or capacity
of any port, roadstead, haven, harbor, canal, lake, harbor of refuge or inclosure
within the limits of any breakwater, or of the channel of any navigable water of
the United  States, unless  the work has been recommended by the  Chief of
Engineers and authorized  by the Secretary of the Army prior to beginning the
same.

33 U.S.C. 407
[PL55-425 §13]

"It shall not be lawful to throw, discharge or cause, suffer or procure to be
thrown,  discharged or deposited either from or out  of any ship, barge or other
floating craft of any kind or from the shore, wharf, manufacturing establishment,
or mill of any kind, any refuse matter of any kind or description whatever other
than that flowing from streets and  sewers and passing therefrom in a liquid
state, into any navigable water of the United States or into  any tributary of any
navigable water from which the same  shall float, or be washed into such
navigable water; and  it shall not be lawful to deposit, or cause, suffer or procure
to be deposited material of any kind in any place in the bank of any tributary of
any navigable water, where the same shall be liable to be washed into such
navigable water, either by ordinary or high  tides, or by storms or floods, or
otherwise  whereby navigation shall  or  may  be  impeded  or obstructed:
Provided That nothing herein contained shall  extend to, apply to or prohibit the
operations  in connection with the  improvement  of navigable  water or
construction of public works, considered necessary and proper by the United
States officers supervising such improvement or public work:  And  provided
further. That the Secretary of the Army, whenever in the judgment of the Chief of
Engineers anchorage and navigation will not be injured thereby, may permit the
deposit  of any material above mentioned in navigable waters within  limits to be
defined and under conditions to be prescribed by  him, provided application is
made to him prior to depositing such material; and whenever any permit is so

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                                                                     27

                                          RIVERS AND HARBORS ACT (2)


 granted the conditions thereof shall be strictly complied with, and any violation
 thereof shall be unlawful.'

 33 USC. 409

 (PL55-425 §15]

      Obstruction of navigable waters by vessels; floating timber; marking and
 removal of sunken vessels

      It shall not be lawful to tie up or anchor vessels or other craft in navigable
 channels  in such a manner as to prevent  or obstruct the passage of other
 vessels or craft; or to voluntarily or carelessly sink, or permit or cause to be
 sunk, vessels or other craft in navigable channels; or to float loose timber and
 logs or to float what is known as "sack rafts or timber or logs" in streams or
 channels  actually navigated by steamboats in such  manner as to obstruct,
 impede or endanger navigation.  And whenever a vessel, raft or other craft is
 wrecked and sunk in a navigable channel, accidentally or otherwise, it shall be
 the duty of the owner of such sunken craft to immediately mark it with a buoy or
 beacon during the day and a lighted lantern at night, and to maintain  such
 marks until the sunken craft is removed or abandoned and  the neglect or failure
 of the said owner so to do shall be unlawful; and it shall be the duty of the owner
 of such sunken craft to commence the immediate removal of the  same and
 prosecute  such removal diligently and failure to do so shall be considered as an
 abandonment  of such craft and subject the same to removal by the United
 States as provided for in sections 411 to 416,418 and 502 of this title.

 33U.S.C.  411
 [PL55-425§16]

 "Every person and every corporation that shall violate, or that shall knowingly
 aid, abet, authorize or instigate a violation of the provisions of sections 407,408
 and 409 of this title shall be guilty of a misdemeanor, and on conviction thereof
 shall be punished by a  fine not exceeding  $2,500  no less than $500, or by
 imprisonment (in the case of a  natural person) for not less than 30 days nor
 more than 1 year, or by both such fine  and imprisonment, in the discretion of the
court onerhatf of said fine to be paid to the  person or persons giving information
which shrifrtead to conviction.*

 33 U.S.tt 413

 [PL55-425 §16]

 "Duty of United States attorneys and other Federal officers in enforcement of
 provisions; arrest of offenders.

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                                                                   28

                                            RIVERS AND HARBORS ACT
The Department of Justice shall conduct the legal proceedings necessary to
enforce the previsions of selections 401, 403, 404, 406, 407, 408, 409, 411
and 412 of this title; and it shall be the duty of United States attorneys to
vigorously prosecute all offenders against the same whenever requested to do
so  by the Secretary of the  Army or by  any  of the officials  hereinafter
designated, and it shall furthermore be the duty of said United States attorneys
to report to the Attorney General of the United States the action taken by him
against offenders so reported, and a transcript of such  reports shall be
transmitted to the Secretary of the Army by the Attorney General; and for the
better enforcement of the said provisions and to facilitate the detection and
bringing to punishment of such offenders, the officers and agents of the United
States in charge of river and  harbor improvements,  and the  assistant
engineers and inspectors employed under them by authority of the Secretary
of the Army, and the United States collectors  of customs and other revenue
officers shall have power and authority to swear out, process and to arrest and
take into custody, with  or without process, any person or persons who may
commit any of the acts or offenses prohibited by the said sections, or who may
violate any of the provisions of the same:  Provided. That no person shall be
arrested  without process for any offense not  committed  in the  presence of
some one of the aforesaid officials:  And provided further. That whenever any
arrest is  made under such sections, the person so arrested shall be brought
forthwith before  a  magistrate, judge  or court  of the  United  States for
examination of the offenses alleged against him; and such magistrate, judge or
court shall proceed in respect thereto as authorized by law in case of crimes
against the United States."
                         REFUSE ACT (END)

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                                                                             29
                      SAFE DRINKING WATER ACT
                                (SDWA)
42 USC 300 h-9fal fbl Enforcement of Program [UIC Program]
[§1423(a),(b)J

(a)(1)  Whenever the Administrator finds, during a period during which a State
       has primary enforcement responsibility for underground water sources
       [within the meaning of section 300h-9(b)(3) of this title or section 300h-
       4(c) of this title] that any person who is subject to a requirement of an
       applicable  underground  injection control program in such State is
       violating such requirement, he shall so notify the State and the person
       violating such  requirement.   If beyond  the thirtieth day after  the
       Administrator's  notification the State has not commenced appropriate
       enforcement action, the Administrator shall issue an order under
       subsection (c) requiring the person to comply with such requirement or
       the Administrator shall commence a civil action under subsection (b).

  (2)   Whenever the Administrator finds during a period during which a State
       does  not  have primary enforcement  responsibility for underground
       water  sources  that any  person subject to any requirement of  any
       applicable  underground  injection control program in such State is
       violating such requirement, the Administrator shall issue an order under
       subsection (c) requiring the person to comply with such requirement or
       the Administrator shall commence a civil action under subsection (b).

(b)     Civil and Criminal Actions - Civil actions referred to in  paragraphs (1)
       and (2) of subsection (a) shall be brought in the  appropriate United
       States district court.  Such court  shall have jurisdiction to require
       compliance with  any requirement of an applicable  underground
       injection program or with an order issued under subsection (c).   The
       court  may  enter such judgment as protection  of public health may
       require.  Any person who violates any requirement of an  applicable
       underground injection  control program  or an  order  requiring
       compliance under subsection (c):

       (1)  shall  be subject to  a civil penalty of not more than $25,000 for
           each day of such violation, and

       (2)  if such violation is willful, such person may, in addition to or in lieu
           of the civil penalty authorized by paragraph  (1), be imprisoned for
           not more than 3 years, or fined in accordance with title 18 of the
           United States Code, or both.

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                                                                            30

                                                             SDWA (2)
49 u.S.C. 3QQM Tampering with Public Water Systems

[§1432]

(a)    Tampering - Any person who tampers with a public water system shall be
imprisoned for not more than 5 years, or fined in accordance with title 18 of the
United States Code or both.

(b)    Attempt or Threat • Any person who attempts to tamper, or makes a threat
to tamper, with a public drinking water system be imprisoned for not more than 3
years, or fined in accordance with title 18 of the United States Code, or both.

(c)    Civil  Penalty  • The Administrator  may bring  a civil action in the
appropriate United States district court (as determined under the provisions of
title 28 of the United States Code) against any person who tampers, attempts to
tamper, or makes a threat to tamper with a public water system. The court may
impose on  such person  a civil penalty of not more than $50,000 for such
tampering or not more than $20,000 for such attempt or threat.

(d)    Definition of "Tamper" • For purposes of this section, the term "tamper"
      means:

      (1)   to  introduce  a contaminant into a public water system with the
            intention of harming persons; or

      (2)   to otherwise  interfere with the operation of a public water system
            with the intention of harming persons.
                             SDWA (END)

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                                                                             32
                   TOXIC SUBSTANCES CONTROL ACT
                                 (TSCA)

 15US.C. 2614  Prohibited Acts

 t§15]

 "It shall be unlawful for any person to:

       "(1)  fail or refuse to comply with

            "(A)  any rule promulgated or order issued under section 2603
                  [Testing of Chemical Substances and Mixtures]."

            "(B)  any requirement prescribed by section 2604 [Manufacturing
                  and Processing Notices] or 2605 [Regulation of Hazardous
                  Chemical Substances and Mixtures]."

            "(C)   any rule promulgated or order issued under section 2604
                  or 2605."

      "(2)   use for commercial purposes a chemical substance or mixture
            which  such person  knew  or  had reason  to   know  was
            manufactured, processed or distributed in commerce in violation of
            section  2604 [Manufacturing  and Processing  Notices] or 2605
            [Regulation of Hazardous Chemical  Substances or Mixtures], a
            rule or order under section  2604 or  2605, or an order issued in
            action brought under section 2604 or 2606 [Imminent Hazards]."

      "(3)   fail or refuse to:

            (A)    establish or maintain records

            (B)    submit reports, notices or other information

            (C)    permit access to or copying of records, as required by this
                  Act or a rule thereunder;"

      "(4)   fail or refuse to permit entry or inspection, as required by sec-
            tion 2610.'

isu.s.cr2flis Penalties
[§16]

"(b)   Criminal - Any person who knowingly or willfully violates any provision
      of section  2614 shall, in  addition to or in lieu of any civil penalty which
      may be  imposed  under subsection (a) of this section for such violation,
      be subject, upon conviction, to a fine of not more than $25,000 for each
      day of violation, or to imprisonment for not more than 1 year, or both."
                              TSCA (END)

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 Pollution
Prevention
     -VII-

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  Pollution Prevention Packet
Available as a Handout Document

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                            Pollution Prevention

                                 James Edward
                                 Mark Mahoney
VII-l

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     Mark Mahoney is co-manager of the Region I Pollution
Prevention Program.   The program promotes a preventive approach
to environmental management in all of EPA's activities.  Mr.
Mahoney is also involved in the development of EPA's strategic
planning process.  He has been with EPA for three years and has
previously worked on the Comparative Risk Evaluation Project and
the Lead-in-Soil Demonstration Project.  Prior to joining EPA.
Mr. Mahoney worked for ten years in anti-poverty programs on
issues related to housing, energy and legal servicesT  Mr.
Mahoney holds a Bachelor's Degree from Boston University and a
Master of Arts in Public Policy Duke University.

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Notes

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Notes

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Water Management
Division Programs
      -VIII-

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Introduction to Water Management
             Division Programs-
  Overview of the Clean Water Act
  and the Safe Drinking Water Act
                       Larry Brill

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                       LARRY BRILL
     1988 - Present - Chief, Water Compliance Branch
            Responsibilities include insuring compliance
            with the requirements of the Clean Water Act.

1986-1988 - Chief,  Municipal Facilities Branch
            Responsibilities included the overseeing of the
            Federal Construction Grants Program.

1985-1986 - Chief,  Water Quality Section
            Responsibilities included managing the water
            quality standards and the wetland protection
            program.

1980-1985 - Chief,  Water Compliance Section
            Responsibilities included insuring compliance with
            the NPDES permit program.

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               INTRODUCTION TO EPA WATER  PROGRAMS
    1. The Water Management Division is organized into 4
Branches
        Groundwater Management & Water Supply Branch
        Water Quality Branch
        Wastewater Management Branch
        Water Compliance Branch
    2. State role and relationship
        Inspections, Compliance, and Enforcement
    3.  New Initiatives
         Multi-media inspections and enforcement
         NPDES and RCRA
         Deal with the whole environment
    4.  Geographic Initiatives
          Focus on a given area or resource
          Merrimack River, Blackstone River,
          National Estuary Program- Buzzards Bay, Casco Bay
          Long Island Sound, Mass Bay, Narragansett Bay

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                         NPDES Permit Program
                     New Toxicity Requirements
                           Storm Water Permits
                                 Pretreatments
                              Kevin McSweeney
VIII-2

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Edward K. McSweeney
               Bio Sketch
Education
Background
  BSCE Tufts University           1964
  MSCE Northeastern University    1974

  Officer in the USAF             1964-1968

  Federal Water Pollution         1968-1970
    Control Administration

  Registered Professional Engineer in
  Massachusetts since  1972
Current Position
1989-Present
1982-1989
1980-1982
1975-1980
1970-1975
   US EPA Region I, Boston
   Chieft Wastewater Management Branch

Responsible for permit issuance, construction
grants to municipalities and state revolving
funds

Responsible for water enforcement and
permit issuance

Responsible for development of water
quality standards and studies

Responsible for construction grants to
municipalities

Responsible for control of air and water
pollution at federal  facilities  in New  England

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I. NPDES Program

   A brief overview of the National Pollutant Discharge  Program
   required under the Clean Water Act.

          A.  Permit Development and Issuance
          B.  Types of Limits

              1. Technology
              2. Water Quality
              3. State Certification

          C.  Types of Permits

              1. Industrial
              2. Municipal
              3. General
              4. Federal

II. Region I Toxicity Strategy

    A discussion of the history  of  EPA's  toxicity  policy with
    emphasis on the approach used in Region I to include strategy,
    protocol, results to date, leasons learned, costs, and
    toxicity reduction evaluations.
III. Stormwater

    A status update and overview of  the new Stormwater regulations
    currently being developed by EPA.

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 Regulation for-  Storm  Water
I. Definition of Storm Water	defined as
surface   runoff;   no    non—storm    -water
discharges are included in tine definition.
II.    Definition    of    large   and   medium
municipal  separate  storm  sewer  system—
large   and  medium   municipal   separate
storm   sewer  systems  are  required:  file
permit applications if  located  within  the
boundaries  of  an incorporated place and
serve  a  population  of 1OO,OOO  or more, or
located  in  counties  with  unincorporated
urbanized areas  over 1OO.OOO.
III.  Definition   of  Discharge   "Associated
With  Industrial Activity"	Rule  defines
eleven     categories:     manufacturing;
construction sites;  RORA Subtitle C and D;
transportation  facilities;  POTWs;  oil,  gas
and mining;  junkyard.
IV.  Permit  Application  Requirements  for
I_arge and  Medium Municipal Systems	
Part 1:  Identification of sources, outfalls,
legal  authority,  current  practices,  field
screening for illicit connection	Part  2:
quantitative   sampling,   description   of
management programs.
V.  Application Requirements for Industry
	Description   of   material   handling,
location   of   material    storage,    spills,
topographic map, sampling of  storm event
for   selected  pollutants.     Construction
sites  describe  management practices  and
topography of site and identify receiving
•waters.

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VI.  General Permits	Preamble explains
•that  most  in dl vis trial  discharges  -will  be
covered  by  a  general  permit  including
dischargers to municipal system.
VII. Group Applications	industries may
file   a   group  application   ±f  suff iciently
similar.  Ten  percent of tine  facilities must
do  sampling.   Model individual  permits or
general    permits    v^ill    be    developed
accordingly.
VIII.  Oil, Gas and Mining  Operations	Oil
and  gas  facilities are required  to submit
a  permit  application  if there  has  been  a
discharge of oil or  hazardous  substances
in  excess of  reporting  quantities  under
the OWA  or  OEROLA.    Mining operations
must submit applications if  storm -water is
contaminated   by   contact   with   mining
materials.
IV.  Storm  "Water  Discharge  Sampling	
Where sampling is required, rule  requires
sampling first flush  -where possible  and
flo-w -weighted composite sampling during
entire or first three  hours of rain event.
Individual industrial applications require
sampling of  one rain  event.    Individual
industrial  applications  require   sampling
of   cane   rain   event;   municipalities  s,r*e
required to  sample three rain events  at  5
to 1O  representative  outfalls  for  priority
pollutants.     Director   has   discretion  to
modify   requirements   -where   necessary
(e.g.  arid  regions)

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  EPA REGION I
EFFLUENT TOXICITY
   REGULATION

-------
                            Region  I
                       Water (Duality Hased
                        Toxicit.y Controls

1984 -  EPA Region I  began toxicity testing

          o    A few permits issued with WET testing  requirements
          o    EPA  Jabs  performing  WET  testing  at  high  risk
               location
          o    Draft Technical Support Document presented to Region

1985 -  Some permits issued with WFT  monitoring and  limits  to
        dischargers known to have toxic discharges.

          o    Primarily Acute Testing
        Technical  Support Document issued

1986 -  A few permits  issued with chronic  WET  monitoring and
        Ii mi ts.

        Basic Policy - Negative Acute Test was sufficient to remove
        discharge from WET requirements.

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1988 -  National  Meeting to Review TSD in  Wi11iamsbur*,  VA.

          o    Nobody following  TSD
          o    1  Acute teat meant  nothing
          o    Municipals have high degree of  variability
          o    Statistical  approach  modified  due  to  costs
               practical considerations.

1989 -  New TSD drafted
        304(1)  regulations promulgated
        Region  I  policy developed  based on new Draft TSD

          o    Chronic tests for high risk 7Q10
          o    Acute tests for low risk 7Q10
          o    Risk based on dilution available
          o    All  municipals get  limits
          o    Most industrials  get limits

        Human Health effects Potency/Exposure/Bioaccumalation
and
1990 -   Draft  TSD released for  comment  to be  issued in Nov.
        Region Protocols  issued ApriJ  1990
        Region Enforcement of Protocols July  1990

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1988  -   National  Meeting  to  Review  TSD  in  Wi11iamsburg,  VA.

          o     Nobody  following TSD
          o     I  Acute test  meant nothing
          o     Municipals have high degree of  variability
          o     Statistical approach  modified  due   to  costs
               practical  considerations.

1989  -   New  TSD drafted
        304(1)  regulations promulgated
        Region  I  policy developed based on new Draft TSD

          o     Chronic tests for  high risk 7Q10
          o     Acute  tests for  low  risk 7Q10
          o     Risk based on dilution available
          o     All municipals get limits
          o     Most industrials get limits

        Human Health  effects Potency/Exposure/Bioaccumaiation
                                                      and
1990 -
Draft TSD released for comment to be issued in Nov.
Region Protocols issued April  1990
Region Enforcement of Protocols July 1990

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- Regulatory Requirements
          - 122.44 signed on  5/26/89;  Federal  Register 6/2/89,
            (54Fed Reg 23868)

          - 40CFR 122.44
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                               TOXICITY STRATEGY/MUNICIPAL  PERMITS
DILUTION

SAMPLING BVENTS/YR

TOXICITY TESTS:

 FRFSUWATKR
 MARINR


NO. SPECIES:

 FRESHWATER
 MARINR
HIGH RISK
=50X
CBRIODAPHNIA
FATHEAD  MIN

ARRACTA
CIIAMPIA
MYS I D
SILVERS IDE
CER10DAPHNIA
FATHRAD MTN

MYS ID
SILVERSIDE
CBRIODAPHNIA
FATHRAD  MIN

MYS ID
SILVERS IDE
* 7-DAY CHRONIC/MODIFIED ACUTR
   rRKCKI VIN(;  WATIvIt CONCRNTKAT I ON

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                      TOXICITY TESTS
Species
Test Type
Assessment of
Freshwater
Ceriodaphnia dubla
  (daphnid)
Pimphales promelas
  (fathead minnow)
 7 day Chronic/modified
    acute

48 hr acute

 7 day Chronic/modified
    acute
                     48  hr acute
 lethality
 sur. repro.

 lethality

 lethality
 sur. larval
 growth

 lethality
Marine
Arbacia punctulata
  (sea urchin)

Champia parvula
  (algal community)
Cyprinodon
varieqatus
  (sheepshead minnow)

Mysidopsis bahia
  (mysid shrimp)
 1 hr Chronic
 2 day Chronic
 7 day Chronic
 definitive 48 hr Acute
  or 96 hr Acute
Menidia beryllina     definitive 48 hr Acute
   (inland silverside)
  fertilization
  test

  reproduction
  (cystocarp
   development)

  survival  and
  larval  growth
  lethality
                           lethality

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                   TOXICITY TEST

                    END POINTS



                 Acute



                    NOEC - A

                    LC50
                  Chronic
                    NOEC - C

                    LOEC

                    MATC
Definitions of End Points


LC50:  % Effluent concentration that is lethal to 50  par cent
       of test organisms.


NOEC:   (Mo  observed  effect  concentration) is  the  highest  %
       effluent concentration in  which  90%   (acute)  or eo%
       (chronic)  of the test organisms survive.


LOEC:   (lowest observed effect concentration) is lowest  %
       effluent concentration in which exposed test organisms
       experience adverse effects.


MATC:  Maximum allowable toxicant concentration - geometric
       mean of the NOEC t LOEC  (chronic) values.

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                 MERRIMAC  RIVER
                      TOXICITY 1EST1NO
INDUSTRIAL
MUNICIPAL
 1771 Toxicmr PRESENI
  ALL TESTS

CATEGORY
MUN w/PRT
                             NOT TOXIC
MUN wc/PRT

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    TOXICITY LIMITATATIONS
             FROM PCS
   APPROXIMATE # OF MUNICIPAL PERMITS

              MA-32
              ME- 10
              NH- 14

            TOTAL - 56
   APPROXIMATE # OF INDUSTRIAL PERMITS

              MA-32
              ME- 1
              NH - 4

            TOTAL - 36
              GRAND TOTAL = 921
                 (of about 334 Major permits)
'At the end of Fy 90 we will likely see a noticeable increase in
the number of permits with toxicity limits as a result of the large
number of permits issued the last month of each Fy.

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               INVALID TESTS
* Approximately 70% of test results were not meeting
  protocol.
   Region I Biomonitoring Protocols sent to

        - all industrial and municipal majors
        - 20 commonly used analytical labs
        - Program directors in 6 N.E. states
   Accompanying coverletter highlights

        - adherence to protocols
        - common pitfalls
        - testing chlorinated samples (don't)
        - warning of requirement for retest if invalid
         results received after July 1, 1990.

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             COMMON  PITFALLS IN TOXICITY REPORTS

1.   No sample chain of custody,
2.   Incorrect sample type (grab vs. composite);
3.   Sample age exceeded;
4.   Method for adjusting salinity not reported;
5.   Test organisms too old;
6.   Freshwater species used in marine effluents (vice versa);
7.   Raw data/bench sheets not included;
8.   Data summary tables  not consistent with report text;
9.   Performed toxicity tests other than those specified in permit;
10.   Dldnt specify if sample was chlorinated or dechlorinated;
11.   Dechlorination method not defined;
12.   Resubmittal of test data for another monitoring period!!;
13.   Inappropriate statistical analysis;
14.   Test duration exceeded;
15.   No QA assessment (I.e. no Reference Toxicant Testing);
16.   Protocol required chemical/physical analyses not provided;
17.   Chemical/physical sampling and analysis not consistent with 40 CFR Parts
     122 and 136;
18.   Dilution series didn't include permitted effluent concentrations;
19.   Use of inappropriate dilution water;
20.   Dilution series effluent concentrations not reported.

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         REGIONAL TOXICITY
           ENFORCEMENT
Applies to Toxicity Reports received after July 1, 1990.
Section 308 Letters for

     - Failure to report
     - Invalid test submission (requires repeat)
     • Certain effluent violations
Administrative Order

     • Initiation of TIE/TRE

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            TOXICITY RESULTS
Prior to July 1. 1990
       Approximately 70% invalid tests
After July 1. 1990
       Number Reviewed 1 = 43
       Number Invalid     = 6  (14%)

       Number Valid      = 37 (86%)
       Valid in Violation    = 15 (41%)
      1 Number of actual effluent samples subject to
       toxicity testing,  usually using  two  or  more
       species.

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   TOXICITY REDUCTION EVALUATIONS (TREs)
Toxicity Identification Evaluations (TIEs)
     Phase I
       Toxicity Characterization Procedures
           pH adjustment
           aeration
           filtration
           C18 solid phase extraction
           oxidant reduction
           EDTA chelation
           graduated pH
     Phase II
       Toxicity Identification Procedures
     Phase III
       Toxicity Confirmation Procedures

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       REGION  I TOXICITY REDUCTION EVALUATIONS
MWRA
     Status:
           Phase I TIE completed August 1989.

     Results:
           Phase I indicated that a variable component of the acute toxicity related
           chlorine while the remainder appears due to surfactants.
SESD
     Status:
           Phase I TIE underway.

     Results:
           Initial results indicate that aeration and C,B solid phase extraction redu
           toxicity significantly.
New Bedford
      Status:
           Starting Phase I TIE.

      Results:
           Initially tried to locate toxicity by sampling at critical locations in the collects
           system.  The results were inconclusive and they are now undertaking Pha
           I of a conventional TIE.
Wyman-Gordon Company

      Status:
           Starting Phase I TIE.

      Results:
           None to date.

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                   Compliance and Enforcement
                                     Larry Brill
VIII-3

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       FEDERAL FACILITIES/NPDES COMPLIANCE TALK

1.  Number of Major and Minor "Federal Facilities in Region 1
2.  NPDES Permit Monitoring Requirements
  a. Testing, Monitoring, Reporting requirements(OVERHEAD)
  b. Tracking of DMR submittal
3.  NPDES Enforcement
  a. violation of permit conditions
  b. State/EPA inspection »/sampling
  c. Negotiating a Consent Decree
  d. Content of a Consent Decree (OVERHEAD)
     Schedule to return to compliance
     includes identifying causes of non-compliance
              hiring a consultant engineer
              implement schedule based on funding commitment
     KQ involvement

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                                                                                     IMIEI NUUCMEII DIVmaa

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11/02/90
FNMS
                       r********i
                                               NPDES FEDERAL FACILITIES IN REGION 01
                                      (•••••*tt*****«t*»***i**************************«*****«*»
                               NPIO
                                        MAOI CYNM
                                                                  RWAT
                                                                   PAGE         1
                                                 *******************«t**********t
                                                         PERD      PERE
                                                         04/30/76  04/30/80
                                                         07/12/74
                                                         07/12/74  07/01/77
                                                         O6/12/75

                                                         08/26/88  OS/26/93

                                                         06/17/75
                                                         06/17/75
                                                         06/17/75
                                                         O3/29/75  01/01/SO
                                                                                                      01/19/81  01/19/86
                                                                                                      07/29/85  07/29/90
                                                                                                      07/30/75  07/30/80
                                                                                                      12/23/81  12/23/86

                                                                                                      05/31/79  04/30/84
                                                                                                      O6/14/79  05/31/84
                                                                                                      06/14/79  05/31/84
                                                                                                      07/23/82  07/23/87
(US) COAST GUARD RES & DEV CTR  CT0021636
(US) COAST GUARD-NEW LONDON (B  CT0090123
(US) COAST GUARD-NEW LONDON (N  CT0090115
(US) HAVAL SUB BASE-CONIG TWR   CT009O018
(US) KAMAN AEROSPACE CORP      CT0090107
(US) MILFORD LABORATORY-NORTHE  CT0090182
(US) NAVAL & MC RES CTR-NEW HA  CT0090158
(US) NAVAL SUB BASE NEW LONDON  CT009O026
(US) NAVAL SUB BASE NEW LONDON  CT0090034
(US) NAVAL SUB BASE NEW LONDON  CTOO9O042
(US) NAVAL SUB BASE-NEW LONDON  CTOOO3921
(US) NAVAL SUB BASE.NEW LONDON  CT009013I
(US) NAVAL UNDERWATER LABS     CT0023523
(US)ARMY-                      C T0023884
AVCO LYCOMING-US ARMY ENGINE P  CT0002984 M
KNOLLS ATOMIC POWER LAB-G E CO  CT0002020
US POSTAL SERVICE              CT0090212
USS FULTON                     CT0021385
(US) CO COMMUNICATIONS STATION  MAO090450
(US) CG LS-EASTERN POINT       MA0090492
(US) CG-MENEMSHA               MA0090590
(US)CG LTSA-CAPE ANN           MA0090654
ARMY NATIONAL GUARD/OMS01      MA0030252
ARMY NATIONAL GUARD/CMS*10     MA0030317
ARMY NATIONAL GUARD/OMS02      MA0030341
                                             NEW LONDON
                                             NEW LONDON
                                             NEW LONDON

                                             BLOOMFIELD
                                             MILFORD
                                             NEW HAVEN
GROTON BORO

NEW LONDON
EAST WINDSOR /T/
STRATFORD
WINDSOR (MDC)
HARTFORD
NEW LONDON
MARSHFIELD
GLOUCESTER
MENEMSHA
GLOUCESTER
BOSTON MDC
CAMBRIDGE PHASE II
WESTFIELD
THAMES RIVER
  DISCHARGE TERMINATED
LONG ISLAND SOUND
 GROTON STA
MILL BROOK
WEPAWAUG RIVER
 NEW HAVEN MTP
 GROTON STP
 GROTON STP
 GROTON STP
THAMES RIVER
GOSS COVE (THAMES RI
THAMES RIVER
CONNECTICUT RIVER TRIBUTARY
HOUSATON1C RIV
FARMINGTON RIVER TRIE
CONNECTICUT RIVE
 NEW LONDON
MASSACHUSETTS BAY
MASSACHUSETTS BAY
FRESH POND
ATLANTIC OCEAN
GROUND DISCHARGE
STORM DRAIN
STORM DRAIN

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1 1 /02/90
                                                NPDES FEDERAL  FACILITIES IN REGION 01
                                                                                 PAGE:
                                                                                                                                 OL
FNMS
ARMV NATIONAL GUARD/OMS021 A
ARMY NATIONAL GUARD/QMS* 7
ARMY NATIONAL GUARD/OMS09
NATL MARINE FISHERIES-AQUARIUM
NORTH ATTLEBORO NAT'L FISH HAT
US AIR FORCE TREATMENT PLANT
US ARMY NATICK R & 0 LABS
US ARMY-TOPSFIELD HOUSING STP
USCG SUPPORT CENTER BOSTON
WESTOVER AIR FORCE BASE
(US) CG FSS-MANANA ISLAND
(US) CG LS-BROWNS HEAD
(US) CG LS-BURNT ISLAND
(US) CG LS-CAPE NEDDICK
(US) CG LS-DOUBLING PT
(US) CG LS-FT POINT
(US) CG LS-GOAT ISLAND
(US) CG LS-GREAT DUCK ISLAND
(US) CG LS-MARSHALL PT
(US) CG LS-OWLS HEAD
(US) CG LS-PORTLAND HEAD
(US) CG LS-SEGU1N LIGHT
(US) CG LS-W OUODOY HEAD
(US) CG LS-WOOD ISLAND
(US) NAVAL AIR STA-R ANGEL EY
NPID      MADI
MA0030333
MA003O279
MA0030309
MA0090182
MA0005398
MA0090689
MA0001724
MA0090808
MA0090671
MAOOO5444
MEOO90531
ME0090271
ME0090263
ME0090247
ME 0090441
ME0090468
ME0090476
MEOO90484
ME0090336
ME0090361
ME0090379
MEO090387
ME0090417
ME0090433
ME0090115
CYNM
REHOBOTH /T/
FRAM1NGHAM /T/
BOSTON MDC
WOODS HOLE
NORTH ATTLEBORO
BEDFORD /T/
NATICK /T/
TOPSFIELD
BOSTON MDC
WESTOVER
MONHEGAN
VINALHAVEN
BOOTHBAY HARBOR fit
YORK /T/
BATH
STOCKTON SPRINGS
CAPE PORPOISE
SOUTHWEST HARBOR
PORT CLYDE
OWLS HEAD
SOUTH PORTLAND
POPHAM BEACH
LUBEC
BI DDEFORD POOL
RANGELEY
                                                                  RWAT
                                    PERD
         PERE
STORM DRAIN TO ">
GROUND DISCHARGE
STORM DRAIN
GREAT HARBOR
BUNGAY RIVER
TRIBUTARY TO SHAWSHEEN RIVER
LAKE COCHITUATE
WENHAM SWAMP (FAR WEST COVE)
INNER BOSTON HARBOR
COOLEY BR.CHICOPEE RESERVOIR
GULF OF MAINE
PENOBSCOT BAY
800TH BAY HARBOR
GULF OF MAINE
KENNEBEC RIVER
PENOBSCOT BAY
GULF OF MAINE
GULF OF MAINE
MUSCONGUS BAY
WEST PENOBSCOT BAY
CASCO BAY
GULF OF MAINE
GRAND MANAN CHANNEL
GULF OF MAINE
UNNAMED STREAM
O9/28/79 09/28/84
10/10/79 10/1O/84

04/17/79 07/01/83
OB/26/87
12/09/76
05/08/79
01/31/75
10/23/79
05/24/74
10/30/79
04/26/74
10/23/79
04/01/75
OS/08/79
1O/30/79
1O/30/79
05/08/79
O5/OB/79
O1/04/74
1O/26/74
08/26/92
12/01/81
05/08/84
10/30/84
10/23/84
04/01/79
10/30/84
10/30/84
10/23/84
1O/01/76
05/08/84
1O/30/84
1O/30/84
O5/08/84
05/08/84
05/08/84
06/30/75

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11702/90
Q|_  **•****•**••••*•••**
FNMS
••**••t•*•***•****<
                                                                                         PAGE•       3
                         NPDES  FEDERAL FACILITIES  IN REGION 01
                        •••••*«**««*t»**********«************************«******************************* QL
        NPIO
MAD I
CYNM
MANSET
BRUNSWICK
CHARLESTON
ORLAND
SEARSPORT /T/
ELLSWORTH
WINTER HARBOR /T/
KITTERY /T/
LIMESTONE /T/
CUTLER
CUTLER
TOGUS
NEWINGTON /T/
NASHUA
PORTSMOUTH
NEW BOSTON /T/
HANOVER /T/
RWAT
ATLANTIC OCEAN
MERE BROOK
PENOBSCOT RIVER
ALAMOOSOOK LAKE
PENOBSCOT RIVER
REEDS BROOK
ATLANTIC OCEAN
PISCATAQUA RIV
GREENLAW BROOK
HUNTLEV CREEK HOLMES
MACHIAS BAY
TOGUS STREAM
PISCATAOUA RIVER
NASHUA RIVER
GREAT BAY
BEAVER POND #1 TRIB
PERD     PERE
05/01/80 05/01/85
1O/05/88 10/05/93
O2/15/75 O1/01/80
12/04/79 12/04/84
O5/18/75 O4/01/80
11/13/73 04/01/80
05/01/80 05/01/85
10/11/79 10/11/84
10/08/86 10/O9/91
O7/O7/80 O6/27/85
OS/27/80 07/O7/85
O3/18/75 10/01/76
1O/19/77 10/19/82
08/28/74 08/01/79
09/22/86 09/22/91
10/08/86 10/08/91
10/29/73 07/01/78
12/03/86 12/03/91
04/04/86 O4/04/91
09/21/87 09/21/89
04/04/86 O4/04/91
09/21/87 09/21/92
O9/21/87 09/21/92
09/30/85 O6/30/90
04/25/86 06/30/90
ACADIA NATIONAL PARK (SEAWALL   MEO090034
BRUNSWICK NAVAL AIR STATION    MEOOO0493
CHARLESTOWN USAF STA           ME0090182
CRAIG BROOK NATIONAL FISH HATC  MEOOO2437
DEFENSE FUEL SUPPLY CENTER     ME0002330
GREEN LAKE NAT'L FISH HATCHERY  ME0002623
NAVAL SECURITY GROUP - WINTER   ME0090051
PORTSMOUTH NAVAL SHIPYARD      ME0000868
SAC LOR ING AFB SEWAGE PLANT    ME0090174 M
U S  NAVAL COMMUNICATION UNIT   MEOO9O026
U S  NAVAL RADIO STA (T)CUTLER  MEOOO2097
VETERANS ADMINISTRATION MEDICA  ME0000736
DEFENSE FUEL SUPPLY CENTER     NH0020494
NASHUA NATIONAL FISH HATCHERY   NH0000639
USAF  PEASE AIR FORCE BASE   NH0090000 M
USAF  6594TH SQUADRON       NH0090077 M
U S ARMY-COLD REGION RESEARCH   NH0001619
EPA ENVIRONMENTAL RESEARCH LAB  RI0000949
FORT ADAMS WWTF                RI009000O
NAVAL CONSTRUCTION BATTALION   RIOO90158
US COAST GUARD   POINT JUDITH   RI009O131
US DEPT  COMMERCE. NMFS        RI0090077
US COAST GUARD   CASTLE HILL   RI0090085
PITTSFORD NATL FISH HATCHERY   VT0000451
WHITE RIVER NATL FISH HATCHERY  VTO020711
                                           CONNECTICUT  RIVER
                       NARRAGANSETT  /T/ N21 NARRAGANSETT BAY.  W PASSAGE
                       NEWPORT              NARRAGANSETT BAY
                                           ALLENS HARBOR
                       NARRAGANSETT  /T/ N21 BLOCK ISLAND SOUND
                       NARRAGANSETT  /T/ N21 NARRAGANSETT BAY
                       NEWPORT              NARRAGANSETT BAY
                       CHITTENDEN  /T/       FURNACE  BROOK
                                         SUB-TOTAL QUICK LOOK PRINT LINES
                                                                                 75

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 PART I


 A.   FINAL EFFLUENT LIMITATIONS AND MDNITORING REQUIREMENTS
                                              Page  3 of  9
                                              Permit No. ME0090174
     l.b.During the period beginning with start-up of the new treatment facility lasting through  expiration
     the permittee is authorized to discharge  from outfall serial nuirber 001 to the Little Madawaska River.
     outfall.

     Such discharges shall be limited and monitored by the permittee as specified below:

     Effluent Characteristic              Discharge Limitations                        Monitoring Requirements
                              kg/day (Ibs/day)           (specify units)
                           Average     Average  Maximum Average    Average  Maximum   Measurement       Sample
                           Monthly     Meekly   Daily   Monthly    Weekly   Daily     Frequency         Type
Flow (MGD)
BOD
TSS
Settleable Solids
                (2.5)
Continuous
                30 mg/1    45 mg/1  50 mg/1    3/ week
                30 mg/1    45 mg/1  50 rog/1    3/ week
                           0.1 ml/1 0.3 ml/1   I/ day
Daily avg.r
max.§ min

cciiiposite


ccnposite


grab
PH


Fecal Coliform
See Page 6
 V day
                                    60/100ml   3/ week
grab


grab
Priority Pollutants

  A priority pollutant scan shall be conducted twice during the term of the permit. Once during the
  biomonitoring required on page 9, and again one year later..

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PART I

A.  EFFLUENT LIMITATIONS AND MONITORING REQUIREMENTS
                                      Page 4 of  9
                                      Permit No. ME0090174
    I.e.  Duriny the period beginning effective date  and  lasting  through expiration the permittee is authorized to
    discharge from outfall serial number OU2_- filter backwash.

    Such discharges shall be limited and monitored  by the permittee as specified  below:

    Effluent Characteristic                  Discharge Limitations                        Monitoring Requirement
                               kg/day  (Ibs/day)                   (specify units)
                        Average   Average  Maximum    Average   Average   Maximum      Measurement   Sample
                        Monthly   Weekly   Daily       Monthly   Weekly    Daily        Frequency     Type
Flow-m3/Day (MGD)
                                 Quarterly     Daily Avg.
TSS
30 mg/1
60 mg/1
Quarterly     Composite
Settleable Solids
         0.1 ml/1  0.3 ml/1
             Monthly
              Grab
                                          See Page 6
                                 Quarterly
                           Grab

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CERTIFIED MAIL
RETURN RECEIPT REQUESTED
Re:  Federal Facility Consent Order
     NPDES Permit No. 	

Dear Commander
Enclosed is a final version Federal Facility Consent Order.   The
Consent Order is issued pursuant to Sections 3Q9(a)(3)  and 313 of
the Clean Water Act, 33 U.S.C. §§ 1319(a)(3) and 1323,  and
pursuant to Executive Order 12088, Federal Compliance with
Pollution Control Standards.  The Order is based upon violations
of the above-referenced NPDES permit.  Specifically, the 	
	 facility has failed to comply with the effluent
limitations for                      	 ,  	     	
		   and 	 in
the wastewater discharged from its sanitary wastewater treatment
plant.

The enclosed Order contains a schedule for alterations designed
to correct the frequent permit violations and communication
procedures for reporting progress to EPA Region 	 and the [State
agency].  Please sign and return this document within thirty (30)
days of the date of this letter, making copies of it for your
files.  If you do not respond in writing within the thirty (30)
days, the Consent Order will become effective automatically like
an administrative compliance order issued to a discharger under
Section 309 of the Clean Water Act, 33 U.S.C. § 1319.

If you have any questions concerning the terms of this Order,
please contact engineer 	 of the Compliance
Section at (	)  	-	, or attorney 	 of the Office
of Regional Counsel, Region 	 at  (	) 	-	.  We look
forward to hearing from you.  Thank you for your cooperation in
this matter.

Sincerely yours,
	, Director
Water Management Division

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          UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
                             REGION  I
IN THE MATTER OF
NPDES Permit No.
DOCKET NO.
FEDERAL FACILITY
CONSENT ORDER
                                       FINAL VERSION
                         I. INTRODUCTION

     The U.S. Environmental Protection Agency,  Region I

(hereafter the "EPA"), and the United States [Navy] 	

	 Unit based at 	,  	 (hereafter the

"Permittee") are the parties to this Order which is entered into

pursuant to Executive Order 12088, Federal Compliance with

Pollution Control Standards. 43 Federal Register 47707, October

13, 1978.  The Office of Management and Budget and the Department

of Justice will be made cognizant of this Order pursuant to their

respective duties to ensure compliance with the environmental

laws under Executive Order 12088 and the particular statutes

herein addressed.  Sections 309(a)(3) and 313 of the Clean Water

Act, as amended  (the "Act"), 33 U.S.C. §§ 1319(a)(3) and 1323,

grant to the Administrator of the U.S. Environmental Protection

Agency ("EPA") the authority to issue orders requiring compliance

with Sections 301, 302, 306, 307, 308, 318 and 405 of the Act and

any permit condition or limitation implementing any of such

sections in a National Pollutant Discharge Elimination System

("NPDES") permit issued under Section 402 of the Act,

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33 U.S.C. § 1342.  This authority has been delegated to EPA
Regional Administrators.
     Executive Order 12088 was promulgated to ensure Federal
compliance with applicable pollution control standards.  This
Consent Order contains a "plan", as described in Section 1-601 of
Executive Order 12088, for the Permittee to achieve and maintain
compliance with applicable water pollution control standards.
     The compliance requirements and schedule herein are
based on findings of violations of Section 301 of the Act,
33 U.S.C. § 1311, and the conditions of NPDES Permit
No. 	.  Pursuant to Sections 309(a)(5)(A) and 313 of the
Act, 33 U.S.C. §§ 1319(a)(5)(A) and 1323, this Consent Order
provides a schedule for compliance which the Regional
Administrator has determined to be reasonable.

                           II.  FINDINGS
The Regional Administrator makes the following findings of fact:
     1.   The United States [Navy] is a military department as
defined by 10 U.S.C. [§ 101(7)] and a department of the Federal
Government within Section 313(a) of the Act, 33 U.S.C. § 1323(a).
The 	 Unit in 	, 	 is a part of
the United States [Navy] and is a federal facility (the
"Permittee").
     2.   The Permittee is the owner and operator of a sanitary
wastewater treatment plant from which it discharges pollutants
(the "Facility"), as defined in Sections 502(6) and  (12) of the
Act, 33 U.S.C. §§ 1362(6) and  (12), from point source(s), as

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defined in Section 502(14) of the Act,  33 U.S.C.  § 1362(14),  to
	.  The 	 is  a Class 	
water and a navigable water of the United States  under Section
502(7) of the Act, 33 U.S.C. § 1362(7).  Therefore the Permittee
is subject to the requirements of the Act, 33 U.S.C.  §§ 1251,
et seq.
     3.   On 	, 19	,  the Permittee was issued NPDES permit
No. 	 (the "Permit") by the Director of the Water
Management Division of EPA,  Region I, under the authority given
to the Administrator of EPA by Section 402 of the Clean Water
Act, 33 U.S.C. § 1342.  This authority has been delegated by the
Administrator of EPA to the Regional Administrator of EPA,
Region I, who has in turn delegated this authority to the
Director of the Water Management Division.  The Permit remains in
effect due to a timely reapplication by the Permittee.
     4.   The Permittee is authorized to discharge pollutants
from a point source at the Facility to the 	, subject to
the effluent limitations, monitoring requirements and other
conditions specified in the Permit.
     5.   Section 301(a) of the Act, 33 U.S.C. §  1311(a), makes
unlawful the discharge of pollutants to waters of the United
States except, among other things, in compliance with the terms
and conditions of an NPDES permit issued pursuant to Section 402
of the Act, 33 U.S.C. § 1342.
     6.   Section 313(a) of the Act, 33 U.S.C. § 1323(a),
provides that any department of the Federal Government with
jurisdiction over any facility engaged in any activity which

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results or may result in the discharge of pollutants shall be
subject to, and comply with, all Federal requirements,
administrative authority, and process and sanctions respecting
the control and abatement of water pollution.
     7.   The Permittee has violated condition 	 of the
Permit, and therefore Section 301(a) of the Act,  33 U.S.C.
§ 1311(a), by discharging water with 	
from discharge serial number 	 in amounts or concentrations in
excess of the Permit's effluent limitations in the months of
     8.   The Permittee has violated condition 	 of the
Permit, and therefore Section 301(a) of the Act,  33 U.S.C.
§ 1311(a), by discharging 	 from discharge
serial number 	 in amounts or concentrations in excess of the
Permit's effluent limitations during the months of 	
     9.   The Permittee has violated condition 	 of the
Permit, and therefore Section 301(a) of the Act, 33 U.S.C.
§ 1311(a), by discharging 	 from discharge serial
number 	 in amounts or concentrations in excess of the Permit's
effluent limitations during the months of 	
     10.  The Permittee has violated condition 	 of the

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Permit, and therefore Section 301(a) of the Act, 33 U.S.C.



§ 1311(a), by discharging 	 from discharge serial number



	 in amounts or concentrations in excess of the Permit's



effluent limitations during the months of 	
     11.  The Permittee has violated condition 	 of the



Permit, and therefore Section 301(a) of the Act, 33 U.S.C.



§ 1311(a), by discharging a 	 from discharge



serial number 	 in amounts in excess of the Permit's effluent



limitations during the months of 	
     12.  The Permittee has violated condition 	 of the



Permit, and therefore Section 301(a) of the Act, 33 U.S.C.



§ 1311(a), by discharging 	 from discharge serial



number 	 in amounts in excess of the Permit's effluent



limitations during the months of 	
     13.  On 	, 19	, EPA sent a letter to the



Permittee which asked for a description of the causes of the non-



compliance, any actions taken to return to compliance, and any



factors which tended to explain or mitigate the non-compliance.



The letter also requested a plan describing corrective actions to



be taken with timetables for each step.



     14.  On 	, 19	, the Permittee sent a response to



the letter discussed in paragraph number 13 above, including the

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required plan.  The remedial actions proposed in this response



involve major wastewater treatment plant improvements and repair



to the sanitary collection system which are detailed in the



Compliance Requirements section below.  The [Naval Facilities



Engineering Command Northern Division in Philadelphia] has been



included in the process of developing this Consent order and will



provide technical support to the Permittee where required.








                   III.  COMPLIANCE  REQUIREMENTS



1.   As directed by Executive Order No.. 12088,  Section 1-101, the



head of each Executive Agency is responsible for ensuring that



all necessary actions are taken for the prevention, control and



abatement of environmental pollution with respect to Federal



facilities and activities under the control of the Agency.  The



following compliance requirements are based on the responsibility



of the Permittee to implement and ensure compliance with



applicable pollution control standards.  The schedule was



determined after consultations between the Permittee, [the Naval



Facilities Engineering Command Northern Division], and EPA.



2.   The planned compliance schedule is intended to make the



Permittee achieve compliance as expeditiously as practicable,



pursuant to Section 1-601 of Executive Order 12088.  The schedule



contains interim requirements reflecting design and construction



milestone dates.  Wherever reasonably possible, the Permittee



will expedite the schedule.



A.   By 	 19	, complete at least 35% of the design work



     for improvements to the Facility's sanitary system necessary

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     to attain and maintain compliance with the Permit and the
     Act, and submit the 35% design to the [State agency] for
     approval, and to EPA for review and comment.
B.   By 	 19	, complete design work for improvements to the
     Facility's sanitary system necessary to attain and maintain
     compliance with the Permit and the Act, and submit the
     design to the [State agency] for approval, and to EPA for
     review and comment.
C.   By 	 19	, award the construction contract for the
     necessary improvements.
D.   By 	 19	,  complete the construction of necessary
     improvements designed under items III.2.A and B above.
E.   By 	 19	, achieve full compliance with all effluent
     limitations applicable to discharge serial 	 in the
     Permittee's then-applicable NPDES permit.
F.   In addition to the reporting requirements in Section VI.
     below, by 	 19	, and every 90 days thereafter,
     submit a project status report to the [State agency] and EPA
     detailing:  (1) the status of work on the project,  (2)
     whether past compliance schedule dates have been met, and
     (3) whether future schedule dates are expected to be met.
     If such schedule dates have not been or are not expected to
     be met, explain why such noncompliance occurred or  is
     expected.

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                           IV. FUNDING



The U.S.  [Navy] and the Permittee shall seek all existing funds



for the completion of the Compliance Requirements in Section III



above by the most expeditious means possible and/or, if



necessary, shall seek new authorizations from Congress to achieve



the above schedule of compliance as expeditiously as possible in



accordance with sections 1-4 and 1-5 of Executive Order 12088, as



implemented by the Office of Management and Budget circular



A-106, as amended.  Section 1-5 of Executive Order 12088 states



that "The head of each executive agency shall ensure that



sufficient funds for compliance with applicable pollution control



standards are requested in the Agency budget."  Failure to obtain



adequate  funds or appropriations from Congress does not, in any



way, release the Permittee from its obligation to comply with the



Permit and the Clean Water Act, as amended.







                     V.  CONFLICT RESOLUTION



In the event of any conflict involving violations of this Order,



EPA Region I and the U.S. 	 (the Permittee or the Command



Headquarters together with the [Naval Facilities Engineering



Command Northern Division in Philadelphia]) will attempt to



resolve the differences between themselves.  The parties will



have a reasonable period of time not to exceed 30 days from the



date a conflict arises to resolve the conflict.  If the



differences cannot be resolved by the two parties in a timely



manner, the procedures in Sections 1-602, 1-603, and 1-604 of



Executive Order 12088 shall apply.

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                   VI.   NOTIFICATION PROCEDURES
1.   In each instance where this Order requires a specific action
to be performed within a certain tine frame, the Permittee shall
submit a written notice of compliance or noncompliance with each
deadline.  Notification must be mailed within fourteen (14) days
after each required action.  The timely submission of a required
report shall satisfy the requirement that a notice of compliance
be submitted.
2.   If noncompliance is reported, notification must include the
following information:
a.   A description of the noncompliance;
b.   A description of any actions taken or proposed to comply
     with the lapsed schedule requirements;
c.   A description of any factors which tend to explain or
     mitigate the noncompliance;
d.   An approximate date by which the required action will be
     performed.
3.   After a notification of noncompliance has been filed,
compliance with the past requirement shall be reported by
submitting any required documents or providing EPA with a written
report indicating that the required action has been achieved,
within fourteen (14) days of completion.

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4.   Submissions and notifications required by this Order shall



be in writing and shall be mailed to each of the following



addressees:
                     VII. GENERAL PROVISIONS



1.   The Permittee may, if it desires, assert a confidentiality



claim covering part or all of the information requested, in the



manner described by 40 C.F.R. § 2.203(b).  Information covered by



such a claim will be disclosed by EPA only to the extent,  and by



means of the procedures, set forth in 40 C.F.R. Part 2,



Subpart B.  If no such claim accompanies the information when it



is received by EPA, the information may be made available to the



public by EPA without further notice to the Permittee.  The



Permittee should read the above-cited regulations carefully



before asserting a confidentiality claim since certain categories



of information are not properly the subject of such a claim.  For



example, the Clean Water Act provides that "effluent data" shall



in all cases be made available to the public.  See Section 308(b)



of the Act, 33 U.S.C. § 1318(b).



2.   In the event that there is an amendment of the Clean Water



Act or changes to the regulations promulgated under it, the



compliance schedule may be renegotiated as necessary and



appropriate to reflect those changes.  Such renegotiation shall

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be governed by Executive Order 12088.



     During the pendency of any renegotiation,  the compliance



schedule, to the extent that it does not conflict with statutory



or regulatory changes, shall remain in effect unless specifically



waived by EPA.



3.   On the date for final compliance, as shown in the schedule



in Section III of this Order, compliance with the applicable



permit requirements must be demonstrated by effluent testing and



positive reporting of the achievement of compliance, rather than



by the mere completion of construction of pollution abatement



facilities.



4.   Upon the demonstration of compliance by the Permittee, and



during the term of this Order, there will remain a continuing



obligation to comply with the applicable Permit requirements



under the Clean Water Act.



5.   This Notice does not constitute a waiver or a modification



of the terms and conditions of the Permit.  The Permit remains



in full  force and effect.  EPA reserves the right to seek  any and



all remedies available under Section 309 of the Act,



33 U.S.C. § 1319, as amended, for any violation cited in this



Consent  Order.



6.   If  the funds are not appropriated by Congress  as requested



and existing  funds are not available to achieve compliance in



accordance with the schedule  in Section III above,  the Permittee



shall notify EPA immediately  in writing.

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7.   This Federal Facility Consent Order shall become effective

within 30 days of signature of the Regional Administrator, or

upon its execution by the authorized representatives of the U.S,

Navy identified below, whichever occurs first.
Date                     	,  Regional Administrator
                         Environmental  Protection Agency
                              Region 	
Date                     Name:
                         Title:

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                          Groundwater Protection
                             Wellhead Protection
                            Sole Source Aquifers
                              Anthony J. Pisanelli
VI11-4

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                            -7-
Anthony J. Pisanelli

Anthony J. Pisanelli, Hydrologist in the EPA Region I Ground
Water  Management  and  Water  Supply  Branch  and  provides
technical support to the Hew England  States in the areas of
Agricultural  Chemicals  in Ground  Water,  Nonpoint  Source
Pollution and Wellhead Protection Projects.  He was also
responsible for administering Maine's Ground Water Protection,
Wellhead  Protection, Underground Injection Control and Sole
Source Aquifer  Programs.   Prior  to  joining EPA,  he  was an
employee  with  the  New England  Interstate  Water  Pollution
Control Commission  as  their Ground Water  Coordinator.   Mr.
Pisanelli has a B.A. in Biology  from Clark University and a
M.S.  in  Water  Resource  Management  from  the  University of
Vermont.  He has taken several graduate courses  in hydogeology
and ground water hydrology. He is a  certified member of the
National Water Well  Association of Ground Water Scientists and
Engineers and associate member of the American Institute of
Hydrology  and  a  member  of  the American Water  Resources
Association

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The  Ground  Water  Management  Section   (GWMS)   of  Region  I's
Environmental Protection Agency has responsibility in five areas:


     *    State Well Head Protection Programs
     *    Comprehensive State Ground Water Protection Programs
     *    Underground Injection Control Programs
     *    Pesticides in Ground water Program
     *    Sole Source Aquifer Program

A brief description of each program follows:
     STATE WELLHEAD PROTECTION PROGRAMS

     The priority of  the  Ground  Water Management Section and our
     respective State colleagues  for F₯ 90 has been the preparation
     and approval of State Wellhead Protection (WHP) Programs under
     Section 1428 of the SDWA.  Under the SDWA, States are required
     to demonstrate how they  will  address the following elements
     in order to have an  approved Wellhead Protection Program;

     *    The roles and duties of state and local governments and
          public  water  suppliers  in  the management  of wellhead
          protection programs must be established;

     *    The WHPA  for each  wellhead must  be  delineated (i.e.,
          outlined and defined);

     *    Contamination   sources  within   each  WHPA   must  be
          identified;

     *    Approaches  for  protecting the  water  supply within the
          WHPAs  from contamination sources  (e.g.,  use of source
          contracts,  education,  training) must be developed;

     *    Contingency plans must be  developed  for  use if public
          water supplies  become  contaminated;

     *    Provisions must be  established  for proper siting of new
          wells  to produce maximum  water  yield and  reduce the
          potential  for contamination as  much as possible;

     *    Provisions   must  be   included   to  ensure  public
          participation in  the process.

     The  Region approved all the New England   State's  programs.
     Federal  facilities that have Public Water  Systems  on Ground
     Water  fall under the requirements,  the State WHP Programs.

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                             -2-
Beginning in FY 91 and beyond, the EPA and State emphasis will
be on implementation of approved WHP programs.  Each State has
proposed a schedule for implementation of various elements of
the program. Most schedules related to program implementation
are based upon  resource  considerations  (i.e.,  positions and
dollars), at the state  level and  assumptions  regarding the
capabilities of local governments to perform those activities
for which they  have primary responsibility,  i.e.,  inventory
of contamination sources  and approval  of management controls.
COMPREHENSIVE STATE GROUND WATER PROTECTION PROGRAMS

An EPA Regional Headquarters Ground Water Task Force concluded
that EPA  should  take a more strategic  approach  to actively
assist States to comprehensively  protect  their ground water
resources  from  sources  of  contamination.    There  is  an
identified need  for EPA  to  step  up  efforts  to  more fully
coordinate Federal programs and authorities and assist States
to build comprehensive integrated programs by making optimum
use of Federal grant authorities.

In  FY  90,  Headquarters  and  Regions  met  to  discuss  the
appropriate elements of a comprehensive protection program.
Thus far the general elements of a program include

*    Setting Goals and Documenting Progress;

*    Characterizing the Resource and Prioritizing Actions;

*    Developing and Implementing Control Programs;

*    Defining Roles within the State and the Relationship to
     Federal Programs.

EPA  intends  to  initiate  a  new  Comprehensive Ground Water
Protection Program Grant  for FY  92.   The program grant will
rely on multiple ground water related  grant  authorities to
support  development  and  implementation  of  comprehensive
programs.   For FY 91 and beyond,  the GWMS action plan may be
as follows:

1.   Continue to work with Headquarters  to define  a final set
     of elements for a CGWPP;

2.   Working  with our  States,  begin  to define "adequacy
     criteria" for EPA approval of CGWPP.

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                            -3-
3.   Perform State ground water profiles to assess where our
     States are in terms of the elements  of  a  CGWPP.   (This
     is not an adequacy  assessment  of  existing State Ground
     Water Strategies, but a means to identify areas of future
     activity);

4.   Based  upon  assessment of state  programs through  the
     profile instrument, provide  technical support  to State
     CGWPP either in  the  development or implementation phase;

5.   Within EPA,  coordinate  implementation  of  State  CGWPPs
     with  RCRA,   Superfund,  USTs,  Toxics  and  Pesticides,
     programs.
UNDERGROUND INJECTION CONTROL PROGRAM

Under  the 1974  Safe  Drinking  Water  Act  (SDWA),  Congress
required  the  Environmental   Protection  Agency  to  protect
existing  and future underground  sources of drinking  water
(USDW)  from  contamination by the  subsurface  injection  of
fluids through wells.  The Underground Injection Control (UIC)
program regulations define injection  wells  by  dividing them
into five separate classes.  In New England, EPA administers
a Class V program through  the States.   These are well types
ranging in complexity  from automotive disposal  wells (5x28)
to industrial  disposal wells (5W20)  to  stormwater drainage
wells  (5D2)  and certain types of  septic  systems.   It is due
to the wide  range in well  sub-types in the Class V category
that EPA  chose to establish  specific technical requirements
for these wells.  Instead, the Agency authorized Class V wells
by  rule until such time  that  regulations  were  developed.
Currently, the Agency has  a workgroup considering options for
technical standards  and  regulations.   Those UIC  wells that
exist on Federal Facilities are subject to the State program
requirements.

For  fiscal  years   FY  1991  and  beyond,  the  Ground  Water
Management Section  action  plan  involves  the following tasks
to support existing State UIC programs:

l.   Participate in the Headquarters Regulatory Workgroup to
     develop technical standards and regulations for various
     sub-classes of Class V wells;

2.   To the extent possible, assure that regulations developed
     by EPA defer to existing State and  local regulations in
     order  to  minimize  additional  requirements upon  the
     States;

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                             -4-

3.   Continue to  support enforcement efforts by  States for
     high risk sub-classes of Class V wells.  These are motor
     vehicle disposal  wells  and  (5x28)  industrial  drainage
     disposal wells (5W20);

4.   To the extent feasible,  support and supplement existing
     State UIC  program  efforts  in  EPA  geographic  targeted
     watersheds;

5.   Finalize the Region  I involvement in issuing and tracking
     compliance  for  national Administrative Orders  against
     the 14 largest oil companies nationwide.  These AOs will
     generate information on inventory numbers of automotive
     disposal wells, eliminate ground water discharge to these
     wells, and initiate appropriate closure requirements;

6.   Continue to  integrate UIC activities  into  approved WHP
     programs by prioritizing UIC inspections and enforcement
     efforts in WHP areas;

7.   Establish  relationship  with the  RCRA  program  in the
     implementation of the Toxicity  Characteristic Leaching
     Procedure  (TCLP)  Rule,  specifically as it  pertains to
     certain sub-classes  of  Class V wells which  may  now be
     Class  IV wells  due  to the  emplacement  of  hazardous
     chemicals.
PESTICIDES IN GROUND WATER
Under the Draft  1987  Agricultural  Chemicals in Ground Water
Strategy, all States will be required to prepare a Pesticide
Management  Plan  as  an  addition  to  the  registration  of
restricted  use   chemicals  under  the   FIFRA.     Labeling
instruction related to the application of the pesticides would
be based upon  the conditions and requirements set forth in the
States  Pesticides Management Plan  (SMP).   By  developing a
Pesticide Management Plan, a State can tailor the conditions
of  pesticide  use,  including  such factors  as hydrogeologic
vulnerability which can very greatly  within the  State,  to
specific local ground water protection needs.

In  the  absence  of  national  guidance  for management  plan
development, the Region I Pesticides Program and Ground Water
Program  developed  joint  guidance  to  help  identify  the
components of a  SMP.   The Management  Plan guidance promoted
consistency with the State's  Ground  Water  Strategy,  Clean
Water Strategy, and Non-Point Source Management Program.

In FY 90, FIFRA  and 106 funds were provided to States to do
the following:

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                            -5-

*    Initiate/expand  efforts   to  address/identify   State
     pesticide management concerns as they relate  to  ground
     water quality protection;

*    Develop/enhance the  institutional  capacity within  the
     State  to   develop   and  implement  State   Pesticides
     Management plans;

*    Establish/strengthen the coordination mechanisms  within
     the States that will  identify and establish State  goals,
     priorities, and agency responsibilities.


For fiscal year  1991 and  beyond, the GWMS Action Plan is as
follows:

1.   Continue jointly with the Region I Pesticides program to
     fund the preparation of State Pesticides Management Plan;

2.   To  incorporate pesticide and  non-point source  ground
     water issues into the States Comprehensive Ground Water
     Protection Program;

3.   In  cooperation with  the  Region  I Pesticides  program
     develop approval criteria for SMP;

4.   In  cooperation with  the  Region  I Pesticide Program,
     jointly approve SMPs as per-condition to pesticide use.
SOLE SOURCE AQUIFER PROGRAM

The GWMS  is actively involved with  the  Sole Source Aquifer
(SSA) Program.  The SSA Program was established under Section
1424(e) of the Safe Drinking Water Act of 1974.  It authorizes
EPA to designate  an aquifer  or position thereof as a "sole"
or  principal  source  of drinking  water.   An  aquifer  must
provide 50% or more of the water used in the Aquifer's Service
Area.

Under the authority of this program, EPA can review projects
which  receive federal  financial  assistance for  impacts to
ground water which threaten human health.   EPA can require
ground water studies,  mitigation of impacts and ultimately
federal assistance towards a project could be withheld.

Currently in Region I, there are 12  areas designated as SSAs
with  several  petitions  under  active  review.   Nine  of the
twelve designations have occurred within the last three years.

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                             -6-

As a result of these designations, the GWMS will continue to
be  involved in  the  review of  federal  financial  assisted
projects which average about 20 projects per year.
Ground Water Management Section State coordinators
CT:  Trish Garrigan
HA:  Rob Adler
HE:  Michele Notarianni
NH:  Kin Franz
RI:  Meghan Hynes
VT:  Lee Steppacher
(617)  565-3479
(617)  565-3601
(617)  565-4866
(617)  565-4883
(617)  565-3549
(617)  565-3605

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                    The Safe Water Drinking Act
                         Amendments of 1986
                              W. Mark Sceery
VIII-5

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                            Biography

     W. Mark Sceery is an environmental engineer in the Water
Supply Section of  the U.S.  Environmental Protection Agency.   He
has a B.S. in civil Engineering from Virginia Polytechnic Institute
and State University and is enrolled at Northeastern University for
a M.S. in Environmental Engineering.  Before coming to the EPA, Mr.
Sceery worked in the Environmental Engineering Group at HNTB, where
he  performed  a  variety   of   tasks  such   as  utility  design,
environmental permitting, and hydrologic studies.

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             1986 Safe Drinking water Act flmen^pents

A.   Background

     1.   Public water System serves  at least 15 connections or 25
          people 60 days a year.

          a)   Community Water System - same year-round customers.
          b)   Non-community  water  system  -  serves  itinerant
               customers.

     2.   Regulated Universe

          a)   200,000 PWS serving 200 million people.
          b)   30% CWS, 60% Transient NCWS, 10% Non-transient NCWS.
          c)   Federal Facilities in New England

               1-12 CWS
               2-65 NCWS
               3-1 NTNCWS

     3.   Ground Water vs Surface Water

          a)   Percent  surface water users  and population  for
               nation and N.E. federal facilities.
          b)   Percent ground water users and population for nation
               and N.E. federal facilities.

     4.   CWS size categories

          a)   Nationwide breakdown
          b)   Federal Facilities breakdown

B.   Drinking water Regulations

     1.   Primary Drinking Water Standards

          a)   35 regulated contaminants.
          b)   Maximum Contaminant Level Goal.
          c)   Maximum Contaminant Level.

     2.   Secondary Drinking  Water standards

          a)   13 contaminants covered.
          b)   Not public health threats  - mostly aesthetics
          c)   Not enforceable.

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                               -2-

C.   Compliance of Regulated Community

     1.   Number of violations and violators per year, nation and
          New England Federal Facilities.

     2.   Percentages of complying systems.

     3.   Breakdown of violations.

     4.   Size distribution of violators.

D.   SDWA Amendments of 1986 - Current and Future Rules

     1.   Promulgate 53 MCLGS's and MCL's by 1989

          a)   Includes 26 already existing.
          b)   Must  promulgate  25 additional  by 1991  and  every
               three years thereafter.
          c)   EPA will not be able to meet this schedule.

     2.   Fluoride Rule

          a)   MCL
          b)   Required monitoring.

     3.   VOC Rule

          a)   Eight contaminants.
          b)   BAT specified.
          c)   Monitoring requirements
               1)   Implementation schedule  depends on system size.
          d)   Monitoring  required for at  least  34 unregulated
               contaminants.

     4.   Priority List
          a)   54 new contaminants EPA may  regulate.
          b)   7 substitutes to Congress* original list.
          c)   25  more  required  in  1991  and  every   3  years
               thereafter.
          d)   Review some of the contaminants on this list.

     5.   Surface Water Treatment Rule

          a)   Surface water systems must disinfect.
          b)   S.W.  systems  must filter unless  they meet  strict
               requirements.
          c)   Establishes treatment  techniques  in lieu  of MCL's
               for many biological contaminants.
          d)   Goes into effect in January.

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                          -3-

6.   Total Coliform Rule

     a)   Sets MCL for coliform bacteria
     b)   Requires presence/absence testing instead of density
          requirements.
     c)   Establishes monitoring requirements.
     d)   Goes into effect in January.

7.   Lead and Copper Rule

     a)   Regulates copper and lead in drinking water.
     b)   calls for corrosion control.
     c)   Final rule to be promulgated in December.

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The 1986 Safe Drinking
Water Act Amendments
       -—S
       Meetini
         The
        Challenge

-------
          Public Water Systems
Public Water System   Serves at least 15
                    connections or an average
                    of 25 people daily for at
                    least 6O days per year

  Community Water   Serves the same customers
  System            year-round

  Non-Community     Serves primarily itinerant
  Water System      customers

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            Regulated Universe
        Of Public Water Systems
                            Community Sy»l«m«
                                60.000
                               Norv-Tr •/!•!•« I NCWS«
                 	         2O.OOO
          NCWS«
        12O.OOO
           Total Public Water Systems
            (Approximately 200,000)
NCWS*

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    Community  Water  Systems
            Sources and Users
Ground WaUr
  47.400
                SurUc* W«l*r
                  10.000
Ground W«i*r
 74 Million
                Sorl.c* Water
                 14« Million
         Sources
       (58.099 Total)
         Users
      (219 Million Total)
  ••••

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    CWS Size Categories
Svstem
PoDulation Served
Very Small
Small
Medium
Large
Very Large
25 - 500
501 - 3,300
3,301 - 10,000
10,001 - 100,000
More Than 100.00O

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          Community  Water Systems

                Size Distribution
                    (FY 1987)
    Parcanl
1OO% i
 •0*
 00*
 40*1
 20*
     V*ry Small
Small    M»diuM    LVQ«   Vary

     System Size

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Drinking Water Regulations

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Primary Drinking  Water Standards
 35 Regulated Contaminants

     Microbiological and Turbidity
     Inorganic Chemicals
     Volatile Organic Chemicals
     Synthetic Organic Chemicals
     Radiological Contaminants

 Treatment Techniques Sometimes Specified

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     Components of Primary
    Drinking  Water  Standards


Maximum Contaminant Level Goals (MCLGs)

 Levels  at which no health problems occur
 Include adequate margin of safety
 Unenforceable

Maximum Contaminant Levels (MCLs)

 Set as close to MCLGs as possible
 Consider best available technology & cost
 Enforceable

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Secondary Drinking Water Standards
 13 Contaminants Covered
 Not Designed to Protect Public Health
 Concerned with Aesthetics of Drinking Water
   Taste
   Odor
   Color

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Compliance of



  Regulated



 Community

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      PWS  Compliance
100,000 Violations/Year
Too Many I
Indicators of Problems
Margin of Safety of Treatment Affected

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       Overall Community Water
          System  Compliance
                 FY 1988
  Complying Systems
                          Systems In Violation
PROS

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                 CWS  Violations
                        FY 1988
       M/R Violation*
          41.889
                                        MCL Violation*
                                           8.S49
PUDS !•••

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           Size Distribution Of Systems
                    In Violation
                 (FY 1984-1988)
         1084
1985
1084
1087
1088
       CD LM«* • ?*»•<»•<•
FR05 19B («/17/«»l

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The Safe Drinking Water Act
   Amendments of 1986
 Current and Future Rules

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    1986 SDWA Amendments
Promulgate 83 MCLGs and MCLs by 1989
Set Surface Water Filtration Criteria
Establish Disinfection Requirements
Monitor For Unregulated Contaminants
Identify Regulatory Gaps
Promulgate 25 Additional MCLs Every 3 Years

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    Number of Regulated Contaminants
                Is Increasing
      Regulated Contaminants
200
                    Year

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    1986  SDWA  Amendments
  EPA Promulgates Final Rules

MCLGs/MCLs for 9 Volatile Organic Chemicals
MCLG/MCL for Fluoride
Monitoring 51 Unregulated Contaminants
The Priority List of New  Contaminants
Surface Water Treatment Requirements
Total Coliforms Regulation

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            EPA's Final Rules
             The Fluoride Rule

Promulgated in April 1986

 Set 4 mg/l MCL

 Required Monitoring For Surface Water
 Systems in First Year

 Required Monitoring For Ground Water
 Systems Within Three Years

 Minimum Repeat Sample Required Once
 Every Ten Years

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            EPA's Final Rules
 Phase I Volatile Organic Chemicals (VOCs)
Best Available Technology (BAT) Specified
Quarterly Monitoring Required
Monitoring Phased In By System Size
  Jan. 1, 1989 Deadline for Systems Serving
  More Than 10,000 People
            I
  Jan. X 1989 Deadline for Systems Serving
  3,300 to 10,000 People
  1995, Small System Deadline

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            EPA's Final Rules
  Monitoring For Unregulated Contaminants
Published July 8, 1987
Specified That Within 4 Years:
  All Systems Must Monitor for 34 VOCs
  Vulnerable Systems Must Monitor 2
  Additional VOCs
  Systems Specified by The State Must
  Monitor Some or All of Remaining VOCs

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            EPAfs Final Rules
              The Priority List
Promulgated in January 1989
  54 New Contaminants That EPA May Regulate
  7 Substitutes to Congress's Original List
  EPA Will Draw From List  At Least 25
  Contaminants To  Regulate Every 3 Years
  First 25 Required in 1991

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            EPA's Final Rules
     The Surface Water Treatment Rule
                                       •

Promulgated in June 1989

  Requires Surface Water Systems to Disinfect

  Requires Surface Water Systems to Filter
  Unless They Meet Certain Requirements

  Establishes Treatment Techniques in Lieu of
  MCLs for Giardia, Viruses, Heterotrophic Plate
  Count Bacteria, Legionella, & Turbidity

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        EPA's Final Rules
      The  Total Coliform Rule

Promulgated in June 1989
  Sets MCL for Coliform  Bacteria
  Establishes Monitoring Requirements
  Establishes Analytical Methodology

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     1986 SDWA Amendments
Lead & Copper

 Rule Proposed on August 8. 1988
 Final Rule Planned for Fall 1990

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     1986 SDWA Amendments
MCLGs/MCLs

 Rule Proposed May 22/1989

 Covers 30 SOCs Such as Pesticides
 And Herbicides

 Covers 8 Inorganic Chemicals Such As
 Nitrate, Nitrite, Selenium and Mercury

 Final Rule Planned for September 1991

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    1986 SDWA Amendments
EPA Responds  To The Challenge


  Proposed Rules Coming in 1990 and 1991:

   MCLGs/MCLs for Radionuclides (Phase III)

   MCLGs/MCLs for Chemical Disinfectants
   And By-Products (Phase IV)

   MCLGs/MCLs for 25 Organic
   And Inorganic Chemicals (Phase V)

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Safe Drinking Water
   Our Resource
 Our Responsibility

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                            Wetlands Protection
                            404 Permit Program
                             Douglas Thompson
VIII-6

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DOUGLAS A. THOMPSON —  Has  been with the U.S.  EPA  for 12 years.
He currently serves as chief of the Wetland Protection Section of
the U.S.  EPA,  Region I.   His  office  reviews all  proposed  §404
permits in New England,  takes  necessary  enforcement actions,  and
vetoes Corps decisions where needed.  The office also participates
in public education outreach efforts and scientific research.   He
co-authored the  Attleboro Mall  and  Big River  Reservoir  §404(c)
decisions.   Previously,  Mr. Thompson was  senior  staff biologist
with EPA in Chicago.  He received a B.A. in Environmental  Science
and an M.S.  in Biology  from Northwestern University in Evanston,
Illinois.   He  has  conducted   and  published  research on  plant
population biology.

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             CURRENT ISSUES IN FEDERAL WETLANDS PROTECTION

                    Douglas A. Thompson, Chief
                    Wetland Protection  Section
               U.S.  Environmental Protection Agency
                       New England Office
Summary
New England's wetlands provide many environmental values.  However,
historical wetland loss  in New England, as elsewhere, has been high
making the protection of those areas remaining a high priority of
EPA Region I.  The primary  federal authority protecting wetlands
arises from  §404 of the Clean Water Act.   In addition,  EPA seeks
to improve public understanding of wetland values through various
education and outreach efforts and works closely with New England
states to coordinate state and federal regulatory efforts.

This  paper   outlines   for   environmental  managers   at  federal
facilities the values of  wetlands, the key  elements  of the §404
regulatory program and  some of the current  unresolved  issues in
wetland protection.   Two  topics,  the emerging policy on "no net
loss" of  wetlands and  EPA's  §404(c)  authority are  discussed in
greater detail.

Background

Wetlands, once viewed as worthless, are today recognized as vital
to the environmental health of  New England.   Ecologically unique
habitats  at  the interface  between land  and water,  they provide
irreplaceable values and are essential to the survival of our fish
and wildlife populations.   They  also  purify water  through the
uptake and control of sediments,  nutrients  and  pollutants. They
act as natural  flood  storage areas and,  along the coast, provide
a buffer against storm damage and  erosion. Biologically, wetlands
are among the most productive ecosystems  on earth.  Two thirds of
the commercial fish species harvested on the  Atlantic coast depend
on coastal estuaries  and wetlands for  food  and spawning grounds
while many  river  and  lake  fish  depend  on  freshwater  wetlands.
Wetlands  also provide  habitat  and  food for furbearers  such as
muskrat, otter, mink, raccoon and beaver.

New England  is blessed  with a  grand  variety of wetlands ranging
from  tidal  areas  to   freshwater emergent  marshes   to  forested
wetlands and bogs.  With  the exception of Maine, wetlands  in the
northeast comprise from 5-12% of the landscape;  in Maine, wetlands
cover approximately 20% of  the state.   Despite  their  value and
relative  scarcity, our wetlands  continue to be  destroyed at an
alarming rate and wetland protection continues to be controversial.
Although regional data are not available the U.S. Fish and Wildlife
Service estimates  that we lose  over 300,000  acres of wetlands per
year throughout the nation.   While New England's wetlands continue
to  dwindle,   they  are  not  disappearing  as rapidly  for  several

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reasons.  Host New England states have strong programs protecting
wetlands, we have fewer wetlands to sacrifice, and our population
often is more environmentally aware than elsewhere.  Nevertheless,
each  year  proposals  surface to destroy  wetlands  for  highways,
shopping malls, other development, agriculture and water resources
development.

At present,  EPA  and the Corps have recourse to  several  tools to
protect wetlands, the most significant of which are its authorities
under  §404  of the  Clean  Water Act.   Section 404  regulates  the
discharge of dredged or  fill material into  waters of  the  U.S.
Program jurisdiction reaches far in two respects:  First, "waters
of the U.S." is defined broadly to include  nearly  all waterways and
wetlands; second,  most construction  work  in  wetlands  or  other
waters involves some discharge of dredged or fill  material and thus
requires §404  authorization.    In practice, this means  the  §404
program regulates a vast  array of activities ranging  from  small
backyard projects  to major  public  works  ventures.   Section  404
applies without exception to activities at  federal facilities which
involve a discharge of dredged  or  fill material to wetlands or
other  waters.   As  explained  below,  the  Corps and  EPA  share
administration of the §404 wetland protection program.

There continues to be debate about the proper role of the federal
government  in protecting  wetlands.   Perhaps the very  nature of
wetlands engenders much of the controversy about their protection.
Transitional between  water and  land,  they exhibit both "wet" and
"dry"  characteristics.   On one  hand,  scientists  note  their
connection  to the  regional  surface  and  groundwater  systems  and
their  importance to fish  and  wildlife;  both  the benefits  of
wetlands and the impacts of their destruction extend beyond their
borders.    On the  other hand,  developers  point  to  the  "dry"
characteristics of wetlands when attempting to "improve" their land
and exercise property rights.  This inherent clash between resource
conservation  and development pressures has produced  a  colorful
legislative  and judicial  history  and an  intensity of feeling
unusual even among environmental programs.

The  past  decade  has  witnessed  impressive growth  in  wetland
protection in New England  and in the nation as a whole.  Government
and  public   support  for  safeguarding  wetlands   has  never  been
stronger.   Although wetland  protection remains  controversial,  a
consensus has  emerged among government,  industry and  the public
that  we must  better protect these  critical areas  from further
degradation.    In  1988,  the  National   Wetlands  Policy  Forum,
comprised   of  academic   experts,   state   and  local  officials,
environmentalists,  industry  and  farmers, released  its  landmark
report, Protecting America's  Wetlands; An Action Agenda.   The Forum
recommended an interim goal  of achieving  "no overall net loss" of
wetlands and a  long-term goal of  increasing the  "quantity and
quality of  the nations's  wetlands resource  base."    The Forum's
call for "no net loss" of wetlands attracted considerable support

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and attention—adopted as a  campaign pledge by President Bush—but
an overall national policy has yet to be articulated.   However,  a
number of federal agencies,  including  EPA have endorsed the no net
loss goal  and the President's  Domestic Policy Council  has been
charged with  developing  an  administration-wide policy  by the end
of this year.

In addition to regulatory measures, EPA  protects wetlands on other
fronts.  The Agency has markedly increased efforts to identify and
protect  critical wetland  areas  in  advance  of  specific  permit
proposals.  EPA  has begun a concerted effort to  assist state and
local wetland protection programs,  including talcing a  number of
steps  to  better integrate  regulation  at   different  levels  of
government.    EPA has  also  initiated  a  broad based education and
outreach  program aimed  at  improving  public  understanding about
wetland values and regulation.

Both the regulatory and nonregulatory approaches designed to reduce
the current rate of wetland  loss will  develop in the context of an
overall policy on  "no  net loss11.  Region I  of EPA believes that
sound planning and strong regulation should reinforce each other.
We  aim to  prevent  avoidable or  significant losses by  vigorous
application of our §404 program authorities.   At the same time, we
recognize  the need to take a  more  strategic and comprehensive
approach  to  protecting  our remaining  wetlands.   This  involves
identifying   and  protecting  key  areas  before  threats  become
manifest, strengthening local and state authorities and raising the
overall level  of public awareness about wetland protection.

As background for the  conference, I have outlined the key aspects
of  the  §404  program.   Following  the  basic  outline,   I  have
elaborated on three specific aspects of federal wetland protection:
§404  permit   process;  the  404(c)  "veto"  authority;  and  the
development of a "no net loss"  policy.   Finally, I have attached
some material which treats several program issues more extensively.

Outline of Key Points

I.   Historical  Perspective of  Wetlands

     A.   Until  recently wetlands viewed as worthless, unhealthy
          areas  to be  "reclaimed".

     B.   Popular culture reflected  in legislation (e.g., Swamp
          Lands  Acts of  19th century).

     C.   Recognition  in  last  25  years  that  wetlands  provide
          numerous public benefits.

     D.   Nevertheless wetland protection remains controversial and
           involves conflicts between  environmental protection and
          competing land uses.

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II.  Wetland Values and Loss Rates

     A.   Hydrological:  Flood storage; water quality maintenance;
          groundwater recharge and discharge; erosion protection.

     B.   Biological:  Provides important habitat and food supply
          for wildlife; supports high percentage of commercially
          important and endangered fish  and wildlife.

     C.   Societal:   Recreation including  hunting  and  fishing;
          scientific and educational uses; aesthetic and open space
          value.

     D.   Losses:    Approximately   300,000   acres  per  year  (40
          acres/hour).   Heaviest  losses  in  southeastern  United
          States.   Saltmarsh loss  in New England  largely under
          control but freshwater losses  continue.


III. Wetland Definition/Types of Wetlands in New England

     A.   Federal and state definitions vary  and  sometimes lead to
          different delineations in the field.

     B.   Federal definition applied by  "three parameter" method
          relying on vegetation, soils and hydrology. Four federal
          agencies involved with wetland protection signed a joint
          manual about wetland delineation thereby resolving some
          longstanding disagreements.

     C.   Major  wetland  types  of New England:   saltmarsh; tidal
          freshwater;  emergent marshes;  shrub  swamps;  forested
          swamps; and bogs.

IV.  Reaulatorv  Program under 6404 of the Clean  Water Act

     A.   Basic  structure   of   Clean   Water  Act—§301   forbids
          discharge of pollutants  from a point source into waters
          of the U.S. except in compliance with  permit under §402
          or  §404.   §404 regulates discharge of dredged or fill
          material  into  waters  of  the U.S.    Far reaching  program
          with   broad   jurisdiction,  regulating  a  variety  of
          activities.

     B.   §404 program oddly constructed,  product of Congressional
          compromise.    §404(a)  authorizes  Corps  to administer
          program  on day-to-day basis;  permit decisions based in
          part on EPA regulations issued pursuant to §404 (b); under
          §404(c)   EPA  can  "veto"  Corps   permits  in   certain
          circumstances  (See section VII below).

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     C.   Full  jurisdiction  over  activities  occurring  at  or
          conducted by federal facilities.

     D.   Program may be  assumed  by qualified states pursuant to
          statutory provisions at §§404(g)-(1).


V.   Exemptions

     A.   In 1977 Congress  amended  the Clean Water Act to, among
          other   things,   add  §404(f)   which   exempts  certain
          specifically listed  activities  from the need  to get a
          permit.

     B.   Normal ongoing agricultural and  silvicultural activities
          (e.g.,  plowing  and harvesting of  crops  or timber)  and
          certain maintenance activities are exempt provided work
          is   conducted   in  accordance  with   best  management
          practices.

     C.   Section 404(f)  contains a  "recapture provision" negating
          the  exemption  for activities which convert an aquatic
          area to a new use or reduce the reach of waters of the
          U.S.  (including wetlands).   A discharge associated with
          conversion of wetlands  to agricultural land requires a
          permit.

     D.   Exemption therefore  serves dual  purpose  of allowing
          routine  activities but guarding  against wetlands loss
          because:  1.  Covers only  listed activities; 2.  Applies
          only  to established ongoing operations; 3. Must comply
          with BMPs in regulations;  and 4.   Can  be negated by the
          recapture  provision.      Courts   have  upheld  narrow
          construction of the  exemption.


VI.  Environmental  Standards in S404 Program

     A.   EPA  §404(b)(l)  Guidelines provide  strong protection  for
          wetlands.  Four main provisions:

                1.    Alternatives  test.  Forbids discharge if there
                     are less environmentally damaging practicable
                     alternatives  to filling waters of the U.S.   For
                     projects which  would fill wetlands  and which
                     are  not "water  dependent" (i.e., do not  need
                     to be located in waters to fulfill their basic
                     purpose) such alternatives are presumed to be
                     available.

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               2.   Significant impact test.  Prohibit discharges
                    which  cause  or  contribute  to  significant
                    impacts    to    the    aquatic    environment.
                    Consideration of  cumulative  impacts often an
                    important factor.

               3.   Water quality standards.  Prohibit violations
                    of  state water  quality  standards  including
                    antidegradation provisions.

               4.   Minimize and mitigate unavoidable impacts.  May
                    involve   restoring   degraded   wetlands   as
                    compensation.

     B.   Corps public interest review looks at a number of other
          factors.

VII. EPA S404fcl Veto

     A.   May  be exercised  whenever  EPA determines  there would
          likely be an "unacceptable adverse effect" to municipal
          water  supplies,   shellfish,   fisheries,   wildlife  or
          recreation.

     B.   Four  step  process:   notification;  public notice  of a
          proposed 404(c) action;  regional office recommendation;
          headquarters office final decision.

     C.   Most 404(c) decisions based on key elements of 404(b)(1)
          guidelines,   viz.,   significance   of   impacts   and
          alternatives.

     D.   §404(c) may be used in the absence of or in the advance
          of a permit application (see section X below).

     E.   In New England, the authority has been exercised  in three
          cases:    Attleboro  Mall   (Massachusetts);  Big  River
          Reservoir (Rhode Island)  and Leonard Pond Site (Ongoing,
          Massachusetts).

VIII. Enforcement

      A.  EPA and Corps share enforcement responsibilities and have
          recently signed  a Memorandum  of Agreement  to promote
          cooperation and avoid duplication of effort.

      B.  Administrative and judicial enforcement remedies include
          removal of unauthorized fill and restoration of habitat
          and imposition of  substantial penalties:

               Administrative—up to  $125K
               Civil—up to  $25K/day  of violation

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               Criminal—$25K to $50K/day of violation and/or
                 imprisonment

      C.  Every day that  unauthorized  fill  remains in place  may
          constitute an added day of violation.

IX.    Advance Protection of Wetlands

      A.  EPA  becoming  more   "proactive"  by   identifying  and
          protecting valuable wetlands and  other special aquatic
          areas in advance. Improves environmental protection and
          gives greater predictability to regulatory process.

      B.  EPA  has prepared  "Priority  Wetland   Lists"  for  each
          region.

      C.  Two  basic  mechanisms  at  federal   level:     "Advance
          Identification of  Sites  (ADID) and §404(c)  authority.
          ADID is  a  planning tool which designates  areas and/or
          activities which are unlikely or likely to receive §404
          permits.  §404(c) preempts permit process and prohibits
          or restricts discharge activities at specified sites.

 X.    No Net Loss Policy

      A.  EPA has endorsed the  goal  of  "no  net  loss"  of wetlands
          but has  not issued a formal  policy.    The  President's
          Domestic Policy Council has been charged with developing
          an administration policy.

      B.  The February 1990  memorandum  of  agreement between Army
          and EPA states that the agencies will strive to achieve
          no net  loss of wetland value  and function  in reaching
          individual permit decisions in the §404 program.

      C.  EPA Region  I has  followed  a  three point plan in moving
          toward a "no net  loss" goal:   1.   Curtail wetland loss
          through  vigorous  implementation  of the  404  program by
          preventing avoidable and significant losses;  2.  Work to
          strengthen state and  local wetland protection programs.
          3.   Promote  the  restoration of degraded  or damaged
          wetland to increase the wetlands base;  4.  Encourage the
          protection  of   existing  wetlands   through  purchase,
          conservation easements and other  effective means.

      D.  Compensatory mitigation  (i.e., restoration or  creation
          of wetlands)  has an  important but  limited  role in the
          §404 program.  First,  compensatory mitigation must apply
          only to unavoidable impacts.  Second, even if impacts are
          unavoidable,  compensatory mitigation  cannot always be
          relied upon to offset severe wetland  impacts because of
          the high level  of risk and uncertainty associated with

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                                8

          the practice.

      E.  Any no net loss policy must confront difficult questions
          such as:  Should it be enforced on a case-by-case basis
          or through  some  broader planning  effort?   How  should
          "gains" and  "losses" be measured?   How  can no net loss
          be achieved for impacts beyond the scope of regulation?
          Might no net loss of wetlands translate  into the loss of
          other sensitive less protected habitats?  Resolution of
          these and other  equally difficult  questions will shape
          the nature and effectiveness of a national policy.


S404 Clean Water Act Permit Process

Section 301  of  the Clean Water Act prohibits  the discharge of a
pollutant from  a  point source into waters of  the U.S.  without a
permit.  Host discharges are regulated under the §402 NPDES permit
program  (see other papers,  this volume);  however,  a  subset  of
discharges—dredged or fill material—is regulated under §404.  The
phrase  "waters  of the  U.S."  reaches  to the   farthest  extend
permissible  under the  Commerce  Clause  of the Constitution  and
includes rivers, lakes, streams,  ponds and wetlands  (e.g., swamps,
marshes, bogs, fens, sloughs, etc.)

Many construction activities in waters of the U.S.  involve some
discharge of dredged  or  fill material  and thus require some kind
of §404 permit.   EPA and the U.S. Army  Corps of  Engineers share
responsibilities under §404 of the Clean Water Act. Basically, the
Corps administers the program on a day-to-day basis; they accept,
process and  decide to issue or deny permit  applications.   EPA's
responsibilities  include  development  the  §404(b)(l)  guidelines
which  are the  environmental standards  against  which  the Corps
evaluates permit applications.  EPA has primary responsibility for
interpreting the  geographic limits  of §404 jurisdiction, writing
the   environmental   standards   (the    §404(b)(l)   guidelines),
prohibiting environmentally unacceptable discharges under §404 (c),
and delegating  the program  to  qualified states.     In  reviewing
proposed §404 permits EPA focuses primarily on ensuring compliance
with the §404(b)(l) guidelines.   These guidelines  strongly protect
the environment by prohibiting  the  significant or avoidable loss
of wetlands  or  other  waters of  the  U.S.    EPA and the Corps both
have full enforcement  authority against violations of  §404.

The New England  office of  the  Corps receives  several thousand
permit  requests  annually.    In  1989,  for example,  2500   permit
applications were submitted to  the  Corps.  Each case  is assigned
to a project manager or a senior project manager depending upon
its  complexity.     If  a  proposed  project  falls  under §404
jurisdiction,  it  either  qualifies  under a  general  permit   or
requires an  individual permit.

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General permits (see 33  CFR  330)  authorize  classes of activities
the  Corps believes  to  have minimal  individual   and  cumulative
environmental impacts.   Some  general permits allow work to proceed
without contacting the Corps; other general  permits do not become
valid until  after an abbreviated case-by-case  review procedure.
Since the  actual  process can be  complicated  in some  cases,  EPA
advises prospective dischargers to consult with the Corps regarding
applicability of general permits.

Discharges not exempted (see outline)  or not authorized  under a
general permit  require  an  individual  permit.   Once  a  complete
application is received  the  Corps issues  a  notice  seeking public
comment.  The comment period is typically 30  days  in length but,
on rare occasions, may be longer and/or include a public hearing.
In addition  to  EPA,  the U.S. Fish  and Wildlife Service  and  the
National Marine Fisheries Service review most permit applications
to  ensure adequate  protection of  fish  and  wildlife  resources
(states may  also  condition  or  prevent  issuance  of  404  permits
through the §401 water quality certification process).  After the
close  of  the  comment  period,  the  Corps evaluates  §404  permit
applications against the environmental standards contained in the
§404  guidelines  (40 CFR 230).    These  binding  §404 regulations
contain the primary  requirements  for issuing  or denying a permit
and  include  strong  provisions  prohibiting  the  avoidable  or
significant loss  of  wetlands.   In addition to  applying  the §404
guidelines, the Corps  conducts  a "public interest review" which
considers a wide array of social and environmental factors.   The
Corps can issue a permit  only upon both  finding compliance with the
§404  guidelines  and determining  the proposed project is  in  the
public  interest.   Figure  1  outlines the basic elements  of  the
permit process.

During  the past  two years,  EPA  and the Corps reached  several
important  accords  to improve administration of  the 404 program.
These include a joint federal manual for  wetland delineation (the
U.S. Fish  and Wildlife  Service  and  the Soil Conservation Service
also  are  parties  to  the manual).  It  provides  the scientific
criteria and methods for wetlands identification and delineation.
Although EPA and the corps for many years operated under the same
regulatory definition of "wetlands", the agencies  did not always
employ  the same  delineation methods in  the field  until reaching
agreement  on the  joint manual.   EPA and  the  Corps also signed  a
memorandum of agreement  (MOA) concerning  §404 program enforcement
to ensure that the two agencies  coordinate effectively and work to
complement with one  another.  Early this year  EPA and the Corps
signed another MOA, this one concerning mitigation requirements  for
§404 individual permits.

Each of these agreements signify major resolutions of long  standing
differences between  the  agencies.  They have already enhanced  the
level of  environmental  protection in the program while improving
the efficiency and predictability of the  process.  Although these

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                                       Figure 1
                    Section  404 Permit Process
                                Application Received
I

     Complete?
                                                   I
                      No
 Request
Additional
lnfonnation
                                 Issue Public Notice
                              30 • Day Comment Period

[
Receive Public Comment    |
                 be held)  ]
                             (Public Hearing may
                          ,
                          I
                          I

  Comply with Section
  404(b)(l) Guidelines?
                                   Contrary to the
                                   Public Interest?
          NOTE: If Corps proposes to issue a permit over the objections of the FWS, EPA or NMFS
          these agencies may "elevate" the case for higher level review pursuant to interagency
          memoranda of agreement In addition, EPA has authority under Sec. 404(c) to "veto" a Corps
          decision to issue a permit upon concluding that unacceptable adverse impacts would occur to
          certain environmental resources.

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                                10

agreements would  appear to  go far  in  addressing a  traditional
refrain of the regulated sector for "EPA and the Corps to get their
act  together", the  controversy  about  the  §404  program  rages
unabated  in  Congress,  the courts and the  press.   Among  the key
issues in federal  wetland  protection  to be debated during the next
several years:

     •Whether  the  joint federal delineation  manual  needs  to  be
     modified  especially  as  it  applies  to  so-called  special
     circumstances such as cropped wetlands and Alaskan tundra.

     •The shape of a national "no net loss11 policy and whether it
     should be applied on a case-by-case basis.

     •Whether public  projects  (e.g., highways and reservoirs, etc.)
     should be regulated differently from private proposals.

     •In  what circumstances  could regulatory actions  to  protect
     wetlands  effect  an   unconstitutional  taking  without  just
     compensation.

S404(cl Authority

Under section  404(c)  of the Act, EPA may prohibit or restrict the
use  of  any defined area  as  a disposal  site  for  dredged  or fill
material  upon making certain  findings.   EPA action under §404(c)
may  be  taken apart from the permit process or it may be  used to
veto or restrict  a Corps decision to issue a permit.   In either
case, the decision to prohibit or restrict the use of a site must
be based on a finding that filling the area would have unacceptable
adverse  impacts  on  municipal  water  supplies,   shellfish  beds,
fishery  areas, wildlife or  recreational areas.    Thus Congress,
recognizing  EPA's environmental expertise,  vested EPA with 'the
final decision on whether a  project's  environmental  impacts  are
acceptable.  The preamble to the §404 (c)  regulations clarifies that
§404(c),  among other functions, should "police application of  the
§404(b)(l) guidelines"  and that "those portions of the guidelines
relating  to  alternative sites may be considered in evaluating  the
unacceptability of the  environmental impact."

Although  a  potent authority  to protect  wetlands,   §404(c)  has
limitations.   Unacceptable impacts  to  values not listed in  the
statute — aesthetics and water quality, for  example — cannot be
directly  addressed under §404(c).   Additionally,  §404(c) cannot be
used to prevent impacts not regulated by the  statute  itself, such
as excavation or  drainage of wetlands.   Most large-scale wetland
alterations  involve  some  discharge  of dredged  or fill material
essential to the project  and  thus fall within §404 jurisdiction.

The  §404(c)  process  begins when  the Regional Administrator  (RA)
informs the  District Engineer, the landowner and the applicant, if
any, in writing of his or her belief that  issuance of the  permit

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                                11

in  question nay  result  in  unacceptable  adverse  environmental
effects.  Courts have confirmed that the threshold for initiating
the process  need  not be  high;  the RA  need  only have  reason  to
believe that there may be unacceptable adverse effects.   A 15-day
consultation period ensues  during  which the  Corps,  the  landowner
and the applicant may discuss the case with the RA and attempt to
demonstrate  that  no  unacceptable impact  will  occur  or  take
corrective action.   If unpersuaded,  the RA  publishes a proposed
§404(c)  determination in  the  Federa 1  Recrister.  accepts  public
comments  for a 30-60 day  period  and,  usually,  holds   a  public
hearing.  After evaluating the public comments, the RA sends to EPA
headquarters a  recommended  decision which affirms,  withdraws  or
modifies the proposed determination.    The final  decision,  which
rests with Washington, either affirms or modifies the recommended
determination (which results in prohibition or restriction of the
site   as  a   disposal   area),  or   rescinds  the   recommended
determination.

One aspect  of  EPA's  section  404(c)  authority is the ability  to
prohibit or restrict  discharges of dredged or fill  material at a
site before the permit authority has received  a permit application.
Unacceptable  adverse  impacts  to  §404(c)   resources   must  be
demonstrated just as happens in a §404(c) action on a permit.

The basic criteria for section 404(c)  actions, whether in advance
or after the receipt of  a  permit application, remain  the same:
demonstration of unacceptable adverse  effects on municipal water
supplies, shellfish  beds, fishery areas  (including  spawning and
breeding grounds)  wildlife or recreation areas.

EPA Region  I has  committed to  increasing the appropriate  use of
§404(c).   Proper  use of the authority, either  to prohibit  or
restrict  environmentally  damaging projects  or  as  an  advance
protection tool, will protect valuable wetlands and contribute to
the "no net loss"  goal.   In  addition, use of  §404(c) in advance of
individual permit applications will provide more certainty in the
regulatory process and ensure  fidelity to  agreements made in the
planning process.

Ho Net Loss

The National Wetlands Policy Forum recommended an interim goal of
achieving "no overall net loss" of wetlands  and a long-term goal
of increasing the  "quantity and quality of the nation's wetlands
resource  base."   Although  the Forum's  goals are  conceptually
attractive, a number  of  difficult  issues and competing interests
have slowed development of a national policy.

The Domestic Policy  Council has been  charged with  developing an
administration-wide policy  by the end of this  year.    That task
may  prove  daunting  given  the diverse and  often  conflicting
interests  represented on the  Council.   Meanwhile,  a  number of

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                                12

federal agencies including EPA  and  the  Corps  (e.g.,  all agencies
within  Department  of  Defense,  Departments  of  Agriculture  and
Energy)  have endorsed the goal of no net loss  and have taken steps
at  both  the national  and  regional level  to  improve  wetland
protection.  Host notably,  in February of this year, the Corps and
EPA signed an important agreement setting forth wetland mitigation
policies  in  the  §404  Clean Water Act  permit process.    This
agreement, while not  in  itself a "no net  loss"  policy,  furthers
that goal by providing guidance and clarification on how existing
federal wetland protection requirements  should be  applied by the
Corps and EPA.

In New England, federal environmental agencies have been working
to protect and restore wetlands  on several  fronts.    First,  we
prevent   avoidable   or   significant    losses   through   strict
implementation of the §404 regulatory program.  We accomplish this
by vigorous application of the EPA §404(b) (1) Guidelines, the Corps
public interest review,  and the  EPA  §404(c)  authority.  Second, we
seek to  work with other wetland protection interests  to address
wetland losses resulting from activities beyond  the jurisdiction
of §404.   This work involves assisting  state  and local officials
with technical and  regulatory issues,  and  a  concerted effort in
public education.   Third, we  support efforts to restore previously
degraded or destroyed wetlands in hopes of adding to our wetlands
base over  the long-term.  For example,  we are encouraged by work
in coastal Connecticut to rescue saltmarshes  from invasion by the
common reed Phraomites and other undesirable  species by restoring
tidal hydrology.

EPA Region I  continues to believe that  "compensatory mitigation"
(wetland restoration or creation) has an important but limited role
as a tool to approach the goals of no net loss. As a general rule,
we favor wetland restoration  apart from the 404 regulatory process;
that is, wetland restoration and  creation have merit as attempts
to  expiate   past   environmental  damage  but  only  in  limited
circumstances justify further loss  of our remaining wetlands.  In
fact, federal regulations prohibit issuance of §404  permits if less
environmentally damaging  alternatives  exist.   For most projects
which  fill wetlands,  the  regulations presume  the availability of
feasible  alternatives which cause  less damage  to the  aquatic
environment.  Some key scientific and policy considerations support
this view:

  •  In  New  England,  80-90%  of the  landscape  is not  wetland
     bolstering the case for avoidance as the  primary means of
     wetland protection.

  •  The most comprehensive and  recent scientific reviews show that
     roughly 50% of compensatory mitigation projects fail partially
     or completely.  Wetland  restoration efforts generally are more
     likely to succeed than  wetland creation  projects  and certain
     habitat types (e.g., emergent marshes) can be constructed more

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                                13

     easily than other types (e.g., forested wetlands,  bogs).

  •  Most scientists agree that  only some wetland functions (e.g.,
     flood storage)  can be replicated reliably; other functions can
     be replaced only to  a certain  degree (e.g.,  wildlife habitat)
     or  poorly  if  at   all   (e.g.,   groundwater   recharge  and
     discharge).  Full compensation  for major  losses  of  wetland
     functions and values is impossible.

  •  Because  long-term  success of  compensatory  mitigation  is
     uncertain,  careful   monitoring  and  follow-up  is  required.
     Corrective measures  may be necessary at a high proportion of
     sites.   Regulatory  agencies  with limited staff and  high
     turnover are ill-equipped to monitor many projects over many
     years effectively.

The  acceptability  of  these  risks  and  limitations  of  wetland
creation  and restoration  depend  largely  upon  context.   A  50%
success rate may be  quite good  for projects intended  to increase
the  wetland  base  but  poor  indeed when  offered  as   barter  for
destroying natural wetlands.  In the framework of the §404 program,
compensatory mitigation  must  apply only to  unavoidable impacts.
Even where the impacts are unavoidable,  compensatory  mitigation
normally cannot fully offset severe wetland losses.

While these factors influence the day-to-day operation of federal
wetland permitting under  §404, they also should guide development
of a national  no net loss policy.   Any no  net loss  policy must
grapple with questions such as:  Should it be enforced on a case-
by-case basis or through  some  broader planning effort?  How should
"gains" and "losses" be measured?  How  can no net loss be achieved
for impacts outside the scope  of regulation? Might no net loss of
wetlands translate into the loss of other sensitive less protected
habitats?  How these and other  difficult  questions  are resolved
will be critical in  determining the  shape  and effectiveness of a
national policy.

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                               15
                       List of Attachments
1.  EPA/Army Memorandum of  Agreement  Concerning Mitigation Under
    the Clean Water Act 404(b)(1)  Guidelines
2.  Environmental Backgrounder about Wetlands Program
5.  EPA "Action Plan" to protect wetlands

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                     MEMORANDUM OF AGREEMENT
         BETWEEN THE ENVIRONMENTAL PROTECTION AGENCY/
          AND THE DEPARTMENT OF THE ARMY CONCERNING
           THE DETERMINATION OF MITIGATION UNDER THE
            CLEAN WATER ACT SECTION 404(b)(l) GUIDELINES    '*><<
      The United States Environmental Protection Agency (EPA) and the United States
Department of the Army (Army) hereby articulate the policy and procedures to be used
in  the  determination  of  the  type  and  level of mitigation necessary to demonstrate
compliance with the Clean Water Act (CWA) Section 404(b)(l) Guideline! ("Guidelines").
This Memorandum of Agreement (MOA) expresses the explicit intent of the Army and
EPA to implement the objective of the CWA to restore  and maintain the  chemical,
physical, and biological integrity of the Nation's waters, including wetlands. This MOA is
specifically limited to the  Section 404 Regulatory Program and is written to provide
guidance for agency field personnel on the type and level of mitigation which demonstrates
compliance with  requirements in the Guidelines.  The policies and procedures discussed
herein are consistent with  current Section 404 regulatory practices and are provided in
response to questions  that  have been raised about how the Guidelines are implemented.
The MOA does not change the substantive requirements of the Guidelines. It is intended
to provide guidance regarding the exercise of discretion under the Guidelines.

      Although  the Guideline* are  clearly applicable to all  discharges of dredged or fill
material, including general permits and Corps of Engineers  (Corps) civil works projects,
this MOA focuses on standard permits  (33 CFR 325.5(b)(l))'.   This focus is intended
solely to reflect  the unique procedural  aspects associated  with the  review of standard
permit*, and does not obviate the need for other regulated activitiei to comply fvlly with
the Guidelines.  EPA and Army will  seek to develop supplemental guidance for other
regulated activities consistent with the policies and principles established in this  document.

      This  MOA provides guidance to Corps and EPA personnel for implementing the
Guidelines and must be adhered to when considering mitigation requirements for standard
permit applications,  The  Corps will  use thii MOA when  making its determination of
compliance with  the Guidelines with respect to mitigation for standard permit applications.
EPA will use this MOA in developing its positions on compliance with the Guidelines for
    'Standard permits are those individual permits which have been processed through
application of the Corps public interest review procedures (33 CFR 325) and EPA's
Section 404(b)(l) Guidelines, including public notice and receipt of comments. Standard
permits  do not  include letters of permission, regional permits nationwide permits or
programmatic permits.
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   s'j    ::4r      ::>.. ^rr ut AiWiWlSihATuP.                                      •.,  3/1 a
     proposed  discharges and will reflect thii MOA when commenting on standard permit
     applications.

     JL Potty

            A.  The Council on Environmental Quality (CEO) hai defined mitigation hi fu
     regulation* at 40 CFR150120 to include: avoiding impacts, minimizing impacts, rectifying
     impacts, reducing impacts over time, and compensating for  impacts.  The Guidelines
     establish environmental criteria which must be met for activities to be permitted under
     Section 404.' The types of mitigation enumerated by  CEQ an  compatible  whh the
     requirements of the Guideline; however, as a practical matter, they can be combined to
     form three general types: avoidance, minimization and  compensatory mitigation.  The
     remainder of this MOA will speak tn terms of these more general types of mitigation.

            R  The Own Water Act und the Guidelines set forth a goal of restoring and
      maintaining existing muuitir.inviiimi..TIwCarpSLjidll rtrivtJojMjid.adyiavjnipacttjuTd
      offset unavoidable advene impacts to existing aquatic resources, and for wetlands, win
      strive to achieve a goal nf no overall net tots of values and functions. In focusing the goal
      of tin overall net Inu tn wetlnndx nnly, F.PA and Army hmrt  nplicitly  rrnignixfri Ihf
      special significance of the ntubn'i wetlands resources. This special recognition of wetlands
      resources dues not In any manner diminish the vahie of other waters of the United Slates,
      which are often of high value.  All waters of the United States, such as  streams, riven,
      hikes, etc, wHI be accorded the full measure of protection under the Guidelines, including
      the requirements for appropriate and practicable mitigation.  The determination of what
      level of mitigation constitutes "appropriate" mitigation is based solely on the values and
      functions of the aquatic resource that will be impacted. "Practicable" ts defined  at Section
      2303{q) of the Guidelines.'  However, the level of mitigation determined to be appropriate
      and practicable under Section 23Q.!Q(d) may  lead to individual permit decisions which do
      not fully meet this goal because the mitigation measures necessary to meet this goal are
      not feasible, not  practicable,  or would accomplish only inconsequential reductions  in
      impacts.  Consequently, it is recognized that no net toss of wetlands functions and values
      may not be achieved hi each and every permit action. However, it remains a goal of the
      Section 404 regulatory program to contribute to the national goal of no overall  net toss of
      the nation's remaining wetlands base,  EPA and Army are  committed to working with
      others through the Administration's interagency task force  and other avenues to help
      achieve this national goal.
          '^except where Section 404{bX2) applies).
                   73(1, 
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      C.  In evaluating standard Section 404 permit applications, BE a practical matter,
information on all facets of a project, including potential mitigation, is typically gathered
and reviewed  at the same time.  The  Carps, except at indicated below, first makes a
determination that potential impact! hava bten avoided to the tnoaimum extent pmeticaMo;
remaining unavoidable  impacts wilt  then be mitigated to the extent appropriate  and
practicable by requiring steps to minimize impacts and, finally, compensate for aquatic
resource value*.  Thh sequence is considered satisfied where the proposed mitigation  in in
accordance with specific provisions of a Corps and EPA approved comprehensive plan that
ensures compliance with the  compensation  requirements  of  the  Section 404(h)(1)
Guidelines (examples of such comprehensive plans may include Special Area Management
Plans, Advance Identification areas (Section 230.80), and State Coastal Zone Management
Plans).  It may be appropriate tn deviate from the sequence when EPA and the Corps
agree the proposed discharge is necessary to avoid environmental harm (e.g, to protect
a mitural  aquatic community from saltwater intrusion, chemical contamination, or other
deleterious physical or chemical Impacts), or EPA and ths  Corps agree that the proposed
discharge  can reasonably he expected to result  in  environmental gain  or  insignificant
environmental losses.

       In determining "tpprnpriiti and practicable" measure* to offset unavoidable impacts,
such  measures should be appropriate to the scope and degree  of those impacts and
practicable in terms of cost, existing technology,  and logistics in  light of overall  project
purposes.  The Corps will give full consideration to the views of the resource agencies
when making this determination.

       1.   Avoidance.    Section 230.10(a) allows  permit issuance  for  only the  least
environmentally  damaging  practicable  alternative/  The  thrust  of this  section  on
alternatives is avoidance of impacts.  Section 23Q.10(a) requires  that no discharge shall
be permitted  if there is a practicable alternative  to the proposed  discharge  which would
have less adverse impact to the aquatic ecosystem, so long as the alternative does not have
other significant adverse environmental consequences. In addition, Section 230.IO(a)(3)
sets forth rebuttable presumptions that 1) alternatives for non-water dependent activities
that do not  involve special aquatic sites0 are  available and 2) alternatives that do not
invoke special  aquatic sites have  less advene impact  en thc--aquatie-environmeiit-
     'Avoidance as used in the Section 404(b)(1) Guidelines and  this MOA does  not
 Include compensatory mitigation.

     fit is important to  recognize that there are circumstances where the impacts of the
 project are so significant that even if alternatives are not available, the discharge may not
 be permitted regardless uf the compensatory mitigation proposed (40 CFR 230.10(c)).

     ^Special aquatic sites include sanctuaries and refuges, wetlands, mud flats, vegetated
 shiilluws, coral reefs and riffle  pool complexes.

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••go    5:5;      ?FA-'OFFI:E Ai:.:;;.;s7?.ATGR
     4M|riKM MM flMMtot tt IfcWBiiBwi efUUfdm •£? Ar Ante HMH'l MMM^	ft|ff 4
     Cumnensatury mitigation may not be used as a method to reduce environmental impacts
     in the evaluation of the  least environmentally damaging practicable alternatives for the
     purposes of requirements under Section 230.10(a).

          1 MJnimnmtkm. Station 330.10(d) ctatoc that appropriate and praetieabli sUpi to
     minimize the advene impacts will be required through project modifications and permit
     conditions.  Subnart H  of the  Guidelines describes several (but not all) means for
     minimizing impacts of an activity.

          1  Compensatory Mitigation.  Appropriate and practicable compensatory mitigation
     is required for unavoidable adverse impacts which  remain after all appropriate and
     practicable  minimization has been required.  Compensatory actions (e.g., restoration of
     existing degraded wetlands or creation of man-made wetlands) should be undertaken,
     when  practicable, in areas adjacent  or contiguous  to the  discharge  site  (on-site
     compensatory mitigation).  If on-site compensatory mitigation is not practicable, off-site
     compensatory mitigation should be undertaken in the same geographic area if practicable
      (I*., in dose physical proximity and, to the extent possible, the  same watershed). In
      determining compensatory mitigation, the functional values  tost by the resource  to be
      impacted must be considered. Generally, in-kind compensatory mitigation is preferable to
      out-nf-kind. There is continued uncertainty regarding the success of wetland creation or
      other habitat development.  Therefore, in determining the nature and extent of habitat
      vlcvclii|micul uf Uin ly\Jc, careful ujraklcretiun shtiutd be given lu ib likeliliuud uf niiuxu.
      Because the likelihood of success is greater and the impacts to potentially valuable uplands
      are reduced, restoration should be the first option considered.

             In the situation where the Corps is evaluating a project where a permit issued by
      another agency requires compensatory mitigation, the Corps may consider that mitigation
      as  pan of the  overall  application for purposes of public notice, but  avoidance and
      minimization shall still he  sought

             Mitigation banking may be an acceptable form of compensatory mitigation under
      specific criteria designed to ensure an environmentally successful bunk. Where a mitigation
      bank has been approved by EPA and the Corps for purposes of providing compensatory
      mitigation  for specific identified projects, use of that mitigation bank for those particular
      projects i« considered as meeting the objectives of Section II.C3 of this MOA, regardless
      of the practicability of other forms of compensatory mitigation.  Additional guidance on
      mitigation  banking will be  provided. Simple purchase or "preservation" of existing wetlands
      resources may in only exceptional circumstances be accepted as compensatory mitigation.
       EPA  and Army will  develop  specific guidance for  preservation in  the  context  of
       compensatory mitigation at a later date.


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•B  7 "90   -5:52      E?A'OFFICE ADMINISTRATOR
          III.  Other Procedure

                 A, Potential  applicants for major  projects should  be encouraged to arrange
          preanplication meetings with the Corns and appropriate federal, state or Indian tribal,-and
          local authorities to determine requirements and documentation required for proposed
          permit evaluations.  As a result of such meetings, the applicant often revises a proposal
          to avoid or minimize adverse impacts after developing an understanding of the Guidelines
          requirements by which a future Section 404 permit decision will be made, in addition to
          gaining an understanding of other state or tribal, or local requirements. Compliance with
          other  statutes, requirements  and reviews, such as NEPA and the Corns public interest
          review, may not in and of themselves satisfy the requirements prescribed in the Guidelines.

                 B.  In achieving the  goals of the CWA, the Corps will strive to avoid advene
          impacts and offset unavoidable adverse impacts to existing aquatic resources.  Measures
          which can accomplish this can he identified only through resource assessments tailored to
          the  site performed by  qualified professionals because ecological characteristics of each
          aquatic  site are unique.  Functional values should be assessed by applying aquatic site
          assessment  techniques generally  recognized  by experts in the  field and/or the best
          professional judgment of  federal  and  state  agency representatives, provided  such
          assessments fully consider ecological functions included in the Guidelines.  The objective
          of mitigation for unavoidable impacts is to offset environmental losses.  Additionally for
          wetlands, such mitigation  should provide, at  a minimum, one for one  .functional
          replacement (i.e., no net loss of values), with an adequate margin of safety to reflect the
          expected degree  of success  associated  with  the mitigation plan, recognizing that this
           minimum requirement may  not  be appropriate and practicable, and thus may not be
           relevant in  all cases, as discussed  In Section 1KB of this MOA7  In the absence of more
           definitive information on the functions and values of specific wetlands sites, a minimum of
           1 to 1 acreage replacement  may be used as a reasonable surrogate for no net loss of
           functions and values.  However, this ratio may be greater where the functional values of
           the area being impacted are demonstrably high and the replacement wetlands are of lower
           functional value or the likelihood of success of the mitigation project is low. Conversely,
           the ratio may be less than 1  to i for areas where the functional values associated with the
               'For example,  there  are  certain areas where, due to hydrotagical conditions, the
           technology for restoration or creation of wetlands may not be available at present, or may
           otherwise be impracticable.  In addition, avoidance, minimization, and compensatory
           mitigation  may not be practicable where  there ii a high proportion of land which  is
           wetlands.  EPA  and Army, at present, are  discussing with  representatives  of the oil
           industry, the potential for a program of accelerated rehabilitation of abandoned oil facilities
           on  the  North Slope to serve as  a vehicle for satisfying necessary  compensation
           requirements.

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FEE
.30
S::3
             IFA'CFFiCE .OMIIii STRATA
4M0KMIMM
area being impacted are demonstrabry low and the likelihood of tuocess associated with
the mitigation proposal is high.

      C  The Guidelines are the environmental standard for Section 404 permit issuance
under the CWA.  Aspects of a proposed project may he affected through a determination
of  requirements  needed  to  comply  with the  Guidelines  to  achieve  these CWA
environmental goals.

      D. Monitoring is an important aspect of mitigation, especially in areas of scientific
uncertainty. Monitoring should be directed toward determining whether permit conditions
are complied with and whether the  purpose intended to be served by the condition is
actually achieved. Any time it is determined that a permittee is in non-compliance with
mitigation requirements of the permit, the Corps will take action  in accordance with 33
CFR Pan 326.  Monitoring should not be required for purposes other than these, although
information for other uses may accrue from the monitoring requirements. For projects to
be permitted involving mitigation with higher levels of scientific uncertainty, such as some
forms of compensatory mitigation, long term monitoring, reporting and potential remedial
action should  be required.   This can be required of the applicant through permit
conditions.

       E.  Mitigation requirements shall  be conditions of standard Section 404 permit!.
 Army regulations authorize mitigation requirements to be  added as special conditions to
 an Army permit tn satisfy legal  requirements (e.g., conditions necessary to satisfy the
 Guidelines)  [33  CFR 325.4(a)J.   This  ensures legal enforceabilhy of the mitigation
 conditions and enhances  the level of compliance.  If the mitigation  plan necessary to
 ensure compliance with the Guidelines is not reasonably implementable or enforceable, the
 permit shall be denied.

       F. Nothing in this document is intended to diminish, modify or otherwise affect the
 statutory or regulatory authorities of the agencies involved. Furthermore, formal policy
 guidance on or interpretation of this document shall be issued jointly.

       G.  This  MOA shall take effect on February 7,  1990, and  will apply to those
 completed standard permit applications which are received on or after that date.  This
 MOA may be modified or revoked by agreement of both parties, or  revoked by either
 parry alone upon sii (6) months written notice.
       Robert W. Page         (date)
Assistant Secretary of the Army
         (Civil Works)
                                                          LaJuana S. Wilcher        (date)
                                                    Assistant Administrator for Water
                                                  US. Environmental Protection Agency
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                  UMMSIMM           Otto*
                                    PgtfC AM** UU107I
                                    wSingiortOCMMO
&EPA        Environmental
                   Backgrounder


                   Wetlands
                  **• United states is losing ont of  its most valuable,
                  and perhaps irreplaceable, resources—our vttlands.
                  This natural heritage of swamps, marshes, bogs, and
                  other types of wetlands is disappearing at an alarming
                  rate.  Today, less than half of our nation's original
                  wetlands remain.

                  In the late 1600s. there were over  200 Billion acres of.
                  wetlands in the lower 48 states but by the mid-1970s ic
                  was estimated that there were 99 million acres of
                  wetlands—an area about the sise of California.  Between
                  1955 and 1975 alone, more than 11 million acres  of
                  wetlands were lost entirely—an area  almost two  and a
                  half times the sise of Mew Jersey.  Agricultural
                  drainage of wetlands was responsible  for 87 percent of
                  these losses; urban development and other development
                  were responsible for 8 percent and 5  percent of  losses,
                  respectively.  The avvrage annual loss during this 2"b
                  year period was 458,000 acres  (440,000 acres of  inland
                  wetlands and 18,000 acres of coastal  wetlands).   Today,
                  annual wetlands losses average  350,000 acres.
Background
                  The vital component of wetlands  is water.   It gives life
                  to a wetland and binds together  all of its parts, it
                  influences the soil structure and plants and animals
                  associated with a specific wetland.  One characteristic
                  of all wetlands is their periodic or constant inundation
                  or soil saturation.

                  Inland wetlands contain freshwater,-while coastal tidal
                  wetlands contain salty or brackish water.  Acre for
                  acre, wetlands match the most productive ecosystems in
                  the world.  Bottomland hardwoods, bogs, swamps, marshes,
                  and arctic tundra all are types of wetlands.
                   In their natural condition, wetlands provide many
                   benefits including!  water quality improvement, flood
                   protection, shoreline erosion control, natural products
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            for human uae, food, habitat and spawning grounds Cor
            fish and wildlife, and opportunities for recreation and
            aesthetic appreciation.  One of the most important
            values of wetlands is their ability to help maintain and
            improve the water quality of our nation's  rivers,
            estuaries, and other water bodies,  wetlands  do this by
            removing and retaining nutrients, processing  chemical
            and organic wastes, and reducing sediment  froa flood
            waters.

            wetlands function like natural tubs, storing  either
            flood waters that overflow riverbanks or surface water
            that collects in isolated depressions.  When wetlands
            absorb flood waters, they reduce damage downstream.
            Trees and other wetland vegetation help slow the speed
            of flood waters.  This action, combined with water
            storage, lowers flood heights and reduce the water's
            erosive potential.  The stored water  is then slowly
            released  downstream as flood peaks recede.

            Each wetland works  in combination with other wetlands as
            part of a complex,  integrated  system  that  delivers these
            benefits and others to society.

               * Many species of plants, birds, mammals, reptiles
                 and amphibians, and  invertebrates on the Endangered
                 Species List depend  on wetlands  during  some  phase
                 of their  life. Examples  include the manatee.
                 Florida panther,  whooping crane, Everglade  kite.
                 American  alligator.  Schaus swallowtail  butterfly,
                 and pondberry.

               * A major part  of the  commercial and recreational
                  fish catch in the United States is comprised of
                  species  that use  wetlands as a food source, or as a
                  habitat,  during some part of their life cycle.

               * wetlands contribute commercially to support a fur
                  and hide harvest worth 3300 to $400 million
                  annually, and are the basis for over 510 billion in
                  annual expenditures on nature study, fishing,
                  hunting, and other outdoor  recreation.

                *  Wetlands -have always been among the  most fertile
                  and productive ecosystems on  earth.  They can be
                  a« productive as the most productive cultivated
                  lands.

                + Mild rices, marsh hay, and hardwood trees are among
                  the commercial crops harvested in wetlands.

Tools       currently no comprehensive  federal law. for protecting
 iwvis       wetlands exists.   The major federal regulatory program
             for wetlands is Section  404 of the Clean water Act.

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               To address the  strong need for a national wetlands
               policy, UM EPA fcdainistrator aafced The conservation
               Foundation to convene an  independent National Wetlands
               Policy Forum in the spring of 1W7.  Governor Thomas  H.
               xssn of New Jersey cnaired the Forum that was comprised
               of twenty members representing a very wide range of
               perspectives including  state and local government,
               development, forestry,  agriculture, environmental
               groups, and experts in  wetland policy and science,  rive
               federal agencies  participated as ex officio members of
               the forum.  Four  meetings were held over the course of
               one year, from July 1987  to July 1988.

               Over 100 policy recommendations for wetlands  issues were
               released by the Forum on  November  15.  From EPA's
               perspective, some of the  most significant
               recommendations includes

                  * Legislative  changes  to address  the  shortcomings of
                    the Clean Hater Act  section  404 program.

                  + The strong emphasis  on advance  planning to address
                    wetland loss and degradation within a broader
                    environmental context and in advance of individual
                    permit decisions.

                  * The framework for a mitigation policy for wetlands.

                  * The call for restoration of many previously
                    altered wetlands to help balance the scale of
                    overall lasses.

                  * The establishment of a Wetlands Agricultural
                    Reserve to aid in addressing the very significant
                    portion of losses attributed to agricultural
                    actions.

               EPX is drafting a Wetlands Action Plan  in response to
               the recommendations.

a Action      Regulation of wetlands is certainly not limited to  the
0 rowuwn      federal  level.  Over the put three decades, numerous
               states have enacted lavs to regulate  activities in
               wetlands*  sad  some  towns have adopted local wetlands
               protection ordinances,   states also have important
               authority under  the clean Hater Act and the coastal zone
               Management Act to certify that federal activities are
               consistent with  state  requirements.  Although most
               coastal  states have lavs protecting coastal wetlands,
               fewer  than 20  states have  laws specifically regulating
               activities in  inland wetlands.   Several states also have
               acquisition programs  for important state resources,
               including wetlands.

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 Public Action      Sir! i!^ .—*'**• ?* tt"«°V wisnds continu.  »«
                     22 it iS. ""•"• in th* daMnd  «»» "•»• to aeveiap.
                     dZ?aditi2 2 !!•*? "n«oll«. «» insidious problem ot
                     degradation ot wetlands from vmete  discharges, urban
                     encroachment , ground-water withdrawals,  partial
                     drainage, and other actions still requires attention.

                     Many opportunities exist for private citizens,
                     corporations , government agencies ,  'and others  to work
                     together to slow the rate of wetland loss and  to inprov.
                     the quality of our remaining wetlands.   First,  states
                     and local governments need to establish prograas to
                     effectively protect all wetlands within their borders.
                     Second, individual landowners and corporations  own many
                     of the nation's wetlands and an  ia key positions  to
                     determine the fate of the wetlands  they own.   Finally.
                     every citizen can help protect wetlands by supporting
                     wetland conservation Initiatives,  such a* the  following
                          * Rather than drain or fill wetlands.
                            gtmm«r*•« for development projects
                            rather than wetlands, and avoid wetland
                            alteration or degradation during construction.

                                            or funds for purchasing wetlands
                            to private or public conservation groups or
                            agencies.

                          * Support various wetland ronaervation initiatives
                            by public agencies and private organizations.
                                                              •

                          * Maintain w»»ian«i« in and adjacent to buffer
                            strips as open space.

                                           the clean Water Act section 404
                            program, by reviewing public notices and. in
                            appropriate cases, commenting on permit
                            applications.

More Information ror further information about wetlands, please contact:

                            Public Information canter
                            Dfc  PM 211 B
                            401 M Street,  SH
                            Washington DC  20410
                            (202) 382-2080
                       PRINTED ON RECYCLED  PAPER

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                  HIGHLIGHTS  OF SECTION 404*
                      FEDERAL REGULATORY PROGRAM
                                              TO
                  PROTECT WATCRS OF THE UNITED STATES
  INTRODUCTION

      The U.S. Congress enacted the
  Clean Water Act to 'restore and
  maintain ibe chemical, physical, and
  biological integrity of the Nation's
  watery"  Section 404 of the Clean
  Water Act regulates the discharge of
  dredged and fill material into waters
  of the United States, and establishes
  a permit program to ensure that such
  discharges comply with environmental
  requirements. The Section 404
  program is administered at the
  federal level by the US. Amy Corps
  of Engineers (Corps) and the US.
  Environmental Protection Agency
  (EPA). The US. Fan aod Wildlife
  Service (FWS) and the National
  Marine Fisheries Service (NMFS)
  have important advisory roles. The
  Corps has the primary responsibility
  for the permit program tad fa
  authorized, after notice and
  opportunity for a public hearing, to
issue permits for the discharge of
dredged or fill material. States can
assume a portion of the permitting
program from the federal government
(for some waters only), but there has
been limited interest by the States,
EPA has primary roles in several
aspects of the Section 404 program
including development of the
environmental guidelines by which
permit applications must be
evaluated; review of proposed
permits; prohibition of discharges
with unacceptable advene impacts;
approval aad oversight of State
assumption of the program;
establishment of jurisdictions! scope
of waters of the United SUMS; tad
interpretation of Section 404
exemptions.  Enforcement authority
b shared between EPA aad the
Corps.

    Waters of the United SUMS
protected by the dean Water Act
include rivers, streams, estuanes. the
territorial seas, and most ponds, lakes
and wetlands. The term wetlands
includes swamps, marshes, bogs and
similar anas. Wetlands are a
particularly important and sensitive
segment of our waters, and therefore
merit special attention.  Wetlands
provide critical habitat for many
important species of fish and wildlife,
aad export plant panicles (called
detritus)  that serve as food for
aquatic organisms in adjacent waters.
Peak floodwaten are absorbed by
wetlands, reducing damage to
downstream property, often farms and
municipalities. Water quality is
Improved as a result of a number of
•Mural processes that remove
pollutants from water flowing through
wetlands. In addition, aesthetic.
recreational, scientific, aad
educational values are provided by
these natural aquatic areas.  While
not every wetland performs all of
            *nt information contained 01 mis document it intended u> provide a box underaanding of du Section 404
         program. It it not a form of policy guidance and should net be relied an at AC*  Far official guidance on
         Section 404 policy, die reader should go to Ou specific documents (such as the Clean Water Act and the MOAs
         between EPA end the Army Carpi of Engineers) or contact the appropriate EPA or Corps office.
EPA Office of WciUo* Pfwcoioa
                                                                                              October 1989

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   these functions, healthy wetlands
   provide one or more of these or
   other valuable services.

       Throughout history, wetlands
   have been misunderstood as
   •wastelands* to be drained or filled
   for conversion to other uses.  Within
   the last 200 yean, over half of the
   wetlands in the lower 48 States have
   been lost to agriculture, mining,
   forestry, oil and gas production,
   water resource development and
   urbanization.  High rates of loss are
   continuing; about ten percent of
   remaining wetlands were lost in a
   recent 20 year interval.

      The Section 404 Program is
   broadly recognized as the most
   significant federal regulatory program
   affecting wetlands.  However, Section
   404 is not a comprehensive wetlands
   protection program; it does not
   regulate all activities that harm or
   affect wetlands (see Appendix 1  for
   details on  Section 404).

   GEOGRAPHIC SCOPE OF
   SECTION 404

      Like other Clean Water Act
   programs,  the jurisdiction of Section
   404 extends to all waters of the
   United States. This phrase includes
   waters which are currently used, were
   used  in the past, or may be
   susceptible to use in interstate or
   foreign commerce, including:

    • all waters which are subject to the
     ebb and flow of the tide;
    • the territorial sea;
    • interstate waten and wetlands;
    • all other waten (such at iatnstate
     lakes, riven, streams and
     wetlands), if their use, degradation
     or destruction could affect
     interstate or foreign commerce;
    • tributaries to waten or wetlands
     identified above; and
    • wetlands adjacent to waten
     identified above.
    In determining waten that are
within the scope of the dean Water
Act, Congress intended to assert
federal jurisdiction to the broadest
extent permissible under the
commerce clause of the Constitution.
One factor that establishes a
commerce connection is the use or
potential use of waten for
navigation.  Other facton include
(but are not limited to) use of a
wetland (or other water) as habitat
by migratory birds, including
waterfowl, use by federally listed
endangered species or for recreation
by interstate visitors.

    As defined  in Section 404
program regulations, wetlands are
•those areas that are inundated or
saturated with surface or groundwater
at a frequency and duration sufficient
to support, and that under normal
circumstances do support,  a
prevalence of vegetation typically
adapted for life in saturated soil
conditions.'  In applying this
definition  in the field, government
agency scientists use indicaton of
vegetation, soils and hydrology to
identify wetlands and to establish
their boundaries. Wetlands can be
coastal or inland; saltwater or
freshwater.  Around the country,
wetlands may be known by a variety
of names, including swamps, marshes,
bogs, potholes,  sloughs, fens,
mangroves, pocosins, wet meadows,
savannahs, wet  tundra, playa lakes
and vernal pools.

ACnvmES REGULATED
BY SECTION 404

    Discharges of dredged and fin
material are commonly associated
with activities such at port
development, channel construction
   1 maintenance., fills to Create
                                      Section 404 discharges if they involve
                                      discharges of dredged or fill material
                                      (tg., toil) into waters of the United
                                      States. However, some activities
                                      which can adversely affect and even
                                      destroy wetlands, such as drainage
                                      •ad groundwater pumping, are often
                                      conducted without discharging
                                      dredged or Gil material into waters of
                                      the United States, and in those
                                      circumstances, are not regulated
                                      under Section 404.

                                          The Federal Clean Water Act
                                      also includes specific exemptions
                                      from permitting requirements for
                                      certain activities (§404(0(1)).  These
                                      activities include:

                                          1. Normal farming, silviculture,
                                      and ranching practices;

                                          2. Maintenance, including
                                      emergency reconstruction of recently
                                      damaged pans of currently
                                      serviceable structures such  as dikes,
                                      dams, levees, groins, rip rap,
                                      breakwaters, causeways, bridge
                                      abutments or approaches, and
                                      transportation structures;

                                          3. Construction or maintenance
                                      of farm or stock ponds or  irrigation
                                      ditches or the maintenance (but not
                                      construction) of drainage ditches;

                                          4. Construction of temporary
                                      sedimentation basins on a
                                      construction site which does not
                                      include placement of fill material into
                                      waters of the United States; and

                                          S. Construction or maintenance
                                      of nni or forest roads or temporary
                                      roads for moving mining equipment if
                                      bat management practices are
development sites, transportation
improvements, and water resource
projects (rack as dams, Jetties and
levees). Other kinds of activities,
such as landckaring, are regulated as
    Section 404(0(1) is applied
narrowly and is not intended to
exempt activities with more than
minor impacts on aquatic resources.
Under the recapture provision at
Section 404(f)(2), the eaemptions do
EPA Office of Weuudt Praucun
                                                                                                           OoobcriW

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   not apply if cbe discharge fa pan of.
   or incidenul to. u activity whose
   purpose is to convert an area of the
   waters of the United States into a
   use to which it was not previously
   subject, where the Dow or circulation
   of waters of the United States may
   be impaired or the reach of such
   waters reduced.  This limitation on
   the Section 404(1) exemptions would,
   for example, require a firmer to
   obtain a permit for a discharge to
   convert a wetland area to produce
   upland crops.

       The Clean Water Act provides
   another limited exemption under
   Section 404(r) for projects specifically
   authorized by Congress.  To be
   covered under this exemption, an
   Environmental  Impact Statement
   under the National Environmental
   Policy An must be prepared on the
   project and submitted to Congress.
   The Statement  must contain
   information on the effects of the
   discharge on environmental values
   protected by Section 404, including
   consideration of the Section
   404(bXl) Guidelines.

   INTRODUCTION TO THE
   PERMIT PROCESS

       Discharges can be authorued by
   either individual or general permits.
   If an individual permit is required, an
   application form describing the
   proposed activity is submitted to the
   Corps (or to a State agency if the
   program has been assumed from the
   federal government).  Oocea
   complete application is received, the
   permitting agency issues • public
   notice containing  the information
   needed to evaluate the likely impact
   of the proposed activity. Notice is
   lent to all interested panics including
   adjacent property owners, appropriate
   government agencies at the Federal.
   State, and local level, aad others as
   requested. Any person may request
   that a public hearing be held to
   consider the application.
         Advance identification of Disposal Sites

    The individual permit process wider Stolen 404 it sometimes en
intensive, tine consuming end controversial cast-breast evabaoon
process. SectomM of she Section 404(bMl)Oiidelina provides
for e planning process toot cm roue in e men prediooblt decision
mating process,  tn mis planning process, mformetion is developed
mat can be toed by me regulated end general public u plan end
consider potential projects.  Such  information can include general
locations end vohies of wears of the US. end potential thrtaa and
impacts to most values.  Ihis process usually results in maps which
provide information on where discharges to waters  of  me US.,
including wetlands, may be generally suitable or unsuitable.

     The Advance Identification (ADID) process is conducted by the
EPA end me Corps of Engineers (or eny State mat has assumed the
Section 404 permitting responsibilities) end includes consultation with
me effected State.  Active State end local involvement result in a
much better product end art encouraged by bom EPA end me Corps.
    Since the ADID process can require e substantial amount of staff
time end finds. a is usually conducted for areas met have important
resource vehie end ere tmder envelopment pressure. Further, the one
mat is  studied  end mapped is usually e very limited portion of e
watershed. Attempts art made to Bmit me geographic extent of the
ADID to e manageable site,

    The ADID process may invoke collecting easting date  end
generating new date on the eouotic system end its vetie to surrounding
end downstream eouetic ecosystems.  This information is then used to
^ermine whiAereei ere ^moavehiebk end. meref ore, m need of
me highest lev* of protection.

    The products met result from me ADID process include, et o
minimum, designation of areas es generally suitable or unsuitable far
aw at e discharge tat, Addaonal ectioru aiae often result, such as
same eraicspaiory method of protecting me most vehtabkereas.  For
example, ADWs may resua in State or local land JIM or regulatory
nariaiant, or so* «f EPA* Section 494(c) authority to restrict or
prohibit discharges » a defined ene. The Corps may issue general
ferns* far cenem «nmaa n portions of me ana etognesed et
EPA Office of WataDdi Praueuaa
                                                                                                           October 1989

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       General permits eliminate the
   need for individual permits for some
   activities which conform to specified
   terms and conditions.  General
    ermiis may be issued on a State,
   iegional or  nationwide basis.  Section
   404(e) authorizes general permits for
   activities which are similar in nature
   and wilt cause minimal advene
   environmental effects individually or
   cumulatively.  General permits are
   developed through the same public
   notice am* opportunity for public
   hearing process that is used r^r an
   individual permit.  Once  issued, a
   general  permit may be modified or
   revoked if the permitted activities are
   found to have an advene
   environmental impact. In some
   instances, the discharger must notify
   the Corps pnor to discharging under
   the authority of the general permit.
   On a case-by-case basis, the
   permitting agency may invoke
   discretionary authority and require a
   discharger that would otherwise be
   covered by a general permit to apply
   for an individual permit.
   MAKING THE PERMIT
   DECISION

      The Corps' evaluation of a
   Section 404 permit application is a
   two pan test which involves
   determining whether the project
   complies with the Section 404(b)(l)
   Guidelines and a pubbc interest
   review. A permit must be denied if
   the project fails to comply with the
   Guidelines or is (bond 10 be contrary
   to  the public interest

      The Corps' public interest  review
   is a balancing test in which the
   public and private benefits of •
   project are weighed against its
   advene impacts to the environment
   It includes such considerations as
   aesthetics, recreation, historic  values,
   economics, water supply, water
   quality, energy needs and flood
   damage prevention. The Corps also
considers all comments received in
the permit process, whether in
response to a public notice or a
public hearing, in arriving at a final
permit decision.  As pan of this
evaluation, the Corps conducts an
environmental assessment under the
National Environmental Policy Act
(NEPA) to determine whether the
project has  significant environmental
impacts.

   The Section 404(b)(l) Guidelines
(Guidelines), published by EPA in
conjunction with the Corps, contain
substantive  environmental criteria
used in evaluating discharges of
dredged or  fill material. Reflecting
the goals of the dean Water Act,
the Guidelines establish key policies
for the Section 404 Program:

 •  Dredged or fill material  should
not be discharged into waters of the
United States unless it  can be
demonstrated that such a discharge
will not have an unacceptable advene
impact (individually or  cumulatively)
on the aquatic ecosystem.

 •  From a national perspective, the
degradation or, destruction of special
aquatic sites, such as filling
operations in wetlands, is considered
to be among the most severe
environmental impacts  addressed by
Section 404.

    To implement  these policies, the
Guidelines  include a  number of key
requirements. One of them states
that no discharge can be permitted If
there is a practicable alternative with
less advene impact on  the aquatic
environment (unless the identified
alternative poses other significant
environmental problems).  This
alternatives test is applied more
rigorously (Le, alternatives  are
presumed to east) for  projects that
are proposed to be located  in special
aquatic sites when  the  project is not
water dependent For  cample, boat
      in a marina require water
access and are water dependent: a
restaurant is not  Special aquatic
sites include: wetlands, coral reefs.
mud flats, riffle and pool complexes
in streams, vegetated shallows and
sanctuaries and refuges.  However,
the Guidelines require a
demonstration that no practicable
alternatives east (as discussed above),
for both water dependent and non-
water dependent projects.

    No discharge can  be permitted
under the Guidelines if it would
violate other applicable laws, such as
State water quality standards, toxic
effluent standards, or the
Endangered  Species Act.  The
Guidelines also prohibit any
discharge that would cause or
contribute to significant degradation
of waters of the United States.  In
addition, discharges can be permmed
under the Guidelines only if all
appropriate and practicable steps are
taken to minimize (i.e.. mitigate) the
advene impacts of the discharge on
the aquatic ecosystem, including
compensating for unavoidable impacts
(see Appendix 2 for details  on the
Section 404(b)(l) Guidelines).

    In addition to the evaluation
conducted by the Corps under the
Guidelines and their public interest
review, Section 401 of the dean
Water Act must be complied with
before a permit can be issued.
Section 401  requires that the State in
which an activity occurs must certify
that the activity complies with the
State's water quality standards or
waive its right to so certify by  not
taking action within a specified time.
Similarly, coastal States must concur
that the activity meets the
requirements of the coastal zone
management program (CZMP) of the
State or waive  their right to concur
by Dot taking action within a
specified time.  CZMPsare
developed by States under the
Coastal Zone Management Act of
 1972.
EPA Office ot Wctiu* PIDUCUM
                                                                                                                 1M9

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                           ENFORCEMENT
          Enforcement it a necessary component of an effective regulatory porgram.
      EPA and the Corps than Staion 404 enforcement authority.  Section 309 of
      tin dean Water Aa gives EPA die authority to aa againa penera who
      discharge without a permii and alto to enforce against violations of Section 404
      permit conditions.  Section 309 also prov&s EPA with a variety of enforcement
      mechanisms.  Far example, an administrate corn/ilunce order issued pursue
      when appropriate, to remove the fill andJor restore the toe, Section 309ft)
      authorizes EPA to aueu administrative cMl penalties for, among oe\er things,
      violations of Section 404. A third enforcement mechanism allows EPA to seek
      monetary penalties, injuncrive relief, and even prison sentences through judicial
      action pursuant to Sections 309(b) and (c).  Under these Sections, EPA may
      refer cases to  the Department of Justice for criminal and/or cm/ litigation.

          EPA has focused its resources on identifying  and enforcing against
      unpermined discharges of dredged or fill material. The Corps has the lead on
      acting against violations of Corps-issued permits, and has also been responsible
     for a significant amount of the  enforcement efforts against unauthorized
      discharges.

          A Section 404 enforcement case frequently begins with EPA receiving
      information regarding a potential violator from a dozen  or local offaaL
      Violations are also discovered by State, EPA or Corps staff, or other Federal
     personnel while in the field on other routine business.  Thus, stale and local
      officials/residents con serve as the  'eyes and ears' of EPA in reeognuing and
      reporting potenaol Section 404 violations.  Suttes may also assume the Section
      404 program,  including enforcement; however, even where States assume the
     program, the  Corps maintains permuting authority in ovditionelfy navigable
      waters.
   ADDRESSING
   UNACCEPTABLE ADVERSE
   IMPACTS

       Under toe authority of Section
   404(c), EPA ouy prohibit, withdraw,
   or restrict the discharge of dredged
   or fill material into waten of the
   United States if the discharge would
   have unacceptable advene effects on
   municipal water supplies, shellfish
   beds and fishery areas (including
   spawning and breeding areas),
   wildlife, or recreational areas.  This
authority may be used before, during
or after Corps action on a permit
application.  EPA may ahx> exercise
this authority in the absence of a
specified permii application or Corps
regulatory action. In this instance,
EPA may conduct a Section 404(c)
action in conjunction with an
Advance Identification action or n
Special Area Management Plan, or
where otherwise appropriate.

    EPA generally exercises in
Section 404(c) "veto" authority when
the regulatory process results in a
permit decision that would have
unacceptable advene effects on
municipal water supplies, shellfish
beds and fishery areas (including
spawning and breeding areas),
wildlife, or  recreational  areas.  In
those cases. EPA's Section 404(c)
decision process may include data
collection and analysis, consultation
with the applicant and the Corps, and
public notice with opportunity for a
hearing.  EPA is increasing its use of
Section 404(c) authority, bui to date
has used it  infrequently.

    EPA works with the Corps
during the permit decision process
whenever possible to ensure
unacceptable adverse impacts are
avoided, and most concerns are
resolved through this imeragency
consultation.  The Corps and EPA
have developed a process through a
Memorandum of Agreement (MOA)
to quickly resolve any differences
over permit decisions.  In instances
where there has been either
insufficient  interagency  coordination,
the development of  significant new
information, or where the proposed
project nisei environmental issues of
national Importance, this MOA
allows for EPA's Assistant
Administrator for Water to request
that the Army's Assistant Secretary
for Civil Works elevate the proposed
permit decision to higher authority
for review.  The Fish and Wildlife
Service and the National Marine
Fisheries Service have similar
agreements with the Corps.

ENFORCEMENT

    As a jointly administered
program, the Corps and EPA share
responsibflliy for enforcing the
Section 404 program.  The Corps, as
the permitting agency, has primary
responsibility for monitoring and
enforcement of compliance with
Section 404 permit  conditions. EPA
can also enforce againsi non-
compliance with permit conditions;
EPA Offia of WoJiafe Proueuoo
                                                                                                         OoofcerlM?

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   however, EPA generally focuses its
   resources towards discovering and
   enforcing against unpennitted
   (unauthorized) discharges.  Anyone
   in violation of the Section 404
   program, either by conducting an
   unauthorized activity or by  violating
   permit conditions,  is subject to civil
   or criminal action or both.  Penalties
   can be imposed by the agencies
   administratively, that is, without use
   of judicial procedures.  When judicial
   action is pursued, the violator may be
   required to restore the site  and may
   be subject to payment of fines,
   imprisonment or both. The agencies
   and the courts also frequently require
   restoration of the site and/or
   mitigation at the expense of the
   violator, often in addition to other
   penalties.

   STATE PROGRAMS

     The Clean Water Act provides
   that States may assume a portion of
   the Section 404 permitting
   responsibility. EPA is responsible
   (or approval or denial of State
   program assumption  requests and  for
   oversight of State programs
   subsequent 10 approval States may
   assume the program  in all waters
   within the Staie except (1)  those
   which are subject to  the ebb and flow
   of the tide, plus adjacent wetlands
   and (2) waters which are presently
   used or may be susceptible  to use
   (through reasonable improvement) to
   transport interstate or foreign
   commerce, plus adjacent wetlands.
   The Corps retains  jurisdiction over
   all waters which the State cannot
   assume.

     States nun meet specific
   statutory and regulatory requirements
   for an approvabte State program.
   Some of these requirements are that
   the State must:  establish
   jurisdiction^ limits equivalent to the
   federal rules; regulate at least the full
   scope of activities regulated by
   Section 404; deny permits which do
not comply with the Section
404(b)(l) Guidelines; provide
sufficient public notice and
opportunity for public hearing; have
the authority to enforce compliance
with (he program  through civil and
criminal penalties and other means;
and be able to terminate or modify
permits for cause.  In addition to the
States and territories, Indian tribes
may be considered a "Sate* for
purposes of the dean Water Act.
including Section 404, If they meet
certain requirements.

    A number of States actively
exercise their authority under Section
401 of the dean Water Act, and
coastal states under Section 307 of
the Coastal Zone  Management Act,
to certify whether a proposed activity
complies with State water quality
standards, or b consistent with the
Slate's coastal tone management
plan, respectively.  Both of these
actions by the State apply to
activities regulated by the federal
government and give the State an
effective veto of the proposed
activity.

THE CITIZEN'S  ROLE IN
SECTION 404

    Aquatic resources, including
wetlands, play an  important role in
our lives.  They perform valuable
ecological, water quality, hydrologic
and economic functions. Yet these
•teas are rapidly disappearing or
being degraded to the point that
their important benefits can no
longer be realised. Increased
awareness and appreciation of the
values and benefits of these natural
areas on lead to  a greater
willingness and ability to protect
what b left of then.

   The concerned and informed
citizen can play an important role in
the protection of wetlands in
American communities.  Once
fcmiti«r with nearby wetlands and
other aquatic resources, citizens can
provide meaningful comments on
public notices on applications for
Section 404 permits.  In addition, one
of the most effective enforcement
mechanisms for the Corps and EPA
b notification of either agency when
citizens believe wetiand filling is not
permitted or  the permit conditions
are being violated.  Comment* are
also encouraged on proposed
regulations impiemejting
environmental programs at the
Federal, State or local level

   Citizens an also form activist
groups to protect and possibly even
purchase sensitive aquatic
environments such  as wetlands, free
flowing streams, lakes, or estuaries
that are subject to development
pressure.  Once formed, the group
can work with local governments to
establish protective zoning or State
government to use  water quality laws
tar protection of these  aquatic
ecosystems.  In addition to these
efforts,  a citizens group can
encourage EPA and the Corps to
help the protection effort through
advance planning such as advance
identification or special area
management  planning.

ADDITIONAL
INFORMATION

    Because  the Section 404 program
b complex, and application of
regulations and policies to specific
eases b often fact-specific, the reader
nay want to  contact local offices of
EPA or the Corps for additional
talbraation (see attached office
contacts). For more information on
wetlands, contact EPA Headquarters,
Office of Wetlands Protection
(A-104F), Attention:  Public
Information Officer, 401 M Street
S.W, Washington. D.C 20460.
EPA Office or Waludi Pnueuoo
                                                                                                                1M9

-------
                                          APPENDIX  1
                                 Federal Water Pollution Control Act
                           Renamed dean Water Act, 1977 Amendments
    The 1972 Amendments to the Federal Water Pollution Control An included the addition of the
Section 404 regulatory program.


Section 301(a):  States that any discharge of a pollutant (including dredged or fill material) is unlawful
               unless permitted under other sections of the Act, including Section 404.

Sections 309
      404(s):   Provide that  the EPA and Corps may initiate administrative or judicial enforcement
               action against violations, including discharging dredged or fill material without a Section
               404 permit, or violating the conditions of an issued permit

Section 404(a):  Provides thai the Corps may issue permits, after public notice and opportunity for a
               public hearing, for the discharge of dredged or fill material into waters of the United
               States, at specified disposal sites.

Section 404(b):  Each disposal site shall be specified by the Corps through application of guidelines
               developed by the EPA in conjunction with the Corps.  The guidelines (known as the
               Section 404(b)(l) Guidelines) shall be based upon criteria comparable to those
               applicable to ocean discharges under Section 402 (National Pollutant Discharge
               Elimination System) permits  defined at Section 403(c).

Section 404(c):  EPA is authorized to prohibit the specification (including withdrawal of specification) of
               any disposal  site and to deny or restrict die use of any disposal site.  This  prohibition or
               restriction is based, after public notice and opportunity for public hearing, on
               unacceptable adverse effect on municipal water supplies, shellfish beds and fishery areas
               (including spawning and breeding areas), wildlife, or recreational areas.


    The 1977 amendments to the FWPCA included additions  to Section 404. Subsections (d) through (t)
were added; notable changes were:


Section 404(e):  Provides authority to the Corps to issue general permits for a period of up to 5 jean
               provided the activities covered are similar to nature and will  have only minimal advene
               environmental effects individually and cumulatively. The general permit may be issued on
               a nationwide, regional or statewide basis and is  subject to application of the Section
               404(b)(l)  Guidelines and public notice and opportunity for public hearing procedures.

Section 404(f):  Eaempts discharges  associated with certain limited activities,  most dealing  with minor
               afrfcnltural or tiMculturaJ activities, bom requirement to obtain a permit Discharges
               anociaied with activities that convert a water of the United States to upland ase are not
               exempt.

-------
          Section
             404(g).(l):   Establishes • mechanism for Sutes to assume administration of the Section 404
                         regulatory program in certain WIKIS of the United Sutes. nose waters that are subject
                         to tidal action and their adjacent wetlands and waters which are presently used, or with
                         reasonable improvement could be used, to transport interstate or foreign commerce and
                         their adjacent wetlands  are not assumable (these waters are the same as those the Corps
                         determines to be subject to Section 10 of the Rivers and Harbors An of 1899, except
                         for historical Section 10 waters, plus adjacent wetlands).

          Section 404(q):  Requires that the Corps eater into memoranda of agreement with EPA. Department of
                         Commerce, Department of the Interior, Department of Agriculture and Department of
                         Transportation to "*'"'""'*» duplication and delay in decisionnuking.

          Section 404(r):  Provides that the discharge of fill material as pan of a federal  project specifically
                         authorized by Congress is not subject to  the requirements of Section 404, provided that
                         information on the effects of the discharge, including consideration of the  Section
                         40403)0) Guidelines, is included in the environmental impact statement under the
                         National Environmental Policy Act provided to Congress prior to authorization.
EPA Office o< WeUiw* Piweeaoo

-------
                                              APPENDIX  2
                                          Section 404(b)(l) Guidelines
                                           Restrictions on Discharges
              la order to be permitted under Section 404 of the dean Water Act. an activity must be found to be
           in compliance with the Section 404(b)(I) Guidelines (40 CFR 230).  There are several specific
           restrictions OB discharges listed in 40 CFR 230.10.
           40 CFR 230.10(a):
          40 CFR 230.10ft):
          40 CFR 230.10
-------
                                  OFFICE  OF  WETLANDS  PROTECTION
                                      PROGRAM  OFFICE  CONTACTS
                                                IN  REGIONS
Doufleee Tho»pior, Chief
C.i. IF* • Region I
•otltndt Protection Section
John t.  Kennedy Federil
eoeton,  M  02301-1*11
Don Hontelle, Chief
0.1. I»» •  teflon II
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                                                        Dellae, TX  11103
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MtUMl Protection Metlon
f!4 KllllMMta Avenue
       City, B  44101
                                                                                              (114)  (SS-2240
                                                                                              (•13!  114-1121
Berberi O'JUifelo. Chief                (IIS)
O.I  tfk. - teflon III
Mtltndc ud larlM talley teetlcn (JM43)
•41 CaoetiHit itr»«t
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                                                        1100 llXtH Avenoe
                                                        Mettle. KA  M101

-------
Notes

-------
Notes

-------
The Harvard/MIT
   Mediation
        -IX-

-------
The Harvard/MIT Mediation/Negotiation Process "Getting to Yes"
                                       Lawrence Susskind
             IX-l

-------
                                 BIOSKETCH

                      Professor Lawrence E.  Sussklnd

Lawrence Sussklnd, Ph.D., Is Professor of Urban and Environmental  Studies
at the Massachusetts Institute of Technology and Director of MIT-Harvard
Public Disputes Program.  He 1s Director of  Environmental  Policy Studies 1n
the School of Architecture and Planning at MIT and a member of the MIT's
Coordinating Committee of Hazardous Substances Management.

Professor Sussklnd served as Head of the MIT Department of Urban Studies
and Planning from 1976-1982 and as the first Executive Director of the
PRogram on Negotiation at Harvard Law School from 1982-1986.  (The Program
on Negotiation 1s an 1nter-un1vers1ty consortium devoted to Improving the
theory and practice of dispute resolution.)

Professor Sussklnd's most recent book, BREAKING THE IMPASSE: CONSENSUAL
APPROACHES TO RESOLVING PUBLIC DISPUTES (Basic Books, 1987) summarizes his
experience as a mediator of complex multi-party disputes.  He has helped to
develop the process for negotiated rulemaklng at the federal level, nego-
tiated Investment strategies  (public-private partnerships) at the state and
local level, negotiated the siting of public facilities, and mediated
science-Intensive policy disputes (such as those Involving health and
safety standards and the definition of acceptable levels of risk).

Professor Sussklnd has  served as a court-appointed  special master and as a
consultant to neighborhood, local, state, and national agencies and organi-
zations 1n North America, Europe, and the Far East.  He 1s the Senior
Editor of the ENVIRONMENTAL IMPACT ASSESSMENT REVIEW (an  International
quarterly published at  MIT aimed at Improving the practice of environmental
decision-making) and a  member of the editorial  boards of  NEGOTIATION
JOURNAL.  He Is also publisher of CONSENSUS, a  quarterly  newspaper distri-
buted by  the Public Disputes  Network to all elected bodies  In the United
States, and technical advisor to the PBS  television series SEARCH FOR
COMMON GROUND.

Professor Sussklnd  serves as  Principal Associate  to Environmental Resources
Ltd.  (London) and as Senior Consultant  to ENDISPUTE, Incorporated
(Cambridge).

For more  Information:

Phone:  (617) 253-2026 or fax  (617) 253-7402  (MIT)
        (617) 868-0200 or fax  (617) 868-8346  (Endlspute)

-------
Notes

-------
Notes

-------
 Air, Pesticides and
Toxics Management
 Division Programs
         -X-

-------
           Introduction to the Air, Pesticides and
          Toxics Management Division Programs
                                Susan Studlien
x-i

-------
                  Biography  for Susan Studlien


Susan Studlien is the Chief of the Technical and Program Support
Branch of the Air, Pesticides and Toxics Management Division.
The branch is responsible for overseeing the grant program under
Section 105 of the Clean Air Act.   It also provides technical and
modeling support for the entire Division on a variety of issues,
and it operates a mobile source enforcement program.

Prior to joining the Division in April of 1990,  Susan worked for
ten years as head of the Air Branch in the Office of Regional
Counsel at EPA, Region I.  She supervised several lawyers doing
both enforcement and defensive litigation under the Clean Air
Act, the Toxic Substances Control Act and the Federal
Insecticide, Fungicide and Rodenticide Act.

Susan is a graduate of the University of California and Harvard
Law School.

-------
           Emergency Planning and Community
                   Right-to-Know Act (EPCRA)
                Obligations of Federal Facilities
                             Leonard Wallace
X-2

-------
                       Biographical Sketch

     Leonard B. Wallace, IV graduated from the University of
Maine with a Bachelor's of Science in Environmental Studies.  He
moved on to Brandeis University receiving his Teaching
Certification in Science.  In his current position at the U.S.
Environmental Protection Agency, Region I as the Regional
Response Team Coordinator, he develops Regional Preparedness
Natural Disaster Plans and Emergency Response Training.  He also
covers Occupational and Public Safety, and Environmental
Monitoring and Research.  In the past he served with the
Massachusetts Pesticide Bureau and EPA as Supervisor and
Inspector for Enforcement of Hazardous Substances and Pesticides.
He has also been a Chemical Production Assistant for high-quality
chemicals used in the high-tech industry and as a High School
Science Teacher.

-------
mergency Planning and
   x^   /        ^/
ommunity Right-to-BCnow

-------
 uperfund
endments and
Keauthorizatlon Act of 1986
       TBTLE ODD

-------
   prehensiv; Environmental
esponse, Compensation, and
lability Act of 1980

-------
Title III of the Superfund Amendments and
Reauthorization Act of 1986
       Emergency planning

       Emergency notification

       Community right-to-know reporting
       Toxic chemica! release forms
       Miscellaneous provisions

-------
           Governmental Planning Structure
                        Section 301
      State Emergency
    Response Commission
                    _L
     Emergency Planning
           Districts
         T   I  I
      Local Emergency
     Planning Committees
  I '  Facility   I
  I Emergency I
'  I Coordinator I
  J Section 303 j
  Local Planning Committee

• Appointed by state commission

• Required by law
  to include representation from:

  - State and local elected officials

  - Emergency medical services

  - Community groups

  - Facility owner/operators

  - Local environmental regulators

  • Print and broadcast media

  • Health agencies

  - Fire services

  -CM! defense

  - Hospitals

  - Law Enforcement
• State commissions
  appointed by governors
  by 17 April 1987

• State planning districts
  designated by
  commissions by 17 July
  1987

• Local planning
  committees appointed
  by state commissions
  by 17 August 1987

• Emergency response
  plans completed by
  local planning
  committees by 17
  October 1988

• Plans are reviewed by
  state commissions

-------
            Emergency Planning Notification
                         Section 302
Owners and operators of facilities with...
   • One or more of listed extremely hazardous substances

   • In a quantity equal to, or in excess of, threshold planning
     quantity (TPQ)

   • Used, stored or otherwise present on-site, at any one time
 Must notify tie State Commission that...
    • The facility is subject to the provisions of Subtitle A

    • Notification must be made by May 17,1987 or within €0 days of first
      handling a listed substance in a quantity in excess of the TPQ
 State Commissions should notify EPA Regional Administrators
 of each notification received from a facility, organized by
 emergency planning district, by August 17,1987

-------
            Local Planning Committee Functions
                           Section 303

   • Evaluate resource needs for plan development, implementation and
     evaluation

   • Make recommendations for additional resources

   • Establish procedures and designate coordinator for receipt and
     processing of requests from the public for information

   • Complete comprehensive emergency response plans that address at
     least the following:
     • Identification of facilities subject to Title III provisions
     • Identification of likely transportation routes for listed extremely
      hazardous substances
     - Identification of facilities contributing to or subject to additional risk
      (i.e., hospitals, natural gas facilities, etc.)
     • Methods and procedures for response
     • Designated community emergency coordinator
     • Designated facility coordinator
     • Procedures for public notification
     • Methods for determining release occurence and area affected
     • Description of emergency equipment and facilities in community and
      listing of persons responsible for the equipment and facilities
     - Evacuation plans
     • Training programs
Note: Local committees may ask Vie Regional Response Team (RRT) to review
     or comment on emergency plans or other preparedness related issues.

-------
              Emergency Release Notification

                           Section 304

Facilities that produce, store, handle or otherwise use certain'hazardous
chemical's must report accidental-releases immediately to the-local planning
committee and the state commission. In-addition they still must notify the
National Response Center (NRC) in Washington, D.C. (800-424-8802) as
required under CERCLA
  Information Provided for
  Release Notification
       Chemical Identity
       Extremely Hazardous Substance
       Amount Released
       Time of Release
       Duration of Release
       Released to What Media
       (eg., Land, Air, Surface Water, etc)
       Known or Anticipated Acute or
       Chronic Health Risk and
       Appropriate Source of
       Medical Information if applicable
       Precautions to be taken and
       evacuation information
       Name and Telephone Number of
       Person to be Contacted for fcirther
       information
When to Notify

   • If release is one of the listed
     extremely hazardous substances, in
     excess of the R.Q.
   • If release is one of the chemicals
     listed under CERCLA Section 101(14)
     in excess of the R.Q.
NOTE If a reportable quantity is not yet
      set by EPA, a 1 pound R.Q. applies
 The facility must provide a written follow-up
 report as soon as practical on tie release,
 the response and the effects of the release
Exemptions from Emergency
Release Notification
   • Federally permitted releases as
      defined by CERCLA
   • Releases which result 'in exposure to
      persons solely within the facility
      boundaries
   • Releases which are continuous or
      frequently recurring as defined in
      •CERCLA
   • Releases exempt from CERCLA
      reporting

-------
Section 305 — Training and Emergency Systems
                  Review

•  §305(a) — FEMA distributed $5 million to all States (except
   Nebraska) for Title HI Training and Education Programs. EPA
   provided funding and participated In reviewing State proposals.

•  §305(b) — Interim Report to Congress delivered In May, 1967.

•  §305 (b) — Final Report due April 17,1988; activities underway
   Include:
   o Facilities Questionnaire distributed November 2, 1987; and,

   o Site Visits planned to gather additional information from facilities;
     Site Visits orientation program under development.

   o EPA Evaluation Teams and outside Expert Panels being
     established to evaluate technical information obtained from
     survey and site visits;

-------
                         STATUTORY REQUIREMENTS
    •  Section 305(b) of Title III requires a review of current technological capabilities:
       O  To monitor, detect, and prevent releases;
       O  To determine the magnitude and direction of releases;
       O  To Identify specific substances and to determine concentrations.
    •  The review must also address:
       O  Public emergency alert systems or devices;
       O  The technical and economic feasibility of perimeter alert systems.
    •  Recommendations are required on:
       O  Initiatives to support new or Improved technologies or systems for monitoring, detecting.
          and preventing releases;
       O  Improving devices, systems, and procedures for alerting the public.
SM1I2-2B

-------

-------
CHEMICALS  SUBJECT SECTION  311  £ 312  REPORTING

                     REQUIREMENTS
    Hazardous Chemicals
    designated by the
    Hazardous Communication
    Standard
  'Section*
    343
Ichennical!
               366

        'Extremely HazardousN
             Substances
    10,000 pounds
    (unless defined  as on
    extremely hazardous substance
    under Title III)
             500 Pounds or
           Threshold Planning
             Quantity
         whichever is lower,

-------
                       BAMPLB roan PHI Bmioii 111 CHEMICAL LIST •EPOBTZI
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-------
Revised June 1990
                                                                                                               2OSO-007?
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-------
Tier Two
EMERGENCY
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-------
                                         SUMMARY OF FEDERAL AGENCY RESPONSES BY TITLE III
                                                                     SECTION
 AGENCY
Issued
Policies or
Guidances
                                           Sections 301-303
                        Faaifetto
                        DoiarmtM
                        TPOs
                                 Conducted
                    ol Hazardous
                    Substances
Meet or
Exceed
TPCa
LEPCiol
TPQs
FacUasto
Dragnata
Fadty Coord.
ContactDd LEPC
andftw Design-
ated Faakiy
Cooidtnsiof
                                                                      Section 304
D»ected
Faahbeito
Repan
Releasei
                                                      Section 311-312
Drecttd
FadfuesB
PriwidBLbl
orMSOSi
FaokDes
HaveSub-
rnnadUstf
MSOSs
                                                                            Section 313
                                                                                                                    Eice«dManu-
big and ProoBu-
big Thresholds
Exceed
10.000
Pound Us*
Threshold
 Agrfcuten

 CIA
   AkFora
   Armr
   DU
 Energy

 EPA

 6SA

 ms
 JUSfc*
 NASA

 NSF

 Postal Setvtoe
 TVA
 Treasury

 VA
    O
    o
    o

    o
    o
    o
                                            o
                                            o
                                                 o
                                                 o
*** • Federal agen^ reported ftataeWly has oeourrwl
   O Fedwal8fflencyrepflrtBdt»atac»wfjr«rioceu.

-------
Tabto 6-9. Fadaral Agandao that ar» conducting EPCRA Acticitiaa. 1987 and 1988.
I             AGENCY             I                                 SUMMARY
                                                                                                           NUMBER
                                                                                                            OF TRI  I
Depl. of Agriculture
Central Intelligence Agency
Defense: Dept. of the Air Force
Defense: Dept. of the Army
Defense Logistics Agency

Defense: Dept. of the Navy
Dept. of Energy
                                 No USDA facilities use TRI chemicals in excess of threshold amounts.
                                 No formal policy yet regarding TRI.
                                 Facilities arc not required to report to TRI.
                                 Facilities arc not required to report to TRI.
                                 DLA facilities are not within manufacturing
                                 SIC codes, and therefore do not report to TRI.
                                 Facilities are not required to report to TRI.
                                 26 facilities use TRI chemicals in excess of the 10,000 pound threshold; 14 arc
                                 planning to report to TRI, 8 are not within manufacturing SIC codes and will not
                                 report, 4 are of uncertain status. In addition, 4 facilities use TRI chemicals at below-
                                 threshold amounts will report.
Environmental Protection Agency   EPA policy is for facilities to comply if they meet reporting criteria.
                                 However, no EPA facilities are above ihe threshold.
General Services
     Administration
                                 Policy regarding TRI is under development.
Depl. of Health and Human Services DHHS facilites are being surveyed to determine if they should report to TRI.
                                 DOI facilities are encouraged to voluntarily comply with TRI.
                                 No DOJ facilities are currently known to meet TRI requirements.
                                 NASA has 7 facilities with TRI chemcials at above-ihreshold amounts, 3 of these
                                 are operated by private contractors and have submitted TRI reports.
                                 No facilities meet TRI reporting requirements.
                                 Facilities that meet TRI criteria are
                                 required to comply. However, USPS operations will meet TRI criteria.
                                 No facilities meet TRI thresholds.
                                 TVA policy is that all facilities meeting TRI criteria should report.
                                 No DOT facilities meet TRI reporting criteria.
                                 Policy regarding TRI is in preparation.
                                 Policy regarding TRI is in preparation.
           FEDERAL AGENCIES THAT HAVE DETERMINED THAT THEIR FACILITIES ARE NOT AFFECTED BY EPCRA REQUIREMENTS
Department of Commerce
Federal Emergency Management Authority
Department of Housing and Urban Development
National Archives and Records Adminslration
Nuclear Regulatory Commission
Depl. of the Interior
Depl. of Justice
National Aeronautics and Space
     Administration
Naiinnil Science Foundation
U.S  haul Service
Smiihwrnian Institution
Tenneiice Valley Authority
Depi  of Transportation
Depl  of the Treasury
Depl  of Veterans Affairs
 0
 0
 0
 0
 0
 0
18
 0
 0

 0
 3
 0
 1
 0

-------
                                 PCB'S
PCB Regulations, Inspections, and Compliance
                         Robert McConnell
x-3

-------
             Robert  F. McConnell, Chemical  Engineer
                Toxic Substances Control Section
          U.S.  Environmental  Protection Agency, Region  I
            One Congress Street, 10th Floor (ATC-111)
                  Boston,  Massachusetts  02203
Bob .joined the EPA in September of 1967 after attending the
University of Lowell, Massachusetts, where he received a bachelor
of science degree in Chemical Engineering.  Since joining the
agency, Bob has worked in the PCB program where his
responsibilities include conducting inspections, developing cases
for enforcement action, and assisting the regulated community
with the diverse PCB regulations.

-------
     POLYCHLORINATED BIPHENYLS   (PCBs)

        BOB McCONNELL   (617)565-3278
                       (FTSJ835-3278
1.    WHAT ARE PCBs?


2.    WHY TAKE PRECAUTIONS?


3.    FEDERAL REGULATION OVERVIEW

     A.   PCB BAN RULE

     B.   ELECTRICAL EQUIPMENT USE RULE

     C.   TRANSFORMER FIRES RULE

     D.   SPILL CLEANUP POLICY

     E.   NOTIFICATION AND MANIFEST RULE

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                     WHAT ARE RGBS?








SYNTHETIC CHEMICALS  HEAVILY MANUFACTURED FROM 1929 TO 1977






USED PRIMARILY AS A DI-ELECTRIC FLUID IN:




     1.    TRANSFORMERS




     2.    CAPACITORS




     3.    VOLTAGE REGULATORS




ALSO USED IN HEAT EXCHANGERS AND HYDRAULIC EQUIPMENT

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                WHAT ARE PCBs








MANUFACTURED TO HAVE SPECIFIC PROPERTIES






     1.    LOW FLAMMABILITY




     2.    HIGH VISCOSITY




     3.    HIGH HEAT CAPACITY



     4.    STRUCTURAL STABILITY

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       WHY TAKE PRECAUTIONS?






SPECIFIC HUMAN HEALTH EFFECTS:






1.    HUMAN CARCINOGEN




2.    LIVER DISORDERS




3.    CHLORACNE




4.    POTENTIAL REPRODUCTIVE EFFECTS

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       WHY TAKE PRECAUTIONS?








PERVASIVE ENVIRONMENTAL CONTAMINANT:






     1.   EXTREMELY STABLE




     2.   BIO-ACCUMULATION




     3.   CAN BE TOXIC AT LOW LEVELS




     4.   CAN FORM FURANS & DIOXINS

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         FEDERAL REGULATION OVERVIEW



TOXIC SUBSTANCES CONTROL ACT  (TSCA):


     1.   PASSED IN 1976
     2.   ALLOWS EPA TO REGULATE ANY CHEMICAL THAT
          "PRESENTS AN UNREASONABLE RISK TO HUMAN
          HEALTH AND THE ENVIRONMENT"
     3.   PCBs WERE THE ONLY CHEMICAL SPECIFICALLY
          MENTIONED
     4.   SECTION 6(E) EFFECTIVELY BANS THE USE OF
          PCBs, UNLESS TOTALLY ENCLOSED, OR AUTHORIZED
          BY EPA

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          PCB BAN RULE   MAY 31,  1979
 1.   ESTABLISHED MARKING & DISPOSAL REQUIREMENTS
      FOR PCBs AT GREATER THAN 50 PPM
 2.   PROHIBITED THE MANUFACTURE,  PROCESSING AND
      DISTRIBUTION IN COMMERCE OF  PCBs ...
      UNLESS SPECIFICALLY AUTHORIZED
 3.   CLASSIFIED USE OF PCBs IN TRANSFORMERS AND
      CAPACITORS AS TOTALLY ENCLOSED
ELECTRICAL EQUIPMENT USE RULE   AUGUST 25,  1982
 1.    AUTHORIZED THE CONTINUED USE OF EXISTING PCBs IN
      TRANSFORMERS AND CAPACITORS
 2.    REQUIRED PERIODIC INSPECTIONS OF PCB TRANSFORMERS
 3.    PROHIBITED THE USE OF PCB TRANSFORMERS AND
      ELECTROMAGNETS POSING AN EXPOSURE RISK TO
      FOOD OR FEED

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    TRANSFORMER  FIRES RULE   JULY  17,  1985
1.    REQUIRES REGISTRATION OF PCB TRANSFORMERS WITH
     FIRE DEPARTMENT OF PRIMARY JURISDICTION
2.   REQUIRES THAT PCB TRANSFORMER LOCATIONS BE MARKED
3.   PROHIBITS STORAGE OF COMBUSTIBLE MATERIAL WITHIN A
     PCB TRANSFORMER VAULT (OR WITHIN 5 METERS)
4.   PLACED ADDITIONAL REQUIREMENTS, EFFECTIVE OCTOBER
     1, 1990 ON PCB TRANSFORMERS IN OR NEAR COMMERCIAL
     BUILDINGS

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         SPILL CLEANUP POLICY   APRIL 2, 1987
1 .    FOR SPILLS ONTO SOIL:

     A.    IN NON RESTRICTED ACCESS AREAS - 10 PPM IF
          COVERED WITH A 10-INCH CAP OF CLEAN SOIL

     B.    WITHIN A SUBSTATION - CLEAN TO 25 PPM,  OR TO
          50 PPM AND MARK AREA

     C.    IN RESTRICTED ACCESS AREAS - CLEAN TO 25 PPM
2.   FOR SPILLS ONTO SOLID SURFACES,  TWO CLEANUP
     STANDARDS:

     A.   10 micro grams/100 square cm

     B.   100 micro grams/100 square cm

     REFER TO SPILL POLICY GUIDE WITHIN HANDOUTS

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        NOTIFICATION AND MANIFEST RULE
1.    REQUIRES COMMERCIAL PCB STORAGE FIRMS TO OBTAIN
     EPA APPROVAL
2.   REQUIRES DISPOSERS,  STORERS,  TRANSPORTERS AND SOME
     GENERATORS TO NOTIFY EPA OF THEIR PCB WASTE
     HANDLING PROCEDURES
3.   REQUIRES MANIFESTING OF PCB WASTE
              PCBs IN WASTE OIL
EPA RECOMMENDS THAT YOU TEST WASTE OIL FOR PCBs BEFORE
SHIPPING OFF-SITE TO AVOID CROSS-CONTAMINATION

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USER FRIENDLY GUIDE TO THE






TSCA PCB SPILL CLEANUP POLICY

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The PCB Spill Cleanup Policy applies to all spills of PCB
containing material at concentrations of greater than 50 PPM
which occur on or after May 4,  1987.  The policy contains
distinct requirements for certain types of spill situations.
This guide will assist you in determining what the appropriate
response is to a given spill scenario.

The spill policy divides spills into two broad categories, low
concentration spills and high concentration spills.  The one
exception to this rule is that any low concentration spill in
which more than 1 pound of PCBs is released (270 gallons of oil
at less than 500 PPM would contain 1 pound of PCBs) must be
treated as a high concentration spill.

Once you have determined the concentration and amount spilled,
proceed as follows:

1.   If you have a low concentration spill (500 PPM), refer to
     page 2.

2.   If you have a high concentration spill in an outdoor
     substation, refer to pages 3 and 4.

3.   If you have a high concentration spill in a restricted
     access location (other than outdoor electrical substations)
     refer to pages 3 and 5.

4.   If you have a high concentration spill in a non-restricted
     access area, refer to pages 3 and 6.

Other topics, such as recordkeeping requirements and excluded
spills, are covered on page 7.

Key Definitions

Outdoor Electrical Substations:  Outdoor, fenced-off, and
restricted access areas used in the transmission and/or
distribution of electrical power.  If, however, substation is
within .1 km (328 ft) of a residential area, the cleanup
standards for commercial/residential areas should be used.

Restricted Access Areas:  These areas generally include
industrial facilities and remote rural locations.

Nonrestricted Access Areas:  Residential/commercial areas, and
areas where access is uncontrolled by man-made or natural
barriers.

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                     LOW CONCENTRATION  SPILLS
The following requirements should be accomplished within 48 hours
of discovery:
1.   Solid surfaces should be double washed and rinsed.  Post-
cleanup sampling of solid surfaces is only required for indoor,
residential surfaces.

2.   All soil within spill area should be removed.  This means
all -visible traces plus a one foot lateral buffer.  Post-cleanup
sampling is not required If a minimum'depth of 10 inches is
excavated.
Definitions

Indoor. Residential Surface:  a surface in a residential area
which is repeatedly touched, often for relatively long periods of
time.  Doors, wall areas below 6 feet, windows!11s, banisters,
patios, and sidewalks are examples of high contact, indoor
commercial/residential surfaces.

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                    HIGH CONCENTRATION SPILLS


The following requirements should be initiated within 24 hours
(except 48 hours for transformers):

1.   Cordon off an area encompassing any visible traces plus a 3
foot buffer, and place signs advising people to avoid the area.

2.   Record and document the area of visible contamination.

3.   Initiate cleanup of all visible traces.

4.   Notify EPA Regional Office and NRC, if required.  EPA
Regional office should be notified if more than 10 Ibs of PCBs by
weight (approximately 1 gallon of askarel) is spilled.  NRC
should be notified if 10 Ibs or more of PCB material is spilled.
***  POST-CLEANUP SAMPLING IS REQUIRED FOR ALL HIGH CONCENTRATION
SPILLS.  ANY STATISTICALLY VALID SAMPLING SCHEME MAY BE USED.
PROVIDED THE FOLLOWING TWO CONDITIONS ARE MET:


1.   The sampling area is the greater of (1) an area equal to the
area cleaned plus an additional 1-foot boundary, or (2) an area
20% larger than the area of contamination.

2.   The sampling scheme must ensure 95* confidence against false
positives.


*** EPA has available a recommended sampling scheme ***

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                 OUTDOOR ELECTRICAL SUBSTATIONS





1.   Solid Surfaces - Clean to 100 ug/100 square centimeters





2-a. Soil - Clean tb 25 PPM,  or



2-b. Clean to 50 PPM and label.

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    RESTRICTED ACCESS AREAS, (other than outdoor substations)
1.   High Contact Solid Surfaces - Clean to 10 ug/100 square
centimeters

2.   Low contact, Indoor, Impervious Solid Surfaces - Clean to 10
ug/100 square centimeters

3.   Low Contact, Indoor, Nonimpervious Solid Surfaces - Clean to
10 ug/100 square centimeters, or to 100 ug/100 square centimeters
and encapsulate

4.   Low Contact, Outdoor Surfaces - Clean to 100 ug/100 square
centimeters

5.   Soil - Clean to 25 PPM
Def imtions

High Contact Industrial Surface - A surface which is repeatedly
touched, such as manned machinery and control panels.

Low Contact Industrial Surface - Ceilings, walls, roofs, floors,
unmanned machinery, concrete pads beneath electrical equipment,
etc.

Non-impervious Solid Surfaces - solid surfaces which are porous
and likely to absorb PCBs prior to cleanup, such as wood,
concrete, and asphalt.

Impervious Solid Surfaces - Surfaces which are unlikely to absorb
spilled PCBs prior to cleanup, such as metal, glass, aluminum
siding, and laminated surfaces.

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    RESTRICTED ACCESS AREAS, (other than outdoor substations)
1.   High Contact Solid Surfaces - Clean to 10 ug/100 square
centimeters

2.   Low contact, Indoor, Impervious Solid Surfaces - Clean to 10
ug/100 square centimeters

3.   Low Contact, Indoor, Non-impervious Solid Surfaces - Clean to
10 ug/100 square centimeters, or to 100 ug/100 square centimeters
and encapsulate

4.   Low Contact, Outdoor Surfaces - Clean to 100 ug/100 square
centimeters

5.   Soil - Clean to 25 PPM
Definitions

High Contact Industrial Surface - A surface which is repeatedly
touched, such as manned machinery and control panels.

Low Contact Industrial Surface - Ceilings, walls, roofs, floors,
unmanned machinery, concrete pads beneath electrical equipment,
etc.

Nonimpervious Solid Surfaces - solid surfaces which are porous
and likely to absorb PCBs prior to cleanup, such as wood,
concrete, and asphalt.

Impervious Solid Surfaces - Surfaces which are unlikely to absorb
spilled PCBs prior to cleanup, such as metal, glass, aluminum
siding, and laminated surfaces.

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                    RERORDKEEPING REQUIREMENTS
Recordkeeping requirements are the same for high and low
concentration spills, except item 8, as shown below.  These
records should be maintained for 5 years.
1.   Identify source of spill

2.   Date and time of spill

3.   Date and time cleanup was completed

4.   Brief description of spill location and media contaminated

5.   Pre-cleanup sampling data, (required in the absence of
visible traces)

6.   Description of any solid surfaces cleaned

7.   Depth of soil excavated, estimate of amount of soil removed

8.   For low concentration spills - certification statement
signed by responsible party stating cleanup requirements
have been met



                         EXCLUDED SPILLS

The following spill situations are outside the scope of this
policy.  They should be reported to the EPA Regional Office
within 24 hours for site specific cleanup levels.

1.   Spills which contaminate surface waters, sewers, or drinking
water supplies.

2.   Spills which migrate to and contaminate surface waters,
sewers, and drinking water supplies.

3.   Spills which contaminate grazing lands or vegetable gardens.

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     This PCB Summary Manual is an overview to polychlorinated
biphenyls (PCBs) for those who have little or no experience with
PCB characteristics or regulatory history.  It can also serve as
a basic review for those with general knowledge of PCBs but
should not be used to resolve a legal or policy issue as an
authoritative document on a particular subject.

     The initial awareness of potential ecological risks of PCBs
in the early 1970's commenced the difficult and confusing task of
their regulation.  Extensive compromises have been required to
accommodate the wide segments of society, both within industrial
and environmental groups, which have a strong vested interest in
the decisions made concerning PCBs.  Over the last decade, the
Agency has vastly increased its understanding of the ubiquitous
nature of PCBs and of how pervasive they are in our lives.

     In an effort to eliminate the greatest amounts of PCBs from
the environment, legislation controlling the extensive industrial
and commercial activities of PCBs has caused a shift in the
pathways which PCBs take in the environment. For example, due to
a statutory prohibition of new manufacture and recent regulatory
phase-out requirements, there has been a major shift toward the
disposal of PCBs and away from the manufacture and use-related
activities of PCBs.

     Another challenge has been in conducting reliable risk
assessments and, also, in making consistent policy decisions.
The difficulty stems partly from rather vague and incomplete
epidemiological data on the physiological properties of PCBs in
human beings.

     Statistical data are also difficult and perplexing to
generate and characterize because the amounts and concentrations,
as well as the basic uses of PCBs and distribution in society,
have been so widespread and diverse over the past 60 years.  This
is all just to emphasize the complex nature of PCB regulation for
both the layman and the expert.

     If the reader has little knowledge or experience in PCB
regulation or terminology, some of the more detailed descriptions
in the manual may initially seem confusing.  However, it is hoped
that the extent of information provided will prove beneficial in
painting the broad-brush picture of PCB regulatory history and
will, also,  help direct a questioner to a specific reference or
citation to provide a more complete explanation of a particular
subject.  Its perusal can then be followed up by a more in-depth
study of regulatory preambles, PCB Fact Sheets, controlled
correspondence (incoming letters which require an authorized
signature by a specified date), etc., for more extensive
explanations regarding specific provisions.

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                         PCS BACKGROUND
     Polychlorinated biphenvis (PCBs)  are a group of chlorinated,
aromatic hydrocarbons with 209 possible structures, dependent
upon the number of chlorine atoms substituted and upon the
position of the chlorine atoms on the biphenyl molecule.   PCB
products are not single isomers,  but mixtures of isomers, ranging
from three to eight chlorines.

     PCBs were synthetically manufactured for commercial  use
beginning in 1929 by the Monsanto company, the sole U.S.
producer, under the registered trade name Arochlor.  They have
been used for many industrial and consumer applications.

     Askarel is the generic name for chemical mixtures containing
many different PCB congeners.  They have a heavy, oil-like
consistency and weigh 10-12 pounds per gallon and may contain not
only PCBs but, also, diluting solvents, electrical additives,
anti-oxidants, and other chemicals.  Askarels used in
transformers generally contain 40 to 60 percent PCBs.
Capacitors, on the other hand, used almost pure Arochlor  with
only trace amounts of additives or modifiers.

     It was not until the mid-1960?s that the analytical  methods
were developed that allowed scientists to discover the
environmental problem with PCBs.  By 1971, manufacturers were
taking voluntary actions to reduce the volume of PCB production
and to limit its distribution to industries concerned with the
manufacture of electrical apparatus. In 1977, Monsanto ceased its
production of PCBs. Of the original 1.25 billion pounds produced
in the United States an estimated 328 million pounds remain in
electrical service, equally owned by utilities and by industries.
Similar restrictions have been imposed in Sweden and Great
Britain.

USES;

     The principal uses for PCB fluids are in the electrical
industry.  Polychlorinated biphenyls have superior cooling,
insulating, and dielectric properties and are widely used in a
variety of electrical devices but are predominantly found in oil-
insulated transformers and capacitors.

     Other PCB applications include use in electromagnets,  heat
transfer and hydraulic systems, natural gas pipelines, air
compressors, and industrial lubricants.  They are, also,  within
products such as paints, plasticizers, pesticide extenders,
ceiling tiles, flame retardants and fillers, and are created as
byproducts in many different organic solvents and other
chemicals.

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     The main advantage of PCBs over substitutes is the low
flammability in applications that previously had been plagued by
serious fires.  PCBs also give electrical equipment the
advantages of reliability, long life, and compactness.  PCS
impregnated capacitors are 1/6 the size, 1/5 the weight, and 1/4
the cost of comparable oil impregnated capacitors.  Various
capacitors and transformers have a use-life expectancy from 10 to
30 years.
HEALTH EFFECTS;

     PCB toxicity became evident in 1968 when over 1000 people
became sick after consuming rice oil which had been contaminated
from a leaking heat exchanger in a commercial -factory in Yusho,
Japan.  EPA has since concluded that PCBs are toxic and
persistent.  Specific human health effects include liver
disorders, chloracne (a painful, disfiguring skin illness),
potential reproductive effects, developmental toxicity, and
oncogenicity.

     PCBs have been classified as a "probable human carcinogen11
primarily on the basis of animal studies but more recent
epidemiological studies conducted on exposed human populations
such as those in Yusho, Japan suggest an actual link with
observed human carcinogenic effects.  PCBs are also toxic to fish
at very low levels of exposure.

     With the advent of tools for analyzing PCBs, scientists then
discovered them to be widely dispersed throughout the environment
and to have adverse ecological and toxicological effects. In the
mid 1960's, PCBs were identified as compounds in fish living in
the Baltic Sea.  Further studies revealed PCBs in ice samples
taken 6 meters deep in the Antarctic, in air samples taken over
Sweden, and also in human milk samples around the world.  It is
estimated that by 1982, 540 million pounds of PCBs had been
released into the environment.

     The Food and Drug Administration and the food industry
increased their surveillance in the early 1970's to assure that
PCBs are not used in food plants, products, or packaging.  There
are also maximum contamination levels for PCBs in drinking water
under the Safe Drinking Water Act.

     PCBs have also been linked to the formation of
polvchlorinated dibenzofurans  (PCDF), or furans, which are
oxidized during fires and can cause significant risks to public
health and the environment.

     Like other stable chemical compounds, PCBs increase in
concentration as they ascend the food chain.  Since they are
lipoid loving, they are stored in the fatty tissue of the biota
rather than being metabolized.  As a result of this process of
bioaccumulation. the organisms at the top of the food chain will

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have a much higher concentration of PCBs (103 to 104) within
their system than in air and water samples of the surrounding
environment.
     The unique combination of physical and chemical jarooerties
of PCBs which make them so valuable commercially, are the same
traits that make them environmentally detrimental.  Consider the
following:

     o    PCBs are very stable compounds which resist breakdown
          from high temperatures and aging;

     o    They are not biodegradable and are, thus, persistent in
          the environment; they are more fat soluble than water
          soluble and tend to concentrate in fatty tissues of
          organisms;

     o    PCBs have a thick viscosity similar to molasses;

     o    The vapor pressure is very low at ambient temperatures
          and they are not considered volatile;

     o    They have no odor unless mixed with other solvents and
          additives which can typically smell like mothballs.


     several other properties of PCBs help explain the dispersion
process and the potential threats posed by PCBs to the
environment:

     1.   Volatilization.  PCBs vaporize quickly through a
process called co-distillation.  The presence of other
contaminants and their ability to vaporize enhances PCB's ability
to volatilize and thus, co-distillation is considered to be a
major route of entry into the atmosphere.

     2.   Water Solubility and Partition Coefficiencv explain
PCB's tendency to be readily absorbed in an aqueous solution by
any organic matter.  This process provides a quick entry to the
bottom of the food chain.

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                      PCS REGULATORY HISTORY
     Environmental concerns in the United States, prior to 1970,
were the divided responsibility of five executive departments.
The responding department was dependent upon the type of
pollution or ecological issue at hand.  On December 2, 1970,
Congress established the Environmental Protection Agency (EPA)  to
consolidate these various departments into one comprehensive
organization.

     EPA now administers nine environmental protection laws.  The
five laws impacting activities relating to polychlorinated
biphenyls (PCBs) include the Toxic Substance Control Act (TSCA),
the Comprehensive Environmental Response Compensation and
Liability Act (CERCLA), Resource conservation and Recovery Act
(RCRA), the Safe Drinking Water Act (SDWA), and the Clean Water
Act (CWA).

     Of the five above statutes, the Toxic Substances Control Act
(TSCA) provides the basis for the most comprehensive of PCB
regulations.  Congress passed TSCA in 1976.  This law
specifically directed EPA to regulate chemicals that present an
"unreasonable risk of injury to health and the environment."

     Within TSCA, Section 6(e) is the only provision which
mandates EPA to regulate the manufacture, processing,
distribution in commerce, use, and disposal of a specific
chemical substance, polychlorinated biphenvls. (PCBs).  Congress
took this action because it believed that the chemical and
toxicological properties of PCBs would pose significant risks to
public health and the environment.

     Section 6(e) bans most of the activities associated with
PCBs, (unless they are "totally enclosed uses" or were specially
authorized or exempted for 1 year by EPA) and, it also directs
EPA to regulate the marking and disposal of PCBs.  Congress
directed the Agency to develop regulations implementing the
provisions of this section.

     Congress also gives EPA the authority in TSCA to grant
certain limited exceptions to the May 31, 1979 ban.  use
authorizations are initiated by EPA through rulemaking for any
time period and for groups of individuals or types of activities
for a particular use of PCBs.  EPA must find that a use will not
present unreasonable risks.  Exemptions can be granted only
through rulemaking upon petition, on a case-by-case basis.
Further, exemptions cannot be granted for more than one year and
must be reviewed on an annual basis.  An exemption petitioner
must provide sufficient proof that  (1) the activity does not
present an unreasoning risk to public health and the environment

                               -5-

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and (2) that good faith efforts have been made to find a
substitute for the PCBs.

     EPA's strategy for controlling PCBs has taken three distinct
pathways:  (1) the creation of a regulatory framework to control
the storage and disposal of PCB wastes, (2) the regulation of
PCBs in electrical equipment, and (3) the regulation of byproduct
PCBs (PCBs generated as impurities or contaminants during the
manufacture of other chemicals).  This approach has been based
upon the growing understanding of the predominant uses and nature
of PCBs over the last decade.

     The Chemical Regulation Branch (CRB) of the Office of Toxic
Substances (OTS) is designated with the responsibility of
implementing the mandates of Congress under the authority of TSCA
Section 6(e) concerning PCBs.   The two main functions of the CRB
are:   (1) to write and interpret regulations and policies
regarding PCBs and (2) to issue permits for certain types of
disposal operations.

     As the extent of knowledge and quantitative data has
expanded, new regulations have been added and old ones amended.
These  regulations are written to reflect new information and to
strike a balance, as required under TSCA, between the risks
potentially posed to environmental health and the economic
consequences of regulation on the regulated community.


             Chronological History of PCB Rulemaking


     This section of the PCB Manual will provide a brief
chronological synopsis of the major rulemakings by EPA to
implement Section 6(e) of TSCA.  Its purpose is to serve as a
brief  and basic introduction to the broad, regulatory universe of
PCBs.  It focuses only on the most significant of these
rulemakings, rather than on a lengthy, comprehensive  inventory of
PCB regulatory history.  This summary includes  ( by the  informal
CRB title) the following:

     1.   PCB Ban Rule of May 31, 1979
     2.   Closed Border Policy of May 1, 1980
     3.   Electrical Equipment Use Rule  of August 25,  1982
     4.   Closed & Controlled Waste Rule of October 21,  1982
     5.   uncontrolled Rule of July  10,  1984
     6.   Fires Rule of July 17, 1985
     7.   Spill Cleanup Policy of April  2,  1987
     8.   uncontrolled Rule Amendments of  June  27,  1988
     9.   Fires Rule Amendment of July 19,  1988
    10.   Notification and Manifesting - Proposed 9/14/88
                               -6-

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PCB BAH RULE

     On May 31, 1979, the first major rule to implement Section
6(e) of TSCA appeared in the Federal Register (44 FR 31514)
This final Ban Rule;

     (1)  classifies the use of PCBs in transformers, capacitors,
          and electromagnets as "totally enclosed";

     (2)  establishes requirements for the marking and disposal
          of PCBs in concentrations over 50 ppm;

     (3)  prohibits the manufacture, processing, distribution in
          commerce and use of PCBs at concentrations over 50 ppm;
          and

     (4)  authorizes the use of PCBs in eleven different
          activities.
     The Environmental Defense Fund (EDF) sought judicial review
of provisions 1, 3, and 4 above, in the U.S. Court of Appeals for
the District of Columbia Circuit.  The court then ruled that EPA
lacked substantial evidence to support:

     (1)  the classification of transformers, capacitors, and
          electromagnets as "totally enclosed"; and

     (2)  the regulatory cutoff at 50 ppm for the manufacture,
          processing, distribution in commerce, and use of PCBs.


     The court decided that since most electric transformers and
capacitors contain PCBs, an immediate ban on all PCB equipment
would disrupt electric service and cause economic hardship for
the public and the United states utility industries.

     Therefore, in 1981, the court granted a stay of its mandate,
regarding "totally enclosed" PCB equipment and, also the 50 oum
regulatory cutoff. until EPA could implement further rulemaking.
As a result of this court case against EPA by EDF, the Agency has
enacted several additional regulations on PCBs concerning
electrical equipment and the inadvertent generation of PCBs. The
general 50 ppm cutoff remained in place under the stay until
October 1, 1984.
                               -7-

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CLOSED BORDER POLICY

     In the May 1979 PCB Ban Rule, EPA allowed the import and
export of PCBs for purposes of disposal for a period of one year.
At the end of that year the Open Border Policy was reevaluated
and substituted with the Closed Border Policy which went into
effect on May 1, 1980.  Due to concern about improper disposal
abroad and also, the Agency's intent to encourage the development
of effective PCB disposal technologies in other countries, the
Closed Border Policy prohibits the import or export of PCBs
greater than 50 ppm for disposal.

           EQUTCir ^SE RULE
     On August 25, 1982, EPA issued the Electrical Equipment Use
Final Rule (47 FR 37342).  This regulation: (1) acts on the
court's decision in the EDF case to strike down the Ban Rule's
classification of transformers and capacitors as "totally
enclosed", (2) authorizes (with specified conditions of
maintenance and inspections) the use of eight different types of
PCB equipment, including the use of PCBs in and servicing of
capacitors, switches, electromagnets, circuit breakers, voltage
regulators, reclosers, cable, and transformers, and (3) prohibits
the use of PCBs in transformers and electromagnets posing an
exposure risk to food or feed.

CLOSED AND CONTRQT.T.gn ffifrffiy. PT1T.F.

     The next major revision to the Ban Rule is the Closed and
Controlled Waste (CCW) Rule (47 FR 46980) of October 21, 1982.
This rule is considered one of the regulated community's most
misunderstood PCB rules.  After the court's decision to remand
the 50 ppm regulatory cutoff, due to insufficient evidence
submitted in EPA's 1979 Ban Rule, industry representatives, EDF,
and EPA agreed that certain low risk PCB manufacturing processes
should be excluded, on a voluntary basis, from the PCB ban.

     The CCW Rule exempts, from the 1979 ban: (1) "closed"
processes, which produce PCBs but do not release them to the
environment and (2) "controlled waste processes", which produce
PCBs but release them only as wastes that are properly disposed
of under 40 CFR 761.60 or RCRA Section 3005 (C).

     The Closed and Controlled Waste Rule, therefore, benefits:
(1) only manufacturers who produce PCBs in concentrations over 50
ppm as long as those PCBs do not enter the environment and, also,
(2) only limited inadvertent generators of PCBs.  This rather
conservative approach was taken because data were not available
at that time to determine if higher concentration levels were
appropriate for the protection of the environment.
                               -8-

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     PCBs are inadvertently generated, however, in many chemical
manufacturing processes other than closed or controlled waste
processes.  The creation of these PCBs occurs in situations where
carbon, chlorine, and high temperatures or catalysts exist
together.  The stay of the court's mandate in 1981 permitted all
PCB activities, at less than 50 ppm, until the time that the stay
was lifted.

     EPA became subject to a court order to develop regulations
dealing with the remaining "inadvertently generated" PCBs upon
collection of further data.  A large number'of industry
commentors on the CCW Rule criticized EPA, however, for failure
to deal, at that time, with the entire universe of PCBs generated
in low concentrations posing de minimis risk to society.

     In response to submission of more extensive data from EDF,
the Chemical Manufacturers Association (CMA), and other industry
groups, EPA enacted a second rulemaking for inadvertent
generation of those PCBs which are not closed or controlled waste
processes.
             RULE
     This July 10, 1984 Uncontrolled Rule. (49 FR 28172) added
two new generic exclusions based upon balancing the economic
costs and the environmental risk for the inadvertent generation
of PCBs in:

     (1)  Excluded manufacturing processes for "new PCBs" -
          dependent upon numerical release limits of PCBs
          entering the environment and used in products.

     (2)  Recycled PCB processes for "old PCBs" - specifically
          for asphalt roofing and pulp and papermill products.

     The Uncontrolled Rule, also, authorized the use of PCBs in
heat transfer and hydraulic systems, and in natural gas pipelines
and compressors, at concentrations of less than 50 ppm.

     The effect of this July 10, 1984 Uncontrolled Rule was that
many activities involving previously generated PCBs at levels
less than 50 ppm were then made illegal if not specifically
authorized, exempted, or excluded - even though some presented no
more risk than other activities which had been authorized under
the Uncontrolled Rule.

     Following publication of this 1984 Uncontrolled Rule, a
group of industry petitioners sought judicial review to exclude
additional materials from regulation, based on a "no unreasonable
risk determination".  EPA agreed to propose amendments to this
July 10, 1984 Uncontrolled Rule to address these concerns.  The

                               -9-

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Uncontrolled Rule amendment was published on June 27, 1988 and
will be discussed at a later time in this paper.

      Julv 10. 1984 Rules
     On this same date of July 10, 1984, EPA simultaneously
promulgated three other regulations on PCBs, in addition to its
amendment to the Closed and Controlled Waste Rule.   The other
rules: (1) addressed 109 individual and class exemptions for
various PCB-related activities; (2) authorized indefinitely the
uses of PCBs as mounting media in microscopy, immersion oils in
low fluorescence microscopy, as optical liquids, and in small
quantities for research and development, and (3) requested
additional comments on certain individual and class petitions for
exemptions.
FIRES RULE

     In the early 1980's, cities such as San Francisco,
California, Chicago, Illinois, Binghamton, New York, Miami,
Florida, and Tulsa, Oklahoma all suffered costly damages from
commercial building fires involving PCS transformers.

     PCB Transformers which are subject to high temperatures can
rupture and release PCBs causing the formation of incomplete
combustion products such as chlorinated dioxins (PCDDs) and
furans (PCDFs).  The use of all transformers (other than those in
"food and feed" locations) had been authorized, with some
restrictions, for the remainder of their useful lives, in the
August 25, 1982 Electrical Use Rule.  This authorization was
based on evidence of low environmental risk from spills of PCBs
compared to high societal benefits.

     Subsequent studies revealed, however, that adverse human
health effects, environmental risks, and ecpnomic loss, posed by
PCB Transformer fires in commercial buildings, may be greater
than those posed by transformer fires in industrial facilities
and outdoor electrical substations.  This new information on PCB
Transformer fires prompted EPA to reevaluate its determination to
allow the continued use of PCB Transformers.

     On July 17, 1985, EPA published the Fires Rule, which phased
out certain high fire-risk transformers and placed conditions and
restrictions on the continued use of PCB Transformers  (above 500
ppm) in or near commercial buildings, to reduce fire-related
risks.

     The Fires Rule required: (1) the registration of PCB
Transformers with fire departments and with building owners; (2)
marking of access to PCB Transformers;  (3) removal of stored

                               -10-

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combustibles; and (4) protective devices on equipment.   It also,
prohibits the use of certain types of transformers and the
subsequent installation of PCB Transformers in or near commercial
bui Idings .
      (rr-EAMITP POLICY

     On April 2, 1987, EPA issued a nationwide TSCA PCB Spill
Cleanup Policy for PCBs greater than 50 ppm.  EPA regulations
controlling disposal of PCBs include accidental spills and leaks,
as well as intentional releases of PCBs to the environment.
standards for these cleanups had been established at the EPA
Regional office level since 1978.

     EPA has authority to compel persons to rectify damages
incurred by such spills, leaks, or other uncontrolled discharges
as improper disposal.  While the Spill Cleanup Policy can
insulate a spiller from an enforcement action, it is not a
regulation and can impose no requirements.

     The Spill Cleanup policy was built on the framework of  a
consensus proposal submitted to EPA by environmental and industry
representatives.  The Consensus Group and the Agency shared  two
general objectives for PCB Spill Cleanup: (1) that the policy
should set requirements designed to be effective in the large
majority of spill situations and (2) that the risks posed by
residual contamination vary depending upon the location of the
spill and the potential for human exposures.

     Thus, while the TSCA Spill Cleanup Policy provides uniform,
predictable standards across the regions for the majority of
spill situations and encourages rapid and effective restoration
of a site, it also varies the requirements to accommodate
different locations, concentrations, and exposure potentials.
The policy requires the most stringent standards in those high-
contact, residential/commercial areas where there is the greatest
potential of risk to human health and less stringent requirements
where that potential is smaller.

UNCONTROLLED RULE
     As mentioned earlier, in discussions of the July 10, 1984
Uncontrolled Rule, litigation, initiated by industry petitioners
resulted in a settlement agreement with EPA, which led to the
drafting of the June 27, 1988 Uncontrolled Rule Amendment.

     In this latest rulemaking on the 50 ppm regulatory cutoff,
EPA excluded further categories of PCBs, in concentrations less
than 50 ppm PCBs, which were legally applied to any Ban Rule
activity prior to October I, 1984.  The only exceptions to the
general 50 ppm cutoff are the pronibitions on PCBs in waste oils
at any detectable level in use as a sealant, coating, dust

                               -11-

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control agent, (these three restrictions go back to the 1979 Ban
Rule), or as a fuel in nonindustrial boilers and furnaces.

     The Uncontrolled Rule also: (1) allowed waste oil less than
50 ppm PCB to be used as a fuel in certain combustion units: (2)
permitted certain decontaminated equipment components to be used
and distributed in commerce: and (3) maintained a 3 ppb effluent
limit for pulp and papermi11 releases.

FIRES RULE AMENDMENT - Julv 19. 1988

     After promulgation of the 1985 Fires Rule, Mississippi Power
Company filed for a petition for review of the rule.  The
Settlement Agreement, which ended the litigation, required EPA to
amend the rule.

     Some of the provisions and modifications of this rule
include (1) allowing installation of PCB transformers for both
emergency situations and, also, for the purposes of
reclassification; (2) allowing alternate labeling, if the
labeling program was initiated prior to August 15, 1985 and if
proper registration was made with the PCB transformer owner and
the emergency response personnel; and (3) phasing out low
secondary voltage network transformers in sidewalk vaults.

NOTIFICATION AND MANIFESTING RULE - December 21. 1989

     On December 21, 1989 EPA published in the federal register a
final rule, referred to as the Notification and Manifesting Rule,
which attempts to bring the PCB storage and disposal requirements
in line with RCRA requirements for the storage and disposal of
hazardous waste.  The rule had three main parts, (1) it requires
the use of a manifest for all PCB waste shipments in which
control of the waste is transferred from one entity to another,
(2) it requires certain entities to notify EPA of their PCB waste
activities, and (3) it requires facilities which commercially
store PCB waste obtain approvals to operate from EPA before
accepting PCB waste.  Most facilities in existence at the time
this rule became effective (February 5, 1990) were granted
interim status.

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                         PCB TRADE NAMES
If a transformer was manufactured by a company listed in the left
column to contain a hiqh concentration PCB di-electric fluid,  the
nameplate should indicate the trade name shown in the right
column.
MANUFACTURER

General Electric

Westinghouse

Monsanto


Allis-Chalmers

American Transformer Company

Bayer

Caffaro

Federal Pacific Electric

Kanegafuchi Chemical

Wagner Electric

Prodelec
TRADE NAME

Pvranol

Inerteen

Aroclor, Therminol,
Santotherm or Pyroclor

Chlorextol

Asbestol

Clophen

DK

Dykanol

Kennechlor or Kanechlor

Noflamol

Phenoclor or Pyralene
If the transformer's nameplate indicates that the transformer is
oil-filled (eg. transil oil, 10-C oil), the transformer may be
assumed to be PCB contaminated (50-500 PPM PCB)  in the absence of
analytical data indicating a specific concentration.

If a transformer has no nameplate and has never  been tested to
determine its PCB concentration, it  is presumed  to be a PCB
transformer (greater than 500 PPM PCB).

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                        Air Toxics Program
                 Radionucleides (NESHAPs)
                       Radioactive Wastes
                                  Radon
                          James Cherniack
x-4

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                        BIOGRAPHIC SKETCH
                        JAMES J.  CHERNIACK
Jim Cherniack is a commissioned officer in the U.S. Public Health
Service and holds the grade of Senior Engineer.  He is currently
assigned to the U.S. Environmental Protection Agency in Boston,
MA, where he functions as the Regional Health Physicist for EPA's
New England Region.  In this position he is responsible for a
variety of radiation-related programs.  These include
radiological emergency response, low level radioactive waste
disposal, enforcement of National Emission Standards for
radionuclides, consulting at Superfund sites contaminated with
radioactive materials, responding to non-ionizing radiation
questions and indoor radon abatement.

Cdr. Cherniack received his BA cum laude in Biology from Tufts
University in 1972, his MSCE in Sanitary Engineering and Public
Health from Tufts in 1973, and is currently completing work on
his doctorate in Radiation Science at the University of Lowell.
He began his career with the Food and Drug Administration in July
1973, as a Radiation Control Officer.

From 1983 until 1984, when he received a long term training
assignment, he served as a supervisory investigator in the FDA's
Boston District.  In July 1985, he took a position as the Chief
of the Radionuclide Section at the FDA's Engineering and
Analytical Center in Winchester. MA.  He assumed his current
duties with EPA in June 1989.

Cdr. Cherniack has been awarded the Achievement Medal, PHS
Citation, and 2 Unit Commendations from the Public Health
Service.

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                     OUTLINE OF PRESENTATION
I.  Radon -- A non-regulatory program
     a) What is it?
     b) Where does it come from and how does it enter buildings?
     c) What are its health effects?
     d) Testing for it
          1.  Protocols
          2.  Radon Measurement Proficiency Program
     e) Mitigation
          1.  Common procedures
          2.  Radon Contractor Proficiency Program

II.   NESHAPs — A regulatory program
     a) DOE facilities
          1.  Current Standards
          2.  Reporting and recordkeeping requirements
     b} NRC licensees and non-DOE Federal facilities
          1. Current and proposed standards
          2.  Proposed reporting and recordkeeping requirements

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                     ROUGH DRAFT OF  OCTOBER 15,  1990
             NORMAL HATER USE
             AND VENTILATION
           10,000 pCi/L OF WATER
                   4"
           1 pCi/L IN INDOOR AIR
                AVERAGE
              OUTDOOR AIR
               0.5 pCi/L
                                                              FURNACE
                                                              EXHAUST
                                                              100s CFM
     WELL    /."
     WATER
     10,000 pCi/L IN WATER
     GIVES 1 pCl/L IN AIR
                                      \
         SOIL GAS:
     1,000s TO 10,000s
      pCi/L OF RADON
   \
     \
          RADIUM
          IN SOIL
                         PRODUCES
RADON
 GAS
     (1 TO 100s pCi/gram)
  f
   SOIL
PERMEABILITY
Figure  1.   Depiction  of the major factors  affecting the  level of
             radon  in a home.
                                     -  6 -

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   NATIONAL EMISSIONS STANDARDS



   FOR EMISSIONS OF RADIONUCLIDES



        OTHER THAN RADON



FROM DEPARTMENT OF ENERGY FACILITIES



        40 CFR 61 SUBPART H

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                           APPLICABILITY
   o   DOE Facilities that Emit Any Radionuclide Other than Radon

   o   Not Apply to Disposal at Facilities Subject to 40 CFR Part 191
       Subpart B or Part 192
o Applies to radionuclides other than radon-222 and radon 220 emitted to air.

o Does not include disposal at uranium mill tailings sites or disposal at high level
  waste facilities.

o This source category includes active sites that are owned by the Federal
  government and operated by contractors under the supervision of the DOE.

o These facilities are responsible for designing and producing nuclear weapons for
  DOD; uranium enrichment, nuclear reactor development and safety programs for
  the commercial nuclear power sector; biomedical research; environmental safety
  and nuclear waste disposal programs.

o The major emissions from these facilities include argon-41,  krypton-85, krypton-88,
  and xenon-133. Tritium, oxygen-15, uranium-234, and uranium-238 are also
  commonly emitted.

o 40 CFR Part 191 Subpart B applies to radioactive materials released into the
  accessible environment as a result of the disposal of spent nuclear fuel  or high-level
  or transuranic radioactive wastes.

o 40 CFR Part 192 applies to the control of residual radioactive material at
  designated processing or depository sites under section  108 of the Uranium Mill

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                          STANDARD


              Emissions of radionuclides must not cause

            any member of the public to receive an effective

          dose equivalent of more than 10 mrem in any year.
o Effective Dose Equivalent per unit of radon decay product exposure was taken to
  be 0.92 rem/WLM based on the miner data.  See ICRP Publication No. 26.

o Member of the Public - person at the nearest offsite residence, school, business or
  office.

o Until 1985 DOE has been self-regulating, with releases generally paralleling those
  established by the Nuclear  Regulatory Commission.  In 1985 EPA promulgated a
  NESHAP limiting radionuclide releases to air from any DOE facility to quantities that
  do not cause nearby individuals a dose greater than 25 mrem/y to the whole body
  or 75 mrem/y to any organ. That NESHAP was superseded by the current
  standard.

o See 40 CFR 61.92.

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             COMPLIANCE WITH STANDARD


        Determined by Calculating the Highest EDE to Any

        Member of the Public at Any Offsite Point Where

        there is a Residence, School, Business or Office
o Effective Dose Equivalent per unit of radon decay product exposure was taken to
  be 0.92 rem/WLM based on the miner data. See ICRP Publication No. 26.

o May be determined by using CAP-88, AIRDOS-PC, COMPLY.

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         CONDUCT EMISSIONS MEASUREMENTS


       o All Release Points with EDE >1% of Standard

       o Radionuclides that may Cause >10% of EDE

       o Other Release Points - Periodic Measurements

       o Estimate Emissions with No Pollution Control  Equipment
o Radionuclide emission measurements must be made at release points with the
  potential to discharge radionuclides that would cause an effective dose equivalent in
  excess of more than 0.1 mrem/year.

o The facility must measure all radionuclides which could contribute greater than 1.0
  mrem/year to the dose from that release point.

o Other release points must be measured periodically to assure emissions are below
  these levels.

o Estimated rates must be measured based on the discharge of the effluent stream
  that would result if all pollution control equipment did not exist, but the facilities
  operations were otherwise normal.

o Periodic measurements require prior EPA approval.

o First two bullets refer to continuous or periodic measurements.

O 40CFR61.93

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                 REPORTING  REQUIREMENTS


       o Annual Report Due by June 30 of Following Year

       o If Standard Not Met - Report Monthly Starting July 30
o Annual Report Must Include:
  -  Monitoring results and dose calculations
  -  Name and location of facility
  -  List of radioactive materials at facility
  -  Description of handling and processing of radioactive materials
  -  List of stacks or vents or other release points for radioactive materials
  -  Description of the effluent controls used on each stack, vent, or other release
     point and an estimate of the efficiency of each control device
  -  Distance from release points to nearest residence, school, business or office and
     nearest farms
  -  Values for all input parameters for computer models
  -  Description of all construction/modification completed in calendar year
  -  Statement certifying the report's accuracy and completeness, and signed and
     dated by a corporate official in charge

o Monthly reports include
  -  Same information as annual report
  -  Changes to bring facility into compliance
  -  Monthly reports will continue until the Administrator determines they are no
     longer necessary

o Monthly reporting continues until EPA determines that they are   no longer

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  necessary.
0 40CFR61.94
                     RECORDKEEPING

    o Must Document Source of Input Parameters
    o Allow Independent Verification of Compliance
    o All Records Kept at Site for at Least 5 Years
o Input parameters include the results of all measurements upon which they are
  based, calculations and/or analytical methods used, and the procedure used to
  determine ede.
o Records must be made available for inspection upon request.
O 40CFR61.95

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RADIONUCLIDE AIR EMISSION STANDARDS




      FOR NRC LICENSEES AND



     NON-DOE FEDERAL FACILITIES




        40 CFR 61 SUBPART I

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                            STANDARD


       o 10 mrem/y EDE from Radionuclide Air Emissions

       o 3 mrem/y EDE from  Radioiodine Emissions
o    EDE is effective dose equivalent

o    Radionuclide Air Emissions include radioiodine.

o    Subpart I is not in effect but under reconsideration because of NRC's contention
     that the rule is duplicative and poses a burden to the medical community.

o    The dose is assumed to be delivered to the maximally exposed real individual.

o    There is a 3 mrem/y limit for radioiodine because of evidence that there are nine
     non-fatal cancers for every death from thyroid cancer which is the primary
     adverse effect from exposure to radioiodine.  This ratio is much higher than for
     cancers at other sites in the body.

o    §61.101

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                 EXCLUSIONS TO SUBPART I


              o Sealed Radiation Sources

              o Low Energy Accelerators

              o Uranium Mill Tailings Piles After Disposal

              o Disposal at High Level Nuclear Waste Facilities
o    Only unsealed sources are covered by this rule. Sealed sources such as
     thickness gauges that are not intended to be opened in their routine application
     are not covered.

o    A low-energy accelerator is one that has a beam energy of 100 MeV or less.  We
     expect to refine this definition in the future.

o    The language of Subpart I differs slightly from Subpart H regarding the exclusion
     associated with disposal of uranium mill tailing piles. Subpart I states that the
     exclusion applies after disposal so that the rule applies during the disposal
     activity.

o    §61.100

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                   DOSE DETERMINATION

                   o Source Term
                       - Estimated (Appendix D)
                       - Measured (Appendix B)

                   o Model for Calculating Dose
                       -  COMPLY Computer Program
o We expect that most of the 6,000 facilities in this category will be able to
  demonstrate compliance by estimating emissions and using the tables in Appendix
  E. The larger facilities may be required to make measurements if they are not
  already doing so.

o COMPLY is a user-friendly computer program that has been developed by EPA to
  reduce the burden on the regulated community.  It can be used to demonstrate
  compliance with Subpart I.

o §61.103

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          ANNUAL REPORTING  REQUIREMENTS


         o Licensees Must File an Annual Report

         o Report May Be Due By March 31,1991  For '90

         o Facilities Less Than 10% of  the Standard Are Exempt
o The March 31,1990 assumes that reporting will be required for calendar year 1990
  based on the December 16, 1989 FR notice. If the stay is lifted and EPA regulates
  Subpart I, the Agency will probably review the March 31th date.

o Annual Report Must include:
  -  Monitoring results and dose calculations
  -  Name and location of facility
  -  List of radioactive materials at facility
  -  Description of handling and processing of radioactive materials
  -  List of stacks, vents or other release points for radionuclides
  -  Description of the effluent controls used on each stack, vent, or other release
    point and an estimate of the efficiency of each control device
  -  Distance from release points to nearest residence, school, business or office and
    nearest farms
  -  Values for all input parameters for computer models
  -  Description of all construction/modification completed in calendar year
  -  Statement certifying the report's accuracy and completeness, and signed and
    dated by a corporate official in charge

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                    MONTHLY REPORTS
      o Facilities Exceeding Standard Must Report Monthly

      o Report Includes Information in the Annual Report Plus
          - Description of Changes to Meet Standard
          - Progress Under Any Enforcement Decree
o Monthly reports include
 -  Same information as annual report
 -  Changes to bring facility into compliance
 -  Monthly reports will continue until the Administrator determines they are no
    longer necessary

o §61.104

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                   RECORDKEEPING

       o All Records Must Be Kept at the Site for 5 years
       o Records Must Allow Independent Verification
       o EPA Has Authority to Inspect
0 §61.105

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                                    Pesticides
Pesticide Regulations, inspections, and Compliance
                                 Wayne Toland
    x-5

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                   W AYNE  R.  TQLAND
                       PERSONAL BIOGRAPHY
1. Bachelor's of Science Degree. Organic Chemistry.
   Massachusetts State Colege at Fitchburg.   1982

2. 2 Years Graduate Research Work.  University of Michigan.

3. 2 1/2 Years of Pesticide Enforcement experience with
   Commonwealth of Massachusetts, Department of Food and
   Agriculture, Pesticide Bureau.  Promoted to State Pesticide
   Product Registration Coordinator 1988.

4. United States Environmental Protection Agency for 1+ Years.
   Duties include most enforcement issues relative to FIFRA i.e.,
   the National Pesticides Control Law, especially FIFRA Sections
   7, 9, 14, 17 and 19.  Serve as regional liaison between Region
   I states and EPA HQ.

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II.  FEDERAL PESTICIDE REGULATION.

     A. Brief History

          1. Oldest of all  federal  environmental  protection laws.

          2. First "Pesticide Law"  passed in 1910.

          3. The current federal  pesticide control  law,  known by
             the acronym "FIFRA",  was first passed  in 1947.

          4. FIFRA has been amended several times particularly in
             1972 when the  emphasis was shifted from protecting
             consumers against fraudulent claims, to protection
             of health and  safety of man and the environment.
             Section 12 of  FIFRA  was added which detailed what
             constituted an "unlawful act" subjecting violators
             to civil and criminal  penalties.

          5. Amended again  in 1978 and 1988 with changes
             addressing pesticide product re-registration,
             indemnification of federally suspended or cancelled
             pesticides, and storage/disposal  of pesticides.


III.  THE FEDERAL INSECTICIDE, FUNGICIDE and RODENTICIDE ACT
     (FIFRA)

     A. Emphasis

          1. Requires EPA to weigh the risks of using the
             pesticide, to man and the environment vs. the
             benefits of any pesticide use(s)  before product can
             be marketed.

          2. Requires ALL products making pesticidal claims to
             first be registered with EPA before they can sold or
             distributed in U.S.  commerce.  Registration process
             can take several years and cost millions of research
             dollars, to get a new active ingredient to the
             market.  Also requires applicants to submit a host
             of test data regarding product chemistry, toxicity,
             and environmental fate/behavior.

          3. Requires federal registration of all establishments
             that produce pesticides, subject to the act, before
             any production can begin.  Establishments must also
             submit annual  reports to EPA indicating amounts
             produced and distributed in U.S.  and abroad.

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          4.  In addition to the typical  pesticide,  FIFRA also
             regulates pesticide "devices",  desiccants (drying
             agents),  defoliants,  and insect or plant growth
             regulators (i.e.  Alar)

          5.  Shifts primary enforcement  responsibilities of FIFRA
             to states holding a "Cooperative Agreement" with EPA
             and provides funding  to these states.   Also requires
             states with agreements  to certify and  train all "for
             hire"  applicators who use Federally Restricted-Use
             Pesticides.

          6.  In addition to above  FIFRA  also regulates pesticides
             used under experimental conditions; exempts other
             federal and state agencies  from the act itself if
             emergency conditions  warrant; establishes
             Administrative Procedures for the suspension and
             cancellation of pesticide registrations and
             subsequent removal from the channels-of-trade;
             regulates the importation (in conjunction with U.S.
             Customs)  and exportation of pesticides and devices,
             and regulates the storage,  disposal and
             transportation of federally suspended  or cancelled
             pesticides.

IV.  OTHER INITIATIVES

     A.  Farm Worker Protection

          1.  Requires farm owners  to take several protective
             measures to ensure safety and welfare  of farm
             workers who use or are exposed to pesticide(s), such
             as make full bodied clothing and facial gear
             available to workers, post  treated areas to prevent
             worker re-entry (amount of  time will be dependent on
             toxicity levels), and provide training and safety
             literature to workers.   Treats "handlers" separately
             from "users".

     B.  Endangered Species

          1.  Designed to protect those species of plants or
             animals that are endangered or threatened by
             reducing pesticide usage in or around habitat.

          2.  Works with U.S. Fisheries and Wildlife to  identify
             species,  of which there are only 2 in New England
             (see attachment in attendees manual),  map their
             habitat,  and make the maps available to users
             through municipal offices.

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          3. Since under FIFRA the "Label is the Law", labeling
             amendments will be made which will require all users
             to identify the endangered species in their area to
             follow all regulations before applying any
             pesticide(s) in or around the species habitat.  To
             ignore the requirement would constitute a violation
             of federal law.

     C. Agricultural Chemicals in Groundwater

          1. In essence, will require all states that accept
             funding for the program to develop management plans
             for the use of all pesticides which are identified
             as a threat to all surface and subsurface waters.
             Plans must be generic in scope initially such as
             identification of all state people/agencies who will
             implement them, then be specific for each pesticide
             identified as above.

          2. Will prohibit the use of those pesticides identified
             in any state that declines to participate in the
             Groundwater Protection Program.

V. PESTICIDES AND THE FUTURE. WHAT'S ON THE HORIZON.

     A. The Farm Bill

          1. Among other issues concerning farmers, this bill
             will close the so-called "circle of poison" loophole
             which allows producers to export pesticides which
             have been cancelled or suspended in the U.S., to
             other countries who uses the chemical(s) on their
             agricultural commodities and re-exports the
             commodity to the United States.  The bill will
             prohibit the export of all pesticides suspended or
             cancelled in the United States.

     B. The President's Food Safety Proposal

          1. Would make significant amendments to FIFRA and the
             Federal Food, Drug and Cosmetic Act (FFDCA).  Under
             FIFRA, EPA establishes all pesticide food/feed
             tolerances (maximum legal limits) prior to pesticide
             registration.  However, the authority to enforce
             these tolerances falls under FFDCA which is
             administered by the Food and Drug Administration
             (FDA).

          2. Will redefine an "imminent hazard" which would allow
             for quicker removal of pesticides from use while
             serious health and safety questions are being
             resolved; enhance enforcement of FIFRA by increasing
             penalties; establish a violation for "knowing

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endangerment";  extend FIFRA's authority to require
records related to the sale, use and distribution of
pesticides; establish the principle of a "periodic
review" of old pesticides; improve consultation
procedures between EPA, USDA and/or FDA before EPA
issues a cancellation order; establish a federal
uniformity in setting pesticide food tolerances; and
override the "Delaney Clause" in FFDCA removing the
zero risk provision and substituting "negligible
risks.

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                    Unit* SOM           om« of fmOMm md
                                     O«i«i of Pwiad* Pragrwm (TS-768CI
                    A0tncy              WMhbv«Mi.DC 20460
   c/EPA      Pesticide
                    Fact Sheet
                                           LABELING
                    Date Issued: 3/2/97
                    FacT Sheet Number
     The U.S.  Environmental Protection Agency (EPA) regulates
pesticides under the  Federal Insecticide,  Fungicide, and
Rodenticide Act  (FIFRA), which requires,  among other things,
that pesticides  marketed in the United States be registered
with EPA.  Registration is based on a determination that a
pesticide will not pose the risk of unreasonable adverse ef-
fects to humans,  or the environment, when used according to
label directions.  Before a product may be registered for use
in the U.S., EPA must review and approve its label.  All
pesticides must  bear  an approved label.

     One means of ensuring proper use of pesticide products and
protecting people, the environment, and other non-target species
from unnecessary exposure is through the approved label direc-
tions, restrictions,  and precautions.  In the United States,
these approved labels have the force of law, and any use which
is not in accordance  with the label directions and precautions
is subject to  civil and/or criminal penalties.

     The Agency  has established detailed labeling requirements
which are probably more extensive than for any other category
of consumer products.  These include requirements for  identifi-
cation, requirements  pertaining to safety and requirements  on
proper use to  minimize hazards.  Labels must contain identifying
information such as a product name, an EPA registration number,
and the name and address of the registrant or distributor.   In
addition, the  type of pesticide, and a statement  listing the
names and amounts of  each active ingredient must be on the  label.

     Labels must also include directions on how, when, and
where the product can legally be used and which pests  can be
controlled. The Agency's regulatory interest in  the use direc-
tions for a product is first for the health and safety implica-
tions.  Second,  EPA wants to be sure that the use directions do
not directly or  indirectly make claims for the product which
are false or misleading.  We are also concerned about  public
health implications of disinfectants and vertebrate control
agents.  Therefore, label use directions are reviewed  carefully
for these products as well*

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      Precautions are also an important part of FIFRA labeling
 information, and should be carefully read and followed.  The
 most  toxic products will be labeled DANGER.  The word WARNING on
 the label means the product is less toxic, but it must be used
 with  extreme care.  The word CAUTION will appear on those
 products which are least harmful when used as directed.  Addi-
 tional warninqs about the flammability and other physical
 properties are also required on pesticide labels when appropriate.

      First-aid instructions are also an important part of a
 pesticide label.  First-aid instructions usually accompany the
 precautionary statements in order to inform the user of emergency
 measures to take if someone accidentally touches or swallows a
 pesticide or inhales vapors from a pesticide.  Labels will also
 prescribe any required clothing such as long-sleeved shirts,
 special protective clothing, gloves, or respirators.  Since
 pesticides are by their nature biologically active substances,
 prudence dictates that direct exposure to persons, pets, food,
 and eating utensils be avoided.  Labels generally include this
 practical advice.  Each pesticide label must also include
 directions for safe storage and disposal of the product and its
 container.

      FIFRA requires that all information be communicated in a
 clear and concise way.  The law also requires that pesticide
 labels truthfully represent the product.  If a label is found
 to present the product in a false or misleading manner it is
 considered "mishranded." A pesticide is misbranded if  its
 labelina bears any statement or illustration which is  false or
 mislead inn.  The regulations under FIFRA describe various types
 of statements which are considered to be misleading.   For
 example, regulations prohibit claims as to the safety  of the
 pesticide or its ingredients, such as, "safe," "nonpoisonous,"
 "harmless," or "nontoxic."  They also prohibit comparative  state-
 ments on the safety of the product, such as, "contains all
 natural ingredients," "among the least toxic," or "pollution
 approved."

      Consumers should always read the information on pesticide
 labels to determine the proper way to use the product  and any
 precautions necessary to protect them, their families, and  the
environment.  Consumers who have pesticides applied by applica-
 tors  or commercial firms should ask to see the  label  in order
 to ensure proper application.

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     If misuse or problems arise from the use of pesticides,
the consumer should contact the appropriate state agency re-
sponsible for pesticide use enforcement.  Almost every state has
a lead agency responsible for enforcing pesticide use regulations
under a cooperative agreement with EPA, which retains oversight
authority.  In most states, this lead agency is part of the
Department of Agriculture, or the Department of Natural or
Environmental Protection.  EPA, however, retains primary re-
sponsiblity for enforcement in Nebraska, Colorado, and certain
Indian Tribal Lands.

     The Agency is also interested in any information concerning
adverse effects to people, pets, or wildlife as a result of
pesticide exposure associated with the proper or improper use
of pesticides.  The public is encouraged to submit any such
information to the Agency's Incident Response Officer, Hazard
Evaluation Division, Office of Pesticide Programs (TS-766C),
401 H Street, S.W., Washington, D.C.  20460  (telephone (703)
557-0576).

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c/EPA
                 United Stales
                 Environmental Protection
                 Agency
                 Office of
                 Public Affairs (A-1071
                 Washington DC 20460
A-107/8&O03
June 1986
Pesticides  Fact Book

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Contents	
 Overview of Pestidde Regulation  	
  Product* Regulated-	
  The Regulated Community 	
  Statutory Authority for Pesticide
  Regulation1	
 How EPA Regulates New Pesticides ...
 Tolerances  	
 How EPA ReguUte* Existing Pesticides
  Rogiftntion Standards 	
  IfcuCilMn  	
  SpKiaJ Review	
State Enforcement Role	
Product Packaging  	
Farmworker Safety	
Ground Water Contamination	
DiU Quality	,
Mlcnbld PnUddei	
Tables
Hiitory of Federtl Pnticide UgiiUtton ... .6
Summary ol Tolerance ProvUiong: Federal
Food. Drug end Cosmetic Act (FFDCA) —6
Summary of the Federal Insecticide.
Fungicide, and Rodenticide Act (F1FRA).
a* amended	7
Pnticide  RegUtntlon Process	7


Appendices
A. Glossary	8
B. Basic Data Requirements for a New Major
Food or Food Crop Pesticide	9
C Map of EPA Regions	9
D. EPA Pesticide Contacts 	9
E. State Agencies	10

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 Overview  of

 Pesticide

 Regulation


 Products Regulated

 Pesticides include
 insecticides, herbicides.
 fungicides, ndenticides.
 fumigants. disinfectants.
 plant growth regulators and
 other substances  intended to
 control pests. Approximately
 45,000 pesticide products are
 currently marketed in the
 United States. The
 Environmental Protection
 Agency (EPA) regulates these
 products primarily on the
 basis of theirjpesticidal active
 ingredients. There are
 roughly 1.400 "active
 ingredients" in the 45.000
 products now on the market.
 By combining these active
 ingredients (such as salts and
 esters) EPA has defined about
 600 distinct active ingredient
 groups that must  be regulated
 separately.
  Approximately 1.2 billion
 pounds of pesticides costing
 $6.5 billion are sold each
 year. About 70 percent of all
 pesticides used in this
 country are applied in
 agricultural production. 7
 percent in home and garden
 eettings. and the remaining
 23 percent in forestry,
 industry and government
 programs.

 The Regulated
 Community

 About 30 major pesticide
 producers, another 100
 companies that market active
 ingredients. 3.300 product
 formulators, and 29.000,
 distributors are subject to
 EPA health and safely
 regulations. Pesticide users.
 including private citizens, are
 also subject to EPA
 regulation. It is a  violation of
 the law for any person to use
 a pesticide in a manner
 inconsistent with its label. In
 order to use certain
 pesticides that EPA has
 classified for "restricted use"
 farmers and commercial
 applicators must complete an
approved training program in
 the proper handling of toxic
chemicals.
Statutory Authority for
Pesticide Regulation

EPA's regulation of pesticides
is mandated by Congress.
Through its Office of
Pesticide Programs (OPP),
EPA administers two statutes:


• The Federal Insecticide.
Fungicide and Rodenticide
Act (FIFRA), last amended by
Congress in I960, which
governs the licensing, or
"registration." of pesticide
products.
• The Federal Food. Drug
and Cosmetic Act (FFDCA)
which, among other things.
governs pesticide residue
levels in food or feed crops.

  FIFRA was originally
enacted in 1947. when it
replaced the Federal
Insecticide Act of 1910. but
Congress has amended FIFRA
several times since then. The
most important FIFRA
amendment was the Federal
Environmental Pesticide
Control Act (FEPCA) of 1972,
which shifted the emphasis
from safeguarding the
consumer against fraudulent
pesticide products to public
health ana environmental
protection. EPA  assumed
responsibility for
administering FIFRA when
the Agency was  established
in 1970. Before that.
pesticides were regulated by
the V.S. Department of
Agriculture (USDA).
How EPA

Regulates New

Pesticides

EPA is responsible under
FIFRA for registering new
pesticides to ensure that.
when used according to label
directions, they will not
present unreasonable risks to
human health or
environment. The law
requires the Agency to take
into account economic,
social, and environmental
costs and benefits in making
decisions.
  Pesticide registration la a
ore-market review and
licensing program for all
pesticides marketed in the
U.S.. whether of domestic or
foreign orgin. EPA annually
reviews  approximately
15,000 registration
submissions of various  kinds.
Only about 15 brand-new
chemicals (new active
ingredients) are registered
each year. Most registration
decisions are for new
formulations containing
active ingredients which are
already registered with EPA,
or new uses of existing
products.
  The Agency bases
registration decisions for new
pesticides on its evaluation
of test data provided by
applicants. Required studies
include testing to ahow
whether a pesticide has the
potential to cause advene
effects In humans, fish,
wildlife, and endangered
species.  Potential human
risks Include acute reactions
such as toxic poisoning and
akin and eye irritation, as
well as possible long-term
effects like cancer, birth
defects, or reproductive
system disorders. Data on
"environmental fate," or how
a pesticide behaves in the
environment, are also
required so that EPA can
determine, among other
things, whether a pesticide
poses a threat to ground or
surface water.
  EPA may classify a product
for restricted use If its
toxicity warrants special
handling. Restricted
pesticides may be used only
by or under the supervision
of certified applicators
trained to handle toxic
chemicals, and *^**
classification must be shown
on labels. During registration
review, the Agency may also
require changes In proposed
labeling and use patterns.
Moreover, if a pesticide is
being considered for use on a
food or feed crop, the
applicant must petition EPA
for a tolerance (see
subsequent section on
Tolerances) and submit
appropriate data so that the
Agency can define a safe and
realistic tolerance level
  A brand-new active
ingredient may need six to
nine years to move from the
laboratory, through full
completion of EPA
registration requirements, to
retail shelves. This
time-frame includes two or
three years to obtain
registration from EPA. The
registration process generally
begins with an experimental
use permit (EUP) issued by
EPA to permit pro-market
field testing. Subsequently.
manufacturers typically
submit an application tor
federal registration to EPA for
review. This application
must include appropriate
health and safety data, and
EPA may require further
testing to clarify specific
health or environmental
questions that may arise
during registration review.
  The estimated average cost
for a pesticide producer to
comply with EPA's
registration data requirements
is between $2.4 million and
$4.0 million per major new
active ingredient This is
about four to seven percent
of typical total development
costs of $50 million to $70
million.

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  Registration of a new
 formulation containing an
 active ingredient already
 registered with EPA requires
 far less time and expense.
 Such new product
 registrations may be
 completed within six to nine
 months.
  Pending full development
 of data required for the
 registration of products
 which contain existing active
 ingredients, FIFRA allows
 conditional registration if
 EPA finds that the use of the
 product will not significantly
 increase the level of risk
 posed by similar products
 already on the market.
 Conditional registrations are
 subject to immediate
 cancellation if the
 outstanding data are not
 submitted by the time
 specified. Under special
 circumstances prescribed by
 FIFRA. the Agency may also
 grant conditional
 registrations for products
 containing active ingredients
 not previously registered
 with EPA. These special
 circumstances include a
 finding by EPA that the
 conditional use of  the new
 pesticide will be in the
 public interest, that a
 reasonable time for
conducting the required
studies has not elapsed, and
 that use of the pesticide for
the period of conditional
registration will not present
an unreasonable risk.
  EPA also evaluates several
types of special registration
submissions mandated by
 FIFRA. Experimental use
permits under section 5
allow large-scale
experimentation in order to
 develop data for new
 products or  new uses of
existing ones. Through
emergency exemptions under
section IB. EPA may
temporarily  authorize  state or
federal agencies to combat
emergencies with pesticide
uses not permitted by
existing federal registrations.
 Under section 24(c). "special
 local need" registrations by
the states become effective
 immediately, but may be
 disallowed by EPA within 90
 days.
Tolerances

Under the FFDCA, EPA sets
tolerances, or maximum legal
limits, for pesticide residues
on food commodities
marketed in the U.S.
Tolerances apply to imported
commodities as well as
domestically produced food
and animal feed. The
purpose of the tolerance
program is to ensure that
U.S. consumers are not
exposed to unsafe
food-pesticide residue levels.
  Before a pesticide can be
registered under FIFRA for
use on a food or feed crop.
EPA must either establish a
tolerance or, if appropriate,
grant an exemption from the
tolerance requirement.
Tolerances for raw
agricultural  commodities are
established under section 408
of the FFDCA. Certain
pesticide uses also require
separate tolerances under
section 40&for processed
commodities, if residues are
expected to  concentrate
during food processing.
  The Agency establishes a
tolerance only if residue
chemistry and toxicological
data indicate no
unreasonable risk to lifelong
consumers. Tolerances are set
at levels no higher than
necessary to permit
marketing of treated
commodities. The Food and
Drug Administration and the
U.S. Department of
Agriculture are  responsible
for enforcing tolerances for
food and feed commodities
in commerce. Any
commodities with residues in
excess of tolerance levels are
subject to seizure.
  Residue chemistry and
toxicology are far more
advanced now than  30 years
ago. but until recently the
basic scientific  assumptions
behind our regulations had
not been re-examined. In the
last few years. EPA has
consulted with  numerous
outside experts in an effort to
upgrade its traditional
tolerance system. A  number
of changes have been
initiated, including
refinement of dietary
consumption estimates, a
new scheme that allows for
more extensive use of group
tolerances for related crops,
and a data call-in program to
bring the data-base up to
contemporary standards.
  Individual tolerances for
existing pesticides are being
reassessed as part of the
reregistration process. (See
subsequent section on
Existing Pesticides.) EPA is
also revoking tolerances for
cancelled pesticides.
Following tolerance
revocation EPA can
recommend "action levels,"
where appropriate, for
enforcement oy FDA and
USDA. EPA typically
recommends an action level
if, following cancellation,
unavoidable low-level
residues are expected to
occur in food commodities as
a result of environmental
persistence of the cancelled
product.
How EPA

Regulates

Existing

Pesticides

In addition to regulating new
pesticides. EPA is charged
with protecting human health
and environment from any
unreasonable adverse effects
associated with pesticides
already registered and in use.
To ensure that previously
registered pesticides meet
current scientific and
regulatory standards, FIFRA
requires the "reregistration''
of all existing pesticides.
This is a massive
undertaking. The "old
chemicals" problem has
drawn criticism because EPA
has not been able to review
and reregister existing
pesticides as quickly as
Congress originally
envisioned. However, EPA
has underway an aggressive
reregistration effort through
its "Registration Standards"
and "Data Call-In" programs.
Also, whenever data on a
registered pesticide  indicate
that it  may be presenting
unreasonable risks, EPA
initiates a public "Special
Review" to determine
whether regulatory action is
warranted.

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 Registration Standards

 For reregistration. a pesticide
 initially registered prior to
 current regulatory
 requirements must meet the
 same "no unreasonable
 advene effects" criteria that
 apply to new pesticides.
 Through its Registration
 Standards program. EPA is
 reexamining. by current
 scientific standards, the
 health and environmental
 safety of the approximately
 600 active ingredients
 contained in some 45.000
 currently registered products.
 On the basis of these reviews.
 the Agency establishes the
 various conditions registrants
 must meet in order to
 reregister pesticide products
 containing these active
 ingredients.
   These conditions are
 spelled out  in a document
 known as a Registration
 Standard. Such conditions
 typically include
 requirements (or submission
 of needed scientific data;
 compliance with product
 composition, labeling and
 packaging requirements; and
 an obligation to compensate
 other registrants for use of
 applicable safety data.
 Certain changes in
 application methods and
 label directions may also be
 required, and some uses may
 be restricted to certified
 applicators as a condition of
 reregistration.
   Depending on how the
 existing data measure up to
 current registration
 requirements, the
 manufacturer of a major
 active ingredient may incur
 costs approaching first-time
 registration costs (ranging
 from $2.4 million to $4.0
 million) to comply with EPA
 data requirements for
 registration. If existing data
 largely satisfy registration
 requirements, the costs of
complying with a
 Registration Standard will be
 considerably less.
  Once a Registration
 Standard is developed for a
 given active ingredient, new
 pesticide products will also
 be registered according to the
 terms and conditions of the
 Standard. The Standards
 approach eliminates the need
 for complete data review  for
 individual  products and
 improves the efficiency and
 consistency of registration
 decisions.
  EPA is proceeding with
 Registration Standard reviews
 on the basis of clusters of
 similar-use pesticides, such
 as termiticides. grain
 fumigants, and fungicides.
 High-volume and food-use
 pesticides are being assessed
 first. At the currently
 planned rate. Registration
Standards will be developed
for all active  ingredients by
the late 1990s. At the end of
fiscal year 1985 EPA had
 issued 117  Registration
Standards. The table below
shows the Agency's progress
in completing Registration
Standards during the last six
fiscal years.
FY-BO                   6
FY-81                 IB
FY-82                 18
FY-63                 23
FY44                 25
FY-85                 27
FY-86 (projected)      25
Data Call-In
One of the key questions in
doing a Registration Standard
is whether a chemical has an
   lay's criteria, in many
cases the answer is "no."
This is not to impugn
pesticide registrants. The fact
is that data requirements
have been tightened over
time and many products
were registered in earlier
years when fewer
requirements were in place.
EPA has discovered, not
surprisingly, that the early
Registration Standards have
resulted  in many
requirements for additional
data. In order to obtain
important data before the
Agency completes or even
begins a  Registration
Standard on a chemical. EPA
initiated a Data Call-in
program  in 1981. Letters are
sent to registrants identifying
long-term chronic testing
needs (cancer, chronic
feeding, reproduction, and
teratogenicity testing) and
requiring the initiation, of
such studies. At the end of
fiscal year 1985. EPA
completed "calling in"
chronic toxicitv data for all
pesticides applied to food
crops.
  In addition to its regular
data call-in program. EPA has
initiated  several-special"
data call-ins. One was a
groundwater data call-in,
completed in fiscal year
1984. concerning 141 existing
pesticides known to
contaminate or suspected of
contaminating aquifers.
Special Review

If a registered pesticide
shows evidence of posing a
potential safety problem, the
Agency can conduct a
Special Review of risks and
benefits in which all
interested parties
(environmentalists.
manufacturers, users.
scientists, and the general
public) can participate. A
notice initiating a Special
Review is not a notice of
intent to cancel the
registration of a pesticide: a
Special Review may or may
not lead to cancellation.
  Depending on EPA's
findings during the Special
Review process, the Agency
may implement various
regulatory options available
under FIFRA. Often, rather
than initiating cancellation or
suspension proceedings to
reduce risks associated with
pesticide use. EPA exercises
less drastic options such as
restricting pesticide use to
certified applicators.
requiring protective clothing.
and prohibiting certain
application methods or use
in certain areas. EPA may
also decide simply to
continue the pesticide's
registrations if risk-reduction
measures are found
unnecessary.
  If the pesticide  is found to
cause unreasonable adverse
effects on human health or
the environment, EPA may
issue a notice of intent to
cancel registration.  The
registrants and others who
would be adversely affected
an given 30 days to request  a
hearing. If there is no such
appeal, all pertinent
registrations an
automatically cancelled. If a
hearing is requested,
cancellation proceedings may
take two yean or more, and
during that interval
marketing may continue.
  However, if the EPA
Administrator finds that
continued registration of the

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 pesticide for a given use
 presents an imminent hazard
 to human health, he may
 suspend it. Such action
 requires evidence that the
 risks of continued use
 outweigh benefits during the
 two or more years necessary
 to complete a cancellation
 hearing.
  There are two kinds of
suspensions under F1FRA.
 Under an ordinary
suspension, a registrant has a
right to request a hearing
before the suspension goes
into effect.  Unlike the
cancellation hearing process.
which can consume several
years, an ordinary suspension
hearing may take about six
months. But an emergency
suspension order is handed
down if EPA determines that
the risks of continued use
outweigh benefits during the
six months it would take to
hold an ordinary suspension
hearing. An emergency
suspension order is
immediate and absolute: it is
the most drastic step  EPA
can take under FIFRA.
  EPA began conducting
Special Reviews, originally
known as RPARs (Rebuttable
Presumptions Against
Registration), in 1975. Most
of the approximately  70
chemicals initially identified
as needing  special review
have been reviewed since
then, resulting in removal of
some from the market or
changes in  the way they are
used,  in order to reduce risks
to exposed  populations.
Other suspect chemicals have
been identified  through the
Registration Standards
Program described above and
placed in the Special Review
process. Since the program
began in 1975. the time
required from start to
conclusion  of a Special
Review has generally been
from two to six years.
However. EPA has recently
issued new Special Review
procedures  designed to
expedite decision-making.
State
Enforcement
Role

Since the 1972 amendments.
FIFRA has included
provisions for monitoring the
distribution and use of
pesticides, and issuing civil
as well as criminal penalties
for violations. For example, it
Is unlawful under FIFRA to
use a registered pesticide
I noduct in a manner
     sistent with its label, to
alter the approved label or to
distribute in commerce any
adulterated or misbranded
product. The 1972
amendments also authorized
"cooperative enforcement
agreements" between EPA
and the states, and a
certification and training
program for applicators that
qualifies them to use
chemicals classified for
restricted use.
  In the 1978 amendments
the states were given primary
enforcement responsibility
for pesticide use violations.
subject to oversight by EPA.
Through cooperative
enforcement agreements all
states but two. Nebraska and
Wyoming, have now  assumed
primary enforcement
responsibility. EPA sets
FIFRA enforcement policy
and conducts compliance
monitoring and enforcement
programs in these two slates.
Pesticide applicator and
certification programs are
also conducted  by the states,
except in Colorado (where
the state has a program only
for commercial  applicators)
and Nebraska, where EPA
performs this role
  Cases of pesticide misuse
or accidents should be
reported to the  slate agency
with lead responsibility fat
pesticides, generally  the slate
department of agriculture. A
list of these agencies is
provided in Appendix E.
Such cases may also  be
reported to an EPA regional
office. See Appendix C for a
map of the 10 EPA regions
and Appendix D for a list of
EPA headquarters and
regional pesticide contacts.
Product

Packaging

Pesticides are toxic chemicals
that must be stored and
handled with care. For this
reason. EPA has set
requirements to help prevent
incidents of pesticide
poisoning in residential as
well as agricultural settings.
In 1979. EPA published
regulations  aimed at reducing
potentially  hazardous
exposure to pesticides, such
as common insect and weed
killers and rat poisons
routinely used in and around
the home. These regulations
require that, if pesticides
registered for residential use
meet certain criteria, they
must be marketed in
packages with special
closures or  other safety
features commonly known as
child-resistant packaging.
These standards have a dual
purpose: to prevent children
from gaining access to the
contents and to increase
adult awareness that the
contents may be hazardous.
These requirements are
similar to child-resistant
packaging requirements first
introduced  by the Consumer
Product Safety Commission
in 1972.
  In agriculture. EPA-
approved labels restrict the
use of certain pesticides to
trained, certified  applicators.
In the past. EPA has
classified pesticides for
restricted use mainly because
of acute toxic risks to
applicators. However, the
Agency has begun using the
restricted use classification
more broadly, and pesticides
may be restricted for other
reasons such as long-term
health risks or potential
ground-water contamination.
  The Agency is  convinced
that the use of "closed
systems" for transferring
pesticides from containers to
mixing tanks or application
machinery will further
reduce the likelihood of
accidental poisoning. EPA
has published voluntary
standards, initially proposed
by the pesticide industry, to
encourage the development
and widespread use of closed
systems. The Agency is
encouraging advanced
technology in closed systems.
as well as more widespread
use of the limited technology
now available. EPA is
monitoring the results to
determine whether a
mandatory approach is
necessary.

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 Farmworker

 Safety

 EPA is making a conceited
 effort to safeguard
 farmworkers' health through
 its regulatory, educational.
 and research programs.
 Regulations in effect since
 1974 have provided basic
 protection for those engaged
 in field and hand-labor tasks.
 They prohibit direct spraying
 of workers and require
 protective clothing.
 post-application field re-entry
 intervals, and toxic-effect
 warnings.
  EPA is upgrading and
 expanding the 1974
 regulations through a
 "negotiated rulemaking"
 process in cooperation with a
 committee of 25 federal.
 state, farmworker, grower.
 and industry representatives.
 This committee is addressing
 a spectrum  of farmworker
 issues ranging from
 specialized  protective
equipment for pesticide
mixers, loaders, and
applicators, to enforcement of
regulations via federal
labeling and state programs.
EPA expects the proposed
regulations to be ready for
publication in the late  spring
or early summer of 1986.
  EPA  has prepared two
versions of a slide and tape
program, one in English and
one in  Spanish, for
presentation to farmworkers
and laborers who work with
pesticides. Many states are
now using these teaching
aids. EPA works with other
federal agencies, through
programs such as migrant
clinics, to provide
information on pesticide
hazards and safe-use
practices.
  EPA  is also studying field
exposures, health effects, and
the benefits of protective
clothing to agricultural
workers.
Ground  Water

Contamination

Depending on their
properties and patterns of
use, pesticides may leach
through the soil and
contaminate ground water
especially where the water
table is close to the surface
and soils are highly
permeable. EPA is
developing a comprehensive
approach to pesticides in
ground water focused on
existing problems and
prevention of future
contamination as well—all in
the context of a general
Ground-Water Protection
Strategy.
  For pesticides not yet on
the market, EPA is using
sophisticated environmental
chemistry and mathematical
models to predict whether a
new pesticide has the
potential to reach ground
water. All prospective
registrants of pesticides
intended for use outdoors
must submit a range of test
data so EPA staff scientists
can assess the fate of a new
pesticide when used as
proposed.
  For example, the most
important properties
determining whether a
pesticide represents a threat
to ground water are its
persistence and mobility. In
addition. EPA considers the
site itself, since local water
and soil conditions are
important variables in ground
water contamination. The
Agency has recently
published final guidelines
providing registrants with
detailed technical guidance
for developing
environmental-fate data.
  Existing ground water
problems are generally
caused by pesticides that
entered the marketplace
before the current scientific
and regulatory standards
were put in place. To detect
and correct these conditions,
EPA is engaged in monitoring
ground water in cooperation
with the U.S. Geological
Survey and various state
agencies. EPA is also
planning a nationwide survey
of public and private water
supplies. The results of these
studies will be published in
annual reports and scientific
journals.
  EPA is also taking action to
bring all previously
registered pesticides up to
current ground-water safety
standards. On a priority
basis, registrants of existing
pesticides are required to
submit studies to meet the
same rigorous requirements
that apply to new pesticides.
The Agency has recently
required updated information
on 141 existing pesticides
identified as having some
potential to contaminate
ground water. In some
instances, EPA may also
require the registrant to
conduct monitoring as a
condition of continued
registration.
  Where ground-water
contamination is identified.
EPA may take regulatory
action ranging from selective
restrictions to outright bans
against the manufacture and
use of a pesticide. Where
regional restrictions are
needed. EPA is working
together with state agencies
to develop appropriate
product labeling. The Agency
has also begun to issue
Health Advisories to state
and local health officials
regarding levels of pesticides
in drinking water that may
pose significant risks.
Data Quality

Beginning in 1976. a series of
audits by the FDA and EPA
revealed serious deficiencies
in tests conducted by
Industrial Bio-Test
Laboratories (IBT) to support
the registrations, in both the
United States and Canada, of
numerous pesticides and
some drugs. The IBT case
raised concerns about the
integrity of data submissions
to EPA.  Since then. EPA has
taken steps not only to
address  the IBT case
specifically, but generally to
assure the quality of data
submitted to support
pesticide registrations.
  The Agency has issued
data  requirements and new
guidelines for conducting
studies required for pesticide
registration, and has
promulgated Good Laboratory
Practices (GLP) regulations
under both FIFRA and the
Toxic Substances Control Act
(TSCA). A reorganized
laboratory inspection and
data-audit program supports
EPA's concern for data
quality.
  In  December 1983. the
Office of Pesticides and
Toxic Substances (OPTS)
established a single
management unit in  the
Office of Compliance
Monitoring for the data audit
and laboratory inspection
programs under FIFRA and
TSCA. Through these
programs, audits are
conducted to verify that final
reports accurately reflect
existing records, and
laboratory inspections are
conducted to check that
laboratories conducting
studies on pesticides and
toxic substances routinely
follow proper scientific
procedures. A computerized
system tracks study quality
from beginning to end. EPA's
inspection and audit
programs are coordinated
with FDA and the National
Toxicology Program  through
interagency agreements.

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  In 1986. the OPTS plans to
develop both Data Audit and
CLP Inspection manuals for
use by EPA inspectors and
scientific staff. The Agency is
also developing a
comprehensive set of
Standard Evaluation
Procedures governing how
studies submitted by
registrants an evaluated by
EPA staff scientists. These
procedures, covering studies
In ecological effects.
exposure assessment, residue
chemistry, and toxicology.
will ensure consistent
treatment of major scientific
topics in EPA's science
reviews and permit greater
  Kblic understanding of our
  emal review process.
  The fflT problem has been
largely resolved; invalid
studies either have been or
are being replaced. At the
end of 19B5. the status of 724
fflT studies on long-term
health  effects such as cancer
or reproductive disorders was
as follows:
• 461  do not require
replacement for one of
several reasons: the study is
valid. non-IBT data are
available, the pesticide is
cancelled or not registered, or
the type of study is not
required for registration.
• "107  studies have been
replaced; the new studies
have been reviewed by EPA
scientists and found
acceptable.
• 72 studies have been
replaced and are under
review by EPA scientists.
• By the end of fiscal year
1988, the remaining 84 studies
will have been replaced,
according to an established
schedule.
Microbial

Pesticides

Naturally occurring
microorganisms were first
registered as pesticides in the
late 1940s. Today there are
14 naturally occurring
microbial agents, such as
bacteria, fungi, viruses and
protozoa, registered in about
100 products used in
agriculture, forestry.
mosquito control, and home
and garden applications.
These products are known to
be pest-specific and of low
toxicity to man.
  Biotechnology has
advanced to the point where
genetically altered
micoorganisms have been
developed for use as
pesticides. In October 1984.
EPA published an Interim
Policy on Small-Scale Field
Testing of Certain Microbial
Pesticides, requiring
developers of biotechnologi-
es! products intended as
pesticides to notify the
Agency before initiating
small-scale field tests. They
must also submit adequate
information for EPA to assess
whether an Experimental Use
Permit (EUP) will be required
before testing.  If an EUP is
required, additional scientific
data must be submitted to
support the safety of the
proposed study, and  testing
may be carried out only
under conditions approved
by the Agency.
  EPA imposes these
requirements to help ensure
that the experimental release
of genetically altered or other
exogenous microbes will  not
result in unforeseen risks to
the environment. The Office
of Science and Technology
Policy, an arm of the
Executive Off ice of the
President, has published a
comprehensive proposed
framework for all federal
agencies regulating
biotechnological products.
Including EPA. Its purpose is
to ensure safety without
stifling innovation in a
discipline with enormous
potential benefits.
History of Federal Pesticide Legislation
1910
1947
1954
     > Federal Insecticide Act protects consumers against
      fraudulent goods.
     • Federal Insecticide, Fungicide and Rodenticide Act
      (FIFRA) requires federal registration of pesticides
      prior to marketing in interstate commerce.
     • Miller amendment to Federal Food, Drug, and
      Cosmetic Act requires establishment of 'tolerances'
      for residues of pesticides on food. feed, and fiber
      crops.
1959 - Amendments broaden scope of products covered by
      FIFRA.
1964 - Amendments tighten provisions regulating
      marketing of pesticides.
1972 • Federal Environmental Pesticide Control Act
      (FEPCA) shifts emphasis from consumer to public
      health and environmental protection.

1975 - Amendments require review by USDA of major
      pesticide decisions and regulations, and
      establish a Scientific Advisory Panel (SAP) for
      review of major pesticide decisions and
      regulations.
1978 - Amendments authorize a generic system of
      pesticide registration, based on active
      ingredients common to numerous pesticide
      products, and introduce "conditional"
      registration. Other 1978 provisions include
      more flexible procedures for "restricted use"
      classification outside the registration process.
      delegation of primary use enforcement to the
      suites, and public access to basic health and
      safety data underlying pesticide registrations
      so long as "trade secret" information is
      protected.
     • Wampler amendment requires peer review of
      major scientific studies funded by EPA and
      used in making regulatory decisions.
 1980 •
 Summary Of Tolerance Provisions:
 Federal Food, Drug And Cosmetic Act (FFDCA)

 Section 406   Authorizes "action levels" (maximum safe
              residue levels) for inadvertent residues of
              pesticides in food or feed commodities.
 Section 408   Requires tolerances (maximum legal residue
              levels) for residues in raw agricultural
              commodities. EPA sets tolerances, to be
              enforced by FDA and USDA, at maximum
              safe residue levels expected when approved
              pesticide label directions are followed.
 Section 409   Requires tolerances for food additives. A
              "food additive" tolerance is required for a
              pesticide when processing of raw
              agricultural commodities concentrates
              residues in excess of Section 408 tolerances.
              Under the "Delaney Clause," a section 409
              food additive tolerance cannot be
              established for any substance shown to
              induce cancer when ingested  by animals or
              human beings.

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 Summary Of The Federal Insecticide. Fungicide And Rodenticide Act (FIFRA), As Amended

 Action 2 -   Definitions
 Section 3 •   Basic Registration Requirements

  $3(c)(5)     A pesticide can be registered if. when used
             in accordance with widespread and
             commonly recognized practice, it will not
             cause unreasonable adverse effects on the
             environment.

  §3(c)(l)(D)  Payment of compensation to original data
             submitters by subsequent registrants.
  §3(c)(2)     Publication of guidelines specifying data
             required for registration.
  $3(c)(2)(B)  Additional data to support existing
             registrations.
  §3(c)(7)     Registration under special circumstances
             (i.e.. conditional registration).
  §3(d)(1)     Classification of pesticides for restricted use
             (i.e., for application only by trained,
             certified applicators or those under their
             direct supervision).
Section 4 -    Use of restricted pesticides by certified
             applicators.

Section 5 -    Premarket testing of pesticides under
             experimental use permits.

Section 6 -    Procedures for removal of pesticide uses via
               A. suspension (immediate halt of use
             while cancellation hearing is conducted)
             and
               B. cancellation (permanent ban).
                          Sections      Registration of pesticide-producing
                          7. 8. 9 •      establishments, maintenance of records and
                                       right of inspection.

                          Section 10 •  Trade secret protection for certain data
                                       submitted.

                          Section 12 •  Unlawful acts (civil and criminal]

                            §12(e)(2)(g) "it shall be unlawful to use any registered
                                       pesticide in a manner inconsistent with its
                                       labeling."
                          Section 15 -  Compensation for economic losses due to
                                       EPA regulations.
Section 16 -

Section 17 •
Section 18
Section 19 •


Sections
24. 26.. 27 -
                                        Judicial review of cancellation decisions.

                                        Notification of foreign governments of
                                        suspension and cancellation actions and the
                                        export of pesticides not registered in the
                                        U.S.

                                        EPA Administrator may temporarily exempt
                                        a Federal or State agency from provisions of
                                        FIFRA if warranted by emergency
                                        conditions.

                                        Procedures for the transportation and
                                        disposal of pesticides.

                                        State authority in registering pesticides and
                                       .enforcing regulations.
Pesticide Registration Process
  EPA Dili Requirements

  Test Protocols
 PttUcfdo Producer Dcvnopt
• Dili Through Lib And Fuld
 Tating
            Ptftlclde Producer Submits
            Application lo Register
            Pesticide with Dele:
            • Product Chemistry
            • Environments! Fete
            • Toxicology
            • FUh And Wildlife
          PHHeld* Producer Submits
          Tolerance Petition lor Food
          Use Postldde with Del*:
          • Residue Chemistry
          • Specie! Toxicology
                                       /
                      EPA Enters Application or
                      Petition Into Tracking System
                      end Checks Completeness
                      • Forms  • Lebel  • Dele

                      EPA Sends Dsli to Its
                      Scientists lor I
                               r Review
• Are Dele VelldT
• Whet Eileen Do They Shew?
• Whit Is the Significance ol
These Effects lor Men end
EovironmentT


UAeceptible.EPA
• Estsblishes Tolerances
                                                      If UfuccepUble. PesUdde
                                                      Producer Mutt:
                                                      • Modify Uhel endtor
                                                      • Modify Uses end/or
                                                      • Repbce Dele endfer
                                                      • Submit More Dels
                                                                                                    I
                                                                           jeer Sells
                                                                 Product
                                                                 Consumer Uses Pet Lebel
                                                                 Directions

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Appendix A

Glossary

Action Levels: Whenever
unavoidable pesticide
residues occur in food or
feed commodities for reasons
other than the direct
application of a pesticide.
EPA can recommend "action
levels" (residue levels
warranting regulatory action)
for enforcement by FDA and
USDA. While tolerances are
established for residues
occurring as a direct result of
proper usage, action levels
are set for inadvertent
residues resulting from
previous legal use or
accidental contamination.

Active Ingredient: In any
pesticide product, the
component which kills, or
otherwise controls, target
peats. Pesticides an regulated
primarily on the basis of
active ingredients.
Cancellation: The Federal
Insecticide, Fungicide and
Rodenticide Act (FIFRA)
section 6(b) authorizes
cancellation of registration if
unreasonable adverse effects
in the environment and
public health develop when a
product is used according to
widespread and commonly
recognized practice, or if its
labeling or other material
required to be submitted does
not comply with FIFRA
provisions.
Conditional Registration:
Under special circumstances.
FIFRA permits registration
(see definition below) that is
"conditional" upon the
submission of additional
data. These special
circumstances include a
finding by the EPA
Administrator that a new
product or use of an existing
pesticide will not
significantly increase the risk
of unreasonable advene
effects. A product containing
a new (previously
unregistered) active
ingredient may be
conditionally registered only
If the Administrator finds
that such conditional
registration is in the public
interest, that a reasonable
time for conducting the
additional studies has not
elapsed, and the use of the
pesticide for the period of
conditional registration will
not present an unreasonable
risk.
Data Call-In: Through its
Data Call-in program, EPA's
Office of Pesticide Programs
(OPP) requires the
development of key test data,
especially on long-term
chronic effects,  for existing
pesticides in advance of
scheduled Registration
Standard reviews. Data
Call-In is an adjunct of the
Registration Standards
program intended to expedite
rengistntion (see definition
below).
Inert Ingredient: In addition
to active components,
pesticides contain inert
solvents, carriers, surfactants,
etc., that are not active
against target pasts. However,
not all inert ingredients an
innocuous.
Registrant: Any manufacturer
or formulalor who obtains
registration for a pesticide
active ingredient or product.
Registration: Before any new
pesticide can be sold or
distributed in intra-or
interstate commerce, it must
be registered under FIFRA.
EPA is responsible under
section 3 of FIFRA for
registration (premarket
licensing) of pesticides on
the basis of data
demonstrating that when
used according to approved
label directions, they will not
cause unreasonable adverse
effects on the environment.
ReragtetraUon; Under section
3(g) of FIFRA. EPA is
responsible for the
revaluation and
reregistration of existing
pesticides originally
registered prior to current
scientific and regulatory
standards. EPA reregisters
  sticides through its
   jstration Standards
program.
RestrtctedUw. When a
pesticide is registered, some
or all of Its uses may be
classified under FIFRA
section 3(d) for restricted use,
If the pesticide warrants
special handling because of
Its toxiclty. Restricted use
pesticides may be applied
only by trained, certified
applicators or those under
their direct supervision.
Special Review (formerly
known as Rebuttable
Presumption Against
Registration, or RPAR):
Existing pesticides suspected
of posing unreasonable risks
to human health, non-target
organisms or the
environment are referred for
Special Review to EPA's
Office of Pesticide Programs.
Special Review requires an
intensive risk/benefit
analysis, with opportunity for
public comment. H the risk of
any use of a pesticide is
found to outweigh social and
economic benefits, regulatory
action may be initiated.
FIFRA mandates a range of
regulatory options, from label
revisions and use-restriction
to cancelled or suspended
registration.
Suspension: Under FIFRA
section 6(c), the EPA
Administrator may suspend
(halt) the use of a pesticide L
necessary to prevent an
imminent hazard. An
emergency suspension takes
effect immediately, but unde.
an ordinary suspension a
registrant can request a
hearing before the suspensioi
goes Into effect to determine
whether registrations of the
pesticide should be
suspended. An ordinary
suspension hearing may take
six months.
Tolerances: Under the
FFDCA, EPA is responsible
for establishing tolerances
(maximum permissible
residue levels) for pesticides
in raw agricultural products
and processed foods.
Whenever a pesticide is
registered for use on a food
or feed crop, a tolerance (or
exemption from the tolerance
requirement) must be
established. Tolerances for
agricultural commodities are
enforced by the FDA.
Tolerances for meat and
poultry products are enforced
by the USDA.

-------
 Appendix B
                                                                           Appendix D
 Basic Data Requirements For A New Major
 Food Or Feed Crop Pesticide
 0»mi»try
Environ-
mental
Fate:
 Data from the following tests
 must be submitted to EPA by •
 manufacturer prior to
 registration
 list of ingredient! (active, inert,
   impurities)
 description of manufacturing
   process
 discussion of formation of
   Impurities
 physico-chemical properties
   (e.g., melting point, solubility.
   stability, flammability, PH.
   etc.)
 residue studies (original and
   confirmatory test* for each
   commodity or commodity
   group)
 metabolic  studies
 analytical  methods (used in
   setting  tolerances for raw
   agricultural commodities and
   to detect residues for
   tolerance enforcement)
results of analytical procedures
hydrolysis
leaching
terrestrial  dissipation
photodegradation
metabolism (aerobic and
   anaerobic soil degradation)
rotational  crop study
Toxicology: acute oral
           •cute dermal
           •cute respiratory
           ocular irritation
           chronic toxicity (two-year testing
             of rats)*
           •ubchronic oral toxicity
             (six-month testing of dogs)**
           reproduction and fertility
             (two-generation study)
           metabolism (testing of rats)
           mutagenicity
           tentogenicity (two species
             tested)
           oncogenicity (two species tested)

Ecological  toxicity (acute) (freshwater
Effects:       aquatic invertebrates)
           fish (acute] (two species tested;
             LC50- lethal dose for SO
             percent of test animals)
           bird (dietary) (two species; LC50)
           bird (single dose) (LC50)

Note:
                       nding upon
             	  . uco-chemical
properties, biological activity and results of
basic test requirements.
•Chronic toxicity studies on rats can fulfil) one
of two species requirements for oncogenicity.
** New guidelines could replace this test with
a one-year canine study.
Appendix C
Map Of EPA Regions
EPA Pesticide Contacts

Head-      Policy and Special Project* Stiff
quarter*    Office of Pesticide Programs
           401 M Street, S.W.
           Washington, D.C 20460
           (703) 557-7102
Region 1    Director, Air Management
           Division
           JFK Federal Building
           Room 2311-AAA
           Boston, MA 02224
           (617) 223-2226
Region 2    Chief. Pesticides and Toxic
           Substances Branch
           Woodbridge Avenue
           Building 209
           Edison, N] 08837
           (212) 264-2525
Region 3    Chief, TSCA/FIFRA Enforcement
           Section
           841 Chestnut Street
           (3HW13)
           Philadelphia. PA 19107
           (215) 597-8598
Region 4    Chief, Pesticides and Toxic
           Substances Branch
           345 Courtland Street. N.E.
           Atlanta. GA 30365
           (404) 681-4727
Region 5    Chief. Pesticides and Toxic
           Substances Branch
           536 South Clark Street
           Chicago. IL 60605
           (312) 353-2291
           Director, Air and Waste
           Management Division
           1201 Elm Street
           Dallas, TX 75270
           (214) 767-2600
           Chief. Case Preparation and
           Technical Assistance Section
           726 Minnesota Avenue
           Kansas City, KS 66101
           (913) 236-2800
Region 8    EPA
           One Denver Place
           999 18th Street
           Suite 1300
           Denver, CO 80202
           (303) 293-1603
Region 9    Chief. Pesticides and Toxics
           Branch
           215 Fremont Street
           San Francisco, CA 94105
           (415) 974-8071
Region 10  Chief. Pesticides and Toxic
           Substances Branch
           Mail Stop 524
           1200 6th Street
           Seattle. WA 98101
           (206) 442-5810

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Appendix E
 State Agencies

            Region 1
Connecticut Director
            Dapt. of Environmental
            Protection
            Hazardous Materials
            Management Unit
            State Office Building
            165 Capitol Avenue
            Hartford. CT 06115
            (203) 586-5148
 Maine      Director
            Pesticides Control Board
            State Office Building - Station 28
            Augiuta. ME 04333
            (207) 289-2731

            Chief
            Pesticides Bureau
            Dept. of Food and Agriculture
            100 Cambridge Street.  21st Floor
            Boston. MA 02202
            (617) 727-7712
            Supervisor
 Hampshire Pesticides Control Division
            Dept. of Agriculture
            85 Manchester Street
            Concord, NH 03301
            (603) 271-3550
            Chief
            Division of Agriculture and
            Marketing
            Dept. of Environment*]
            Management
            22 Hayes Street
            Providence. Rl 02903
            (401) 277-2782
 Vermont    Director
            Plant Industry Division
            Dept. of Agriculture
            116 State St.. State Office Bldg.
            Montpelier. VT 05602
            (802) 828-2431
           Region 2
New Jersey Chief
           Bureau of Pesticide Control
           MI Dept. of Environmental
           Protection
           380 Scotch Road
           West Trenton. N) 08265
           (609) 292-8393
New York  Director
           Bureau of Pesticides
           Dept. of Environmental
           Conservation
           Rm. 404.50 Wolf Road
           Albany. NY 12233
           (518) 457-7482
           Director
           Analysis and Registration of
           Agricultural Materials
           Puerto Rico Dept. of Agriculture
           POB 10163
           Santurce,  PR 00908
           (809) 796-1710.1715
           Director
           Pesticide Programs
           Division of Natural Resources
           Management
           Dept. of Conservation and
           Cultural Affairs
           111 Watergut Homes
           ChrlsUansted. St. Crolx
           U.S. Virgin Islands 00820
           (809) 773-0565
Region 3
Rico
                                          Delaware
                                          District of
                                          Columbia
                                           Maryland
                                           Pennsylva-
                                           nia
                                           Virginia
                                           Virginia
 Delaware Dept. of Agriculture
 POB Drawer D
 Dover. DE 19001
 (302) 736-4815
 Division of Pesticides and
 Hazardous Materials
 Dept. of Environmental Services
 District of Columbia
 5010 Overlook Avenue. S.W.
 Washington. DC 20032
 (202) 767-8422
 Chief. Pesticide Applicator's Law
 Section
 Maryland Dept. of Agriculture
 50 Harry S. Truman Parkway
 Annapolis. MD 21401
 (301) 841-5710
 Chief. Agronomic Services
 Bureau of Plant Industry
 PA Dept of Agriculture
 2301 N. Cameron Street
 Hanisburg. PA 17110
 (717) 787-4843

.Supervisor
 VA Dept. of Agriculture and
 Consumer Service
 POB 1163
 Richmond. VA 23209
 (804) 786-3798
 Director. Plant Pest Control
 Division
 W VA Dept. of Agriculture
 Capitol Building
 Charleston. WV 25305
 (304) 348-2212
10

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 	Region 4	

 Alabama   Director
            Ag Chemistry/Plant Induttry
            Division
            Alabama Depl. of Agriculture a
            Commerce
            FOB 3336
            Montgomery. AL 36103
            (205) £32-3733
 Florida     Administrator
            Dept. of Agriculture and
            Consumer Services
            Mavo Building. Room 213
            Tallahassee, FL 3230)
            (904) 467-2130
 Georgia     Chief
            Pesticides Division
            Dept. of Agriculture
            19 MX. King. Jr. Drive. S.W.
            Atlanta. CA 30334
            (404) 656-4958
 Kentucky   Director
            Division of Pesticides
            Kentucky Dept. of Agriculture
           Capitol Plaza Tower
            Frankfort, KY 40601
            (502) 564-7274
 Mississippi  Director
           Division of Plant Industry
           Dept of Agriculture and

           FOB 5207
           Mississippi State. MS 39762
           (601) 325-3390
North      Pesticide Administrator
Carolina   Pest Control Division
           Dept. of Agriculture
           State Agriculture Building
           Raleigh. NC 27611
           (919) 733-3556
South      Pesticide Supervisor
Carolina   Plant Pest Regulatory Service
           210 Bam Kail
           Clemson University
           Clemson, SC 29631
           (603) 656-3005
           Director
           Plant Industries Division
           Depl. of Agriculture
           FOB 40627. Melrose Station
           Nashville. TN 37204
           (615) 360-0117
	Region S	

Illinois    Chief
           Bureau of Plant and Apiary
           Protection
           Depl. of Agriculture
           Emmenon Building
           Springfield. IL 62706
           (217| 785-2427

           Office of Health Protection
           Dept. of Public Health
           535 West Jefferson
           Springfield. IL 62761
           (217) 762-4674
Indiana    Pesticide Administrator
           Office of the Slate Chemist
           Dept. of Biochemistry
           Purdue University
           West Lafayette. IN 47907
           (317) 494-1587

Michigan   Plant Industry Division
           Dept. of Agriculture
           Lewis Cess Building
           Lansing. MI 48909
           (517) 373-1087
Minnesota  Director
           Division of Agronomy Services
           Dept of Agriculture
           BO West Plato Blvd.
           St. Paul. MN 55107
           (612)297-116101296-1161
Ohio       Specialist in  Charge of Pesticides
           Dept of Agriculture
           8995 East Main Street
           Reynoldsburg. OH 43068
           (614) 666-6361
Wisconsin  Executive Assistant
           Depl. of Agriculture, Trade and
           Consumer Protection
           FOB 8911
           Madison. WI53708
           (608) 267-9423
	Region 6	

Arkansas  Director
           Division of Feed, Fertilizer end
           Pesticides
           Arkansas State Plant Board
           1 Natural Resources Rd.
           Little Rock. AR 72205
           (SOI) 225-1598
Louisiana  Office of Agricultural and
           Environmental Sciences
           Louisiana Dept. of Agriculture
           FOB 11453
           Baton Rouge. LA 70804
           (504) 925-3763
New       Chief
Mexico    Division of Agricultural and
           Environmental Services
           N. M. State Dept. of Agriculture
           FOB 3150
           New Mexico State University
           Las Cruces. NM 88003
           (505) 646-2133
Oklahoma  Supervisor
           Pest Management Section
           Plant Industry Division
           Oklahoma State Dept. of
           Agriculture
           310 N.E. 28th Street
           Oklahoma Cily. OK 73105
           (405) 521-3863 or 3871
Texas      Director
           Division of Agricultural and
           Environmental Sciences
           Texas Dept. of Agriculture
           FOB 12847
           Austin. TX 78711
           (512) 463-7524

-------
	Region 7	

Iowa      Supervisor
           Pesticide Control Section
           Iowa Department of Agriculture
           Henry A. Wallace Building
           East 7th Street and Court
           Avenue
           Dei Moines, IA 50319
           (SIS] 281-8590
           Director
           PUnl Health Division
           Kama* Stale Board of
           Aviculture
           109 S.W. Ninth Street
           Tcpeka, KS 6B612
           (913) 296-2263
           Supervisor
           Bureau of Pesticide Control
           Depl. of Agriculture
           FOB £30
           (effenon City. MO 65102
           (314) 751-2462
Nebraska  Director
           Bureau of Plant Industry
           Nebraska Dept. of Agriculture
           301 Centennial Mall
           Lincoln. ME 68509
           . 1T2) 471-2341
           Region 8

Colorado   Supervisor
           Pesticide Section
           Division of Plant Industry
           Colorado Dept. of Agriculture
           4th Floor. 1525 Sherman Street
           Denver. CO 80203
           1303) 892-2836

Montana   Administrator
           Environmental Management
           Division
           Agriculture-Livestock Building
           Rm317
           Capitol StatloB
           6th and Roberts
           Helena. MT 59G01
           (406) 444-2944

North      Director
Dakota     Planl Industrie* Division
           Dept of Agriculture
           Slate Capitol
           Bismarck. ND 5BS05
           (701) 224-2232

South      Director
Dakota     Division of Regulatory Services
           SD Depl. of Agriculture
           Anderson Bldg.
           445 East Capitol
           Pierre. SD 57501
           (60S) 773-3375

Utah       Director
           Division of Plant Industries
           Dept. of Agriculture
           3SO North Redwood Road
           Salt Lake City. UT 64103
           (801) 533-4107

Wyoming   Manager
           Planl Industry
           Wyoming Dept of Agriculture
           2219 Carey Avenue
           Cheyenne. WY 62002
           (307) 777-9381
                                    ion
	Region 9	

Arizona    Administrator
           Board of Pesticide Control
           1624 West  Adsms - Suite 103
           Phoenix. AZ 85007
           (602) 271-3578

           State Chemist
           Agriculture Experiment Stall
           FOB 1586
           Mesa. AZ 85201
           (602) 833-5442
           Executive Secretary
           Structural Pesl Control Board
           2207 South 4Blh - Suite M
           Tempo, AZ 65261
           (602) 271-3664

California  Assistant Director
           Division of Pest Management.
           Environmental Protection, and
           Worker Safety
           California Dept. of Food ft
           Agriculture
           Sacramento. CA 95814
           (016) 322-6315

Hawaii     Head
           Division of Plant Industry
           Hawaii Depl. of Agriculture
           FOB 22159
           Honolulu. HI 96822
           (808) 548-7124

Nevada    Administrator
           Division of Plant Industry
           Nevada Depl. of Agriculture
           FOB 11100
           Reno,  NV 69510
           (702) 789-0180

Guam     Director
           Air and Land Programs Division
           Guam Environmental Protection
           Agency
           POB19W
           Agana. GU 96910
American  Director
Samoa     Dept. of Agriculture
           FOB 366
           Pago Pago. American Samoa
           96799

Tract      Executive Officer
Territory of' Trust Territory Environmental
the Pacific  Protection Board
           Office of the High Commissioner
            Trust Territory of the Pacific
            blands
            Saipan. Mariana Islands tfSttSO

            Environmental Engineer
            Division of Environmental
            Quality
            Commonwealth of the Northern
Mariana    Mariana Islands (CNMIJ
Islands     Dr. Torres Hospital
            Saipan. Mariana Island 96950
                                                                                     wealth
                                                                                     of the
12

-------
Endangered &Threatened
   Wildlife and Plants
         APRIL 10,1987
         50CFR17.11&17.12

-------
TlUt 50-WiMllto and FtolMritt
PART 17-ENDANGERED AND
THREATENED WILDUFE AND PLANTS
Subpsrt B—Usti

  Source 48 Fit 34182. July 27.19U. unliu
otherwise noted

|17.11  Endangered and threatened
  (a) The lilt in this section eontiini the
names of all species of wildlife which
have been determined by the Services to
be Endangered or Threatened. It also
contains the names of species of wildlife
treated as Endangered or Threatened
because they are sufficiently similar in
appearance to Endangered or
Threatened species (see 117.30 et MO.).
  (b) The columns entitled "Common
Name." "Scientific Name." and
"Vertebrate Population Where
Endangered or Threatened" define the
apecies of wildlife within the meaning of
the Act. Thus, differently classified
geographic populations of the same
vertebrate subspecies or species shall
be identified by their differing
geographic boundaries, even though the
other two columns are identical. The
term "Entire" means that all populations
throughout the present range of a
vertebrate species are listed. Although
common names are included, they
cannot be relied upon for identification
of any specimen, since they may vary
greatly in local usage. The Services shall
use the most recently accepted scientific
name. In cases in which confusion might
ante, a synonym(s) will be provided in
parentheses. The Services shall rely to
the extent practicable on the
International Code of Zoological
Nomenclature.
  (c) In the "Status" column the
following symbols are used: "E" for
Endangered. "T" for Threatened,  and "B
[or T] (S/A)" for similarity of
appearance species.
  (d) The other data in the list are
nonregulatory in nature and are
provided for the information of the
reader. In the annual revision and
compilation of this title, the following
information may be amended without
public notice: the spelling of species'
names, historical range, footnotes.
references to certain other applicable
portions of this title, synonyms, and
more current names. In any of these
revised entries, neither the species, as
defined in paragraph (b) of this section.
nor its status may be changed without
following the procedures of Part 424 of
this title.
  (e) The "historic range" Indicates the
known general distribution of the
species or subspecies as reported in the
current scientific literature. The present
distribution may be greatly reduced
from this historic range. This column
does not  imply any limitation on the
application of the prohibitions in the Act
or implementing  rules. Such prohibitions
apply to all individuals of the species.
wherever found.
  (f)(l) A footnote to the Federal
Register publication(s) listing or
nclaaaifying a species is indicated
under the column "When listed."
Footnote numbers to II 17.11 and 17.12
are in the same numerical sequence.
since plants and animals may be listed
In the same Federal Register document
Thai document, at least since 1973.
Includes  a statement Indicating the basis
for the Listing, as well  as the effective
date(s) of said listing.
  (2} The "Special rules" and "Critical
habitat" columns provide a crass
reference to other sections in Puts 17.
222.226. or 227. The "Special rules"
column will also be used to die the
special rules that describe experimental
populations and  determine if they an
essential or nonessential. Separate
listing will be made for experimental
populations, and the status column will
include the following symbols: "XE" for
an essential experimental population
and "XN" for a nonessential
experimental population. The term
"NA" (not applicable) appeanng in
either of these two columns indicates
that there are no special rules and/or
critical habitat for that particular
species. However, all other appropriate
rules in Parts 17.217-227. and 402 slill
apply to that species. In addition, there
may be other rules in this Title that
relate to such wildlife. e.g.. port-of-entry
requirements. It is not intended that the
references in the "Special rules" column
list all the regulations of the two
Services which might apply to the
species or to the regulations of other
Federal agencies or State or local
governments.
  (g) The listing of e particular taxoi
Includes all lower taxonomic units. I
                              Ixon
                                For
example, the genus Hylobates (gibbons)
is listed as Endangered throughout Us
entire range (China. India, and SE Asia);
consequently, all species, subspecies.
and populations of that genus are
considered listed as Endangered for the
purposes of the Act In 1978 (43 PR 6230-
6233) the species Halioeetus
leucocephalui (bald eagle] was listed as
Threatened in "USA [WA. OR. MM. WL
MI)" rather than its entire population:
thus, all individuals of the bald eagle
found in those five States are considered
listed as Threatened for the purposes of
the Act
  (h) The "List of Endangered and -
Threatened Wildlife" is provided below:
  Editorial Notr This Is • compilation and
special reprint of 50 CFR 17.11 and 17.12 and
is current ti of the dsie shown on the cover.
Minor dwngei and comcoons to the October
1.1910. compilation of 90 CFR have been
incorporated ID this printing, ss well si all
published final rules thai have subsequently
appeared m the Federal Rsfiftar. Otherwise
no entry IB these list* hat been significantly
affected. This list has been prepared by the
staff of the Office of Endangered Species.
U.S. Fish and Wildlife Service. Washington.
O.C 10240. Rtsden tn requested to advise
the Service of any errors in this list. Copies
•re evilUble from the Publication Unit US
Fish and Wildlife Service. Washington. D.C

-------
           Common nama
                                 SdantMc nama
                                                                                Historic ffltflQi)
                                                                        Vertebrate
                                                                      population wtart
                                                                      endangered or
                                                                        threatened
                                                                                                                         Sta-
                                                                                                                                         Critical
                                                                             Special
                                                                               rulM
                                                                                                                                                             M
Anoa. lowland..
Anaa.moumam
Antelcpa. pjenl
Argafc  	
AmtadMo. ojant
Armada*, pb* laky.
Aaa. Alncan MU.....
                                                                                                        Enka..
An.Aalani
AvaM	

Aye-Aye..
I (-Man. onager).
Bahonn, gatade..
BanrJoool. barred..
                       CquuJ
Cguuf namonu* ..........
      t-UcAanote)
  oanui)
                       TAarqpritacuv ^oauli..
                                  Chna (Tftet. Hmelayai)	
                                  VenaiueU and Guyana to Argentina..
                                  Arganbna 	
                                  Somaka. Sudan. EMopa	
                                                                                              do
                                                (-enure
Souft»a«tam and Central Ada
MatagacyRapuUM-
Somalia. Sudan.
  Elhnpw.
Eittra..
Bantang
Bat. Buhner's kuH (Rytag tad
Bal, gray
Bal. Hawiean hoary..
Bal. Irakana.
Bal. Me Mariana feu*.
Bat. Mariana but..

Bat. Ozarfc big-eared..
Bal. Rodnguat but (dying torn)..
Bat, Snoapore i
                                                         Papua NawGianaa	
                                                         Thaawd	_		
                                                         Central and Soutnaastam U.&A	
                                                         U.S>. (HI)			
                                                         Eastam and MHtHrastam U.SA.................
                                                           Mtern Padhc Ocean: U.S A. (Guam)....
                                                         WeMem Paoflc Ocaan U.S.A. (Guam.
                                                          Roia. Unan. Salpan. Agquan).
                                                         U.S A. (MO. OK. AR)		
                                                         Indian Ocean. Rodriguaa hdand
Bat. Vvoma bio-eared...
Baat. BalucNaian	
                      Ptecottato
                                    drnrpri
                                  Urtu» arc*» prunosta
                                  USA (KV.NC. WV. VA)
                                  kaaPabstan
    \ brown 01 yiluly..
                      Maut anctta < <•
                                     NA
                                     NA
                                     NA
                                     NA
                                                                       NA
                                                                       NA
                                                                       NA
                                                                       NA
                                                                       NA
                                                                       NA
                                                                                                                                                      NA

                                                                                                                                                      NA
                                                                                                                                                      NA
                                                                                                                                                      NA
                                                                                                                                                      NA
                                                                                                                                                      NA
                                                                                                                                                      NA

                                                                                                                                                      NA
                                                                                                                    NA
                                                                                                                    NA
                                                                                                                17.40«c)
                                                                                                                    NA
                                                                                                                    NA
                                                                                                                    NA
                                                                                                                    NA
                                                                                                                    NA
                                                                                                                    NA
                                                                                                                    NA
                                                                                                                    NA
                                                                                                                    NA
                                                                                                                    NA
                                                                                                                    NA
                                                                                                                    NA
                    NA
                    NA
                    NA
                    NA
                    NA
                    NA
               17.40(b|
                                              NA
                                              NA
                                              NA
                                              NA
                                              NA

-------
         Common)
                                                                      HMorterang*
                                                                   USX (AK. D.
                                                              MT.NH.VT.WA.WI).
                                                                                                 Kfwlpwt
                                                                                             •USE. BrtL
                                                   120E.
                                                   136E.
                                                    143
                                                                                             USA tenter.
                                                                                             Columbia R..
                                                                                             KootarwyR,
                                                                                             KootarwyL.
Crt.AndMn
CM.
CM.
CAMo
       ott.
CM.PIMMI
CM. TOTMtack't (-got*
                                                            CM* Pwu. Boto
                                                            SauOMmAMn...
                                                                                             0.). U.SA (10.
                                                                                             WA).
                                  tmyiii
i(MomoMMwid.R|ukyii
                                    •pv*
                                            Mhf.
                                                                            . Indonw
                              A**jnrahC*L
CM.IQ.
Ctamoli
                                                            IWy
ChMM
                                                            AMcatoMto
CNmpm
CNnoMta
                                                            Zdn
                                     ^w*
                                                            MMtoo (Qi« of CMtanb).
                                     a** coup
                                                                  North An
                              Cfcnu* •*•**» J
                              Ax*(-t*nu»)pordnuttuhl,
                                                            Mo
             HlflUi
                                                            MndE
                                                            U.8JL (WA. OR)_
                                                            Coratoi.SwdHi.
    Efcf*
                                  -Cwwt)
                                       *p
                                                            U.&A.IFU.
                                                                    •tattn
    McfWVs.
                                                            ChbM (SHdMift TtaQ.
                                                            CNm (ShMMung and CNM PlowkieM)....
                                                            BraA AigMkv. UugMy. BaM* PW-
                                                                                             Bhutan. Bum*

                                                                                             Yunnan).
                                                                                             NKMlF
                                                                                             SMika
                                                     IS
                                                     IS
                                                     15
                                                     IS
                                                    139
                                                     IS

                                                      S
                                                     IS
                                                    3.5
                                                     16
                                                     16
                                                     IS
                                                     SO
                                                    169

                                                    139
                                                      6
                                                     SO
                                                      3
                                                     SO
                                                     10
                                                      1
                                                     so
                                                      3
                                                     SO
                                                     IS
                                                      1
                                                      3

                                                      3
                                                     IS
                                                                                                                     SO
                                                                                                                     IS
                                                                                                                             NA
NA
NA
NA
NA
NA
                                                                                                                             NA
                                                                                                                             NA
                                                                                                                             NA
                                                                                                                             NA
                                                                                                                             NA
                                                                                                                             NA
                                                                                                                             NA
                                                                                                                             NA
                                                                                                                             NA
                                                                                                                             NA
                                                                                                                             NA
                                                                                                                                  17.40(c)
                                                                                                                                  17.40(e)
                                                                                                                                     NA
                                                                                                                                     NA
                                                                                                                                     NA
                                                                                                                                     NA
                                                                                                                                     NA

-------
                                                                                                        population «nera
                                                                                                         andwgerad or
                                                                     Iraq. Iran
                                                                     Phftppnaa (Catarntan Wands)
                                                                     Japan (Ryukyu Mandt)
                                                                     CfwM (SnwMi Provmc*)
                                                                     SouOMm Cnra.
Daar. Ryukyu «*a
Oaar. Shanal aka	
Daar. South China a*a
           <-
Oaar. Yarkand ..
Ohoto (.AnaHc «M dog)
                                  Gamut /won ftanama*
                                  farvm
                                  GaruM duimuett
                                                                     China (Smklang)
                                                                     U.SSR.. Korea. Chna. Mta.
Dog, African •*!
                                                                     Equator^ Wan Akin
                                                                     East AMca to
                                                                      U.SX (Trmt TanHortaa).
                                                                    Siarra Laona. Uberla, Ivory
                                                                    SanagaltoK«yCoaat
                                                                    AMca
Ot*ar. JanMi1!
Eland. Waaiarnglanl
                                                                     SoutttcanM and Soumaaal Aata
                                                                     Waalam U.SA. Waalam Canada
                                                                     U.SX (mrfham phm). CanadM
                                                                     U.SA (CA».
                                                                     EVwipta
F....
                                                                                                       ChnanRamaof
                                                                    SouttMwatam Aak
                                                                    EaalAata
                                                                    Central and Wa*tam AM
                                                                    tmta. Nepal. Bhutan
                                                                    CttaopM, Sonwfeat ....
                                                                    EOwpla. Sudan. Egypt	
                                                                    Induj, Nepal. Bhutan. Sftklm
                                                                    Monoota. China
                                                                    Ecuador. Peru. CMa. BoM
                                                                    CNIa. ArganttM
                                                                    Cuba	
                                                                      .do.
Hartabeaet. Ton
Hog. pygmy...
Horaa. PrzaMtakra
Huarnul. North Andaan
Huamul. Soum Andaan
HuOa. Cabrara'a.
Hutta. larga earad.
                                  Ctpromyt matut
                                  Gtpromyi
                                                                    Morocco. Algarla. TunWa
                                                                    Southani Ainca.
                                                                    Span
Hyana. Barbary
Hyana. brown.
                                  H)««na annnaa

-------
Spades
            Hatoric range
                                                                                Vertebrate
                                                                             population where
                                                                              endangered or
                                                                                threatened
                                                       Sta-
                                                        tus
                                                               ksted
                                                                                                                                               Critical
                                                                                                                                               habitat
                                                                                  Special
                                                                                   rules
Ethiopia	
Nainb>a. Angola  "!!.""  '.'". """.""!."""!
Malagasy Repubkc (-Madagascar)	
U S A (TX. NM. AZL C. and S America
USA. (TX). Mexico	
Mexico. Nicaragua	
Nicaragua. Costa Rica. Panama	
USA (AZK Mexico	
Austraaa....
                                     .... do.	
                                     ....do	
                                     ...  do	
                                     Monco southward
                                     Entire	
                                     .... do	
                                     	do	
	do	
Australia (Tasmania)	'.'.".'.'.
Australia	
Vietnam. Laos. Canted*. Tnaiand	
Ma. Burma. Bangladesh	
Crane («**). bMka. Pakistan. Kashmir.
  Sri Lanka. SJkfam. Bangladesh.
CambodU. Laos. Vietnam	
China (Kwangsl), Indoctsna.
fnduj (Assam). Bhutan.....
                                                                               .do...
                                                                               .do...
                                                                               .do...
                                         ...do.
                                        Sri Lanka (-Ceylon)	
                                        Vietnam	
                                        Southern Africa.

                                                                              . do
                                                                              . fHF
...do.
...do.,
..do.,
..do.,
..do..
Africa. Asia..
                                                                            Wherever found*
                                                                              except where N
                                                                              Is bled as
                                      set forth below.
                                    m Africa, in the
                                      •rid. south ol.
                                                                                                            3
                                                                                                            3
                                                                                                            3
                                                                                                            5
                                                                                                           15
                                                                                                           15
                                                                                                           IS
                                                                                                           15
                                                                                                            7
                                                                    7
                                                                    3
                                                                   IS
                                                                   IS

                                                                    3
                                                                   18
                                                                   15
                                                                   16
                                                                    3
                                                                   16
                                                                   16
                                                                3.15.
                                                                  108
                                                                 3.15
                                                             3.5.114
                                                                                                     3. S. 114
                                                                                                                                                    NA
                                                                                                                                                    NA
                                                                                                                                                    NA
                                                                                                                                                    NA
                                                                                                                                                    NA
                                                                                                                                                    NA
                                                                                                                                                    NA
                                                                                                                                                    NA
                                                                                                                                                    NA

                                                                                                                                                    NA
                                                                                                                                                    NA
                                                                                                                                                    NA
                                                                                                                                                    NA
                                                                                                                                                    NA
                                                                                                                                                    NA

                                                                                                                                                    NA
                                                                                                                                                    NA
                                                                                                                                                    NA
                                                                                                                                                    NA
                                                                                                                                                    NA
                                                                                                                                                    NA
                                                                                                                                                    NA
                                                                                                                                                    NA

                                                                                                                                                    NA
                                                                                                                                                   NA
                                                                                       NA
                                                                                       NA
                                                                                       NA
                                                                                       NA
                                                                                       NA
                                                                                       NA
                                                                                       NA
                                                                                       NA
                                                                                  17.40(a)

                                                                                  1740|a)
                                                                                       NA
                                                                                  17.40(a)
                                                                                       NA
                                                                                       NA
                                                                                       NA

                                                                                       NA
                                                                                       NA
                                                                                       NA
                                                                                  17.40XC)
                                                                                       NA
                                                                                  17 40(c)
                                                                                  17 40(c)
                                                                                       NA

                                                                                       NA
                                                                                      NA
                                                                                                                          1740(Q
                                                                       Southeast  and   south-central  Asia,
                                                                         Taiwan
                                                                       Central Asia	
                                                                       Nepal.   Assam.  Vietnam.  CambodH.
                                                                         Laos. Burma.      "
                                                                       Turkey to ln*a	
                                      countries!
                                      Gabon. Congo.
                                      Zaire. Uganda.
                                      Kenya.
                                    Enure	

                                    	do.	
                                       do.	-	
                                       do...
                                      .do .
Lynx.
Macaque. Formoaan rock
           cyctapa.
Span. Portugal.
Taiwan 	
                                       do..
                                      .do.
                                                                                                        3.15

                                                                                                            5
                                                                                                           15

                                                                                                            3
                                                                                                           16
                                                                                                            3
                                                                                                           16
                                                                            NA

                                                                            NA
                                                                            NA

                                                                            NA
                                                                            NA
                                                                            NA
                                                                            NA
                                                NA

                                                NA
                                                NA

                                                NA
                                           I740(c)
                                                NA
                                           1740(C)

-------
                in name
                                                                                 Matoric range
                                                                                                         populatnn where
                                                                                                          endangered or
                                                                                                            threatened
                                                                                                                           Sto-
                                                                                                                                           Critical
                                                                               Special
Macaque. lorvlaaad .
                                                                      Japan (ShJkoku. Kyushu and Horahu hv
                                                                        land*).

Macaque. Toque ..
Manatee. Amazonian..
Manatee. Wott African.
                                   Taehfchuf ftungua..
Mengabey. Tana Rlwar.,
Mangebey.
Marhhor.
Marmoeal. burl-headed.
Marmoset, butty tufted-i
IndM (Assam) to southern CNna	
Sn Lanka (oCeyton)	
South Amanca (Amazon River Basin)	
West Coast  ol  Africa Irom Sanaga)
  River to Cuenza River.
USA. (southaastam). Canbbean Sea.
  South America.
Equatorial West Africa	
Kenya 	
Senegal to Ghana: fagaria to Gabon.—
USA (TX).C andS.  America	
Afghanistan. Pakistan	
	do...
Brazil....
... .do...
Marmoset, cotton-top..
        . GoatoYs..
                                                                      Brazil. Colombia. Ecuador.'pimi!"000**.
Marsupial, eastern Jerboa...
                rge desert.
MaraupMMnoiM. tong-lsaad..
Marian. Formosan yetow-throatad..
Monkey, black ootobi

Monkey.
Monkey Dwna.—
Monkey, howler ....
Monkay. Lhoesfs
Manfcey. Preuia'red
Monkey, proboscis..-	
Monkey, rednecked equhral
Monkay. red-baatnd.	.	
Monkey, red-eared noes spotlsd.
Monkey, aptder.
Monkey, spider..
Monkay. Tana River red <

Monkey, wooty spider	
Monkey, yeeow-Uutod wooey.....
Monkey. Zanzfcar rod cotobua..
Mouse. Alabama beach......
Mouse. Austrakan native..
Mouse. Auslraban natbe..
Mouse. Chi
                                   MouMmplgrm.
                                                                       Congo. Cameroon. Gabon
                                                                     Mexico. Guatemala. Bakza.
                                                                     Coastal Wast Africa....
                                                                                             Rapubae of
                                                        i)	
                                   CSotao
                                                                     Mexico to South Amanca	
                                                                     Upper Eastern Congo Baah. Cameroon.
                                                                      Cameroon.
                                                                      Co*taMce.Pa
                                   Garcqptffcacuv ar|4fvupaatar.
                                                                      Waatam Moarta..
                                                                      NaQfifta. Cavnevoon, FflHiMoo Po..
                                   CototMa lutomtnua <-Aadfca> nHont-
                                   Zytomy* ^ -NotanyttpeA
                                                                      Brail..
                                                                      Andes of imitlavn Pani..
                                                                      Tanzania		
                                                                      U.SX |AL)..
                                                                      Ausbatta.
                                                                      	do..
Mouaa. f tenet...
Mouaa. Goukfa.
Mouaa. Kay Largo cotton
                                             Mb>	
                                       ttomytpouldi..
USA (FL|.....
Australia	
 .. .do	
US.A (FL|...
                                                                                                           .do-
                                                                                                           do...
                                                                                                           .do...
Mouse. New Hotand	
MOUM. Pardkto Kay beach...
                                                                      Amtraka 	
                                                                      USA.(AL.FL).
                                     ..do.
                                     ..do.
   16

    3
   16
   16
    3
   52

  1.3

   16
    3
   16
    5
   IS
   IS
  139
  233
   16
    3
  139
    4
    4
    4
    3
   16

   16
   16
   IS
   16
  139
   IS
    3
   16
   16
    3
    3
3.16

    3
   16
    3
  163
   IS
   IS
  163
    4
    6
131E.
  160
    4
  163
                                                                         NA

                                                                         NA
                                                                         NA
                                                                         NA
                                                                         NA
                                                                         NA
                                                                         NA
                                                                         NA
                                                                         NA
                                                                         NA
                                                                         NA
                                                                         NA
                                                                         NA
                                                                         NA
                                                                         NA
                                                                         NA
                                                                         NA
                                                                         NA
                                                                         NA
                                                                         NA
                                                                         NA
                                                                         NA

                                                                         NA
                                                                         NA
                                                                         NA
                                                                         NA
                                                                         NA
                                                                         NA
                                                                         NA
                                                                         NA
                                                                         NA
                                                                         NA
                                                                         NA
                                                                         NA
1795(8)
    NA
    NA
17.95(a)
    NA
    NA
    NA

    NA
17.95(8)
                                                                                                                                                    17.40«e|

                                                                                                                                                         NA
                                                                                                                                                    1740(cp
                                                                                                                                                    1740(c)
                                                                                                                                                         NA
              NA

              NA
              NA
              NA
              NA
              NA
              NA
              NA
              NA
              NA
              NA
              NA
              NA
              NA
              NA
              NA
              NA

          1740(C|
              NA
              NA
              NA
              NA
              NA
              NA
              NA
              NA
              NA
              NA
              NA
                                                                                   NA
                                                                                   NA
                                                                                   NA
                                                                                   NA
                                                                                   NA
                                                                                   NA
                                                                                   NA
                                                                                   NA
                                                                                   NA

                                                                                   NA
                                                                                   NA

-------
Sp*





ItValllA 'hftMlaVv

Muntier Fee's

Numbel
Orjetol




Oiler tono-taRed

Otter emrttieiH river
Otter eouOwrn eea .. 	 	 	

Pingoan 1 ararr anteatert

PBssVBstasisVt ejae.


PoMurn. ecafv tatted




Pudu
POTML Coata niran


















da*
Sctentjfic





— i, newrihnftrtj
U«*An!»qniM|
DtaMtnif wvwmuf
MrnirKvifWf Ascalfu*
"-"— nanflttt




,__ll_1 Xl 	 j._^j iiiu-| fiaiflviiJii
liftni JMna 	

Enfrjrt* Mil itmwtt.. 	 	
UUipuuai imitenafcua
«fa!,*immirwhJJ

H*rB00l9 v^pawv eudHaTtwie (formarty
P. suftttksnrM).
flay*i«ife lunumtHs 	



CVnoniyj mfiaefnuf




rjJU J^Jiu-uitif . j,.flLl^i.. -It



















Historic range

USA (CA)
Australia
do
.do 	 	
do 	


. . do 	
USA (AZ. TX) to C. and S America 	
Duinoo Sumatra
Aratnan Penmsula
Cameroon. Nrgnna
South America 	
. . do 	 ,
Pom aoum to Strata of Magadan 	
Chile Argentina 	
Weal coast USA. (WA. OR. CA) south
to Mexico (Baja Cahtonaa).
People'* Repubbc ol Ctana 	
Atnca 	
USA (LA and AR east to SC and FL) ....
Australia 	 - 	 - 	
do 	
Brazil 	
Aiiatrala 	
do 	

USA. (UT) 	
Mexico (Da|a Caitonaa) 	
USA (AZ). Menco

Nicaragua. Panama. Costa Rica..... 	 	

Japan (Ryukyu Islands) 	 _....
Mexico 	
Austreia 	
USA. (CA) 	
do 	
do 	
Atmtraaa 	
do 	
do
.. do . 	 .'. 	
do
do 	
Sub-Saharan Africa 	
Irate. Nenal "

Slklum. Bangladesh. Malaysia
Zave Sudan. Uganda Central African
Repubbc.
Vertebrate
endangered or
threatened

do
do
.... do 	
. do 	
... do 	
.... do 	
... do 	
do
do
do..
do
do
	 do 	
do.
do
	 do. 	
	 do. 	
„ do 	
	 do 	 	 	
do
do
	 .do 	
do
do 	
do 	
.. .. do 	 	
	 do 	
do 	
. do 	 	
do
	 do 	
do 	
do 	
do 	
do 	
do 	
do 	
do
do
do - .
... do 	
do 	
	 do 	
... do 	
do
.... do 	
do


tus



_
E
E
E
E
E
E
E
E
E
E
E
E
E
T
E
E
E
E
E
E
E
E
E
E
T
E
E
E
E
E
E
E
E
E
E
E
E
E
E
E
E
E
E
E
E
E


VVIWII
toted


4
4
4
4
SO
6
4 6
5. 119
3
3
3
3
3. 15
IS
IS
21
139
15
1
4
4
3
233
4
4
3
e. 149
10
1 3
IS
15
6
50
3
4
170
251
2
6
4
8
4
4
4
97
4
3
3


Critical
habitat


NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
17.95(a)
NA
1795(a)
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA


Special
rules


NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
1740(g)
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA .
NA


-------
          Common name
                                                                              >J|_aflB^a	
                                                                              nwoflc fango
                                     Vertebrate
                                  population tutors
                                   endanger ad or
                                                                                                                       Sla-
                                Cnttcal
                                haMat
                 SpacM
                  rules
                                 CfttqaoM MOWN* mane*..
                                 CMqpoM
Sqrirral OobnoiM P«*«Ua tan
  (Borneo)
  OAQO
Brad..
                                                                              to  Vwln*vn  to
                                                                                                       ...do...
                                                                   CanMwan Sea. on of  loidoo
                                                                   U.S A. (FarsUon Mends ol CA) aoum to
                                                                     Ueaoo (MM RevOagjgedO).
                                                                   USA. (HI)	
                                    ...do..
                                    ..do...
                                    ...do..
                                  ......do	
                                                                     •ndBtochSM.
                                                                   BMgtodMh. SouttMMt M*. Imte.
                                                                   EMI Ario. Sumatra	
                                                                   ntat. Bhuiwi	
                                                                   U.S A (VA.NQ.
                                                                   Itatayria. MonaMi.
                                                                   Cuba.
                                                                   OomM
USA. (NC.TN)	
U.SA (Oeknaiva Pemneula to
  •MI PA).
—do	
8qubra|. Vlmjrai
                                                                     layria. Indonesia. Ttiatend
                                                                   Colombia and Venaiusla south to Para-
                                                                     guay and Argenana
                                                                   Soutftarn Msuco to CotomDla and EC-
                                  Tmkatyrtcht*	
                                  rtnOtatm Ogna	,
                                  Thittania cynooafhtlut...
                                  CK*M> app. (al spacM).,
                                                                   CokMrtM. EoMdor and pOMMy Peru
                                                                     and Venezuela.
                                  .....do.....

                                  	do.....

                                  .....do.....
Temperate and Tropical AMI	
Australia	
Pent. Braz*. Ecuador? Cotontoa. van-
..do...
...do...
.. do....
                   E
                   E
                   E
                   E
                   T

                   E
                   E

                   E
                   E
                   E
                   E
                   E
                   T
                   E
                   E
                   E
                   E
                   E
                   E
                   E

                  XN

                   E
                   E
                   E
                   E

                   E
                   E
                   E
                                                                   Cyprus.
    15
   233
     3
1. 2. 45
   2t2

    ia
     3

     3
    15
     3
    15
     3
   248
    IS
     4
   3.4
     3
     3
   189
I. Ml.
   tea
   181

   189
     3
     3
   SO

   50
     4
     3
    16
    18
    15

    3

    3

    3

    16
   3.5
    3
    3

    IS
                                                                       NA

                                                                       NA
                                                                       NA
                                                                       NA
                                                                       NA
                                                                       NA

                                                                    226 M
                                                                       NA

                                                                       NA
                                                                       NA
                                                                       NA
                                                                       NA
                                                                       NA
                                                                       NA
                                                                       NA
                                                                       NA
                                                                       NA
                                                                       NA
                                                                                                                                          NA
                                                                                                                                          NA
                                                                       NA
                                                                       NA
                                                                       NA
                                                                       NA

                                                                       NA
                                                                                                                                                    NA
                                                                              22711
                                                                                 NA
                                                                                 NA
                                                                                 NA
                                                                                 NA
                                                                                NA
                                                                                NA
                                                                                NA
                                                                                NA
                                                                                NA
                                                                                NA

                                                                            17.B4(a)

                                                                                NA
                                                                                NA
                                                                                NA
                                                                                                                                                   NA
                                                                                                                                                   NA
                                                                                                                                               1740(e»
                                                                                                                                                   NA
    NA

17 4
-------
                               Species
          Common nem
                                             SCHNItrfiC
                                                                                                             threatened
                                                                                                                            Sta-
                                                                                                                                             Crltcal
                                                                                                                                                      SpecW
                                                                                                                                                       rules
Vicuna..
Vote..
Walaby. banded hare.
4ecrtXUs<
/ fyt novfihus fascatibs.
South America (Antes).
USA. (CA)	
  ..do...
  .do...
Wallaby, creacen
Walaby. Parma.
Walaby. yeftw-tootad rock..
Whale. Hue	
                                     ..do.
                                     ...do.
                                     ...do..
                                     ..do.
                                     ..do.
                                      .do...
                                      ...do...
                                      . .do...
                                      .do..
BMtoenaptanmocvUn..
                                      .. do...
                                      ...do..
                                      ...do..
                                                                      Ocearac (north kUNudaa only)..
                                                                      Oceanic	
                                                                                ; Ocean: coastal and Bering
                                                                        Sea
                                                                      Oceanic..
                                                                         ..do.
                                                                         . do..
                                                                         ...da.
wriaM, Sal.
Whale, sperm
                                                                        ...do...
                                                                        ..do...
                                                                        ...do..
fTVfftar ctlatan	
Cm «•*•..
                                                                         .do..
WoB. manod.	

Wo».red..
                                                                       ...do..
                                   Argentina. BoMa. Brad. Paraguay. Uru-
                                   USA  (aouttteestam  U.SA  west to
                                     central TX).
lAlM^^M. fc^hM-fM^^Ml f_l
nnraeAj n^vy-niMvii |^c
  QueenalaridhalnMioaed).
                                    USA (46
                                      conterminous
                                      Slates, except
                                      MN). Mexico.
                                    USA(MN)	
                                    Entta	

                                    Entire, except
                                      Dare, Hyde.
                                      Tyne*. and
                                      Washngion
                                      Counties. NC.
                                    U.SA (Dare.
                                                                                                                             XN
  anrtt.
          ftwrW (formerly L
Zebra. Hertmam's
Zebra, mountain-
                                                                      USA(FL).

                                                                      China (Tftat). aioTa
                                                                      Kenya.
                                      •nd WashetiQton
                                      Counbea. NO.
                                    Entke	

                                    	.do.	
fouMMftniMCni
                   reaper).
Akepa. Maul (honeyeresper).
      . Kaua) (honeycreapar)
                                   SouBiAMca
                                   USA (HI)..
                                     .do..
                                     ...do...
                                      ..do...
           noneycreepar)...


Btockbrd. yeaowshouUerad
Dulj^hrte. mesked (qual) .....
Booby. Abbott's	
Hmgnithus munot (=•«•>»>..
  .do..
  .do
AgetfHa ttnlhomu*.
Coma
North Pacrflc Ocean Japaa USS.R.
  USA  (AK. CA. HI. OR. WA).
USA (PR) 	
U S.A (AZ). Mexico (Sonera)	
Indian Ocean Chmtmas Island	
  . do.	,
  . do	
Enure, except
  USA
Entare	
  . do	-
  .do	
      3
    166
      4
      4
      4
      4
      4
      6
      3
      3
      3
      3

      3
      3
      3
      3
1. 6. 13.
 15.35
                              35
                               4

                           1.248
                                                                                                                                      248
                             4.8

                           131E.
                             160
                               3
                              54
                          54.111
                          15. HI
     2
     2
     t
     I
     3

    17
   1.3
    15
                                                                                                              NA
                                       NA
                                       NA
                                       NA
                                       NA
                                       NA
                                       NA
                                       NA
                                       NA
                                       NA
                                       NA

                                       NA
                                       NA
                                       NA
                                       NA
                                   17.B5M
         17.95(a)
             NA

             NA
                                                                                                             NA
             NA

             NA

             NA
             NA
             NA
             NA
    NA
    NA
    NA
    NA
    NA

17»5(b)
    NA
    NA
              NA
              NA
              NA
              NA
              NA
              NA
              NA
              NA
              NA
              NA
              NA
                                                                                                                                                          NA
                                                                                                                                                          NA
                                                                                                                                                          NA
          1740(d)
              NA

              NA
                                                                                                                                                      1784(C)
              NA

              NA

              NA
              NA
              NA
              NA
NA
NA
NA
NA
NA

NA
NA
NA

-------
                                             ScMntthc nwnv
                                                                                Haloric ring*
                                                                                              Vertabrata
                                                                                            population where
                                                                                             endangered or
                                                                                              threatened
                                                     Sta-
                                                     tus
                         When
                         hsted
       Critical
       habrtal
         Special
          rules
BrfsBsblrd, western.
BrWMwd, weslsi
Brosdb*. Quern.
BuDut. Mauritius
Butane*. Sao Miguel (Hncn)..

Bustard, great Indian.
                      •*i*pr>*»p
                      ftypsswftn onrftonci
                      /yrnuta/*rrnula mums
                      Xfncut Jonyyun
                      OlonDas ngncops	
                    US A. (Guam)...
mdun Ocean Maurilus	
Eastern Atlantic Ocean. Azores	
New Zealand  	
Ind*. Pakistan	
  .do...
  .do..
   do.
  .do.
  .do.
Condor. Andean	
Condor. Castcrna.,
                      Gymnogypf cfttcmtnit	
Cool.
          its
(-akwkeokoo).
                                        amsnpansi ataL
         ns
                Hi.
Cobnga.1
Oane. Mack-necked..
Crane. Cubai
Oane. hooded.
Crane. Japanesi
Crane. MtssMappi aandhffJ..
Crane. StMnen i
Creeper.
       .Oahu(-
                      attnp
                      JBpnufcns mtrapupunm
                      Gmtngncota
                      Gna csenedlBRSB nawnaM.
Colombia to Chse and Argentna
USA. (OR. CA). Memo (Bap

US A (HI)..
Bran"	
 ..  do	
Chna(T*»H)	
West Indies Cuba	
.... do	
.... do	
USAoriiy"!

Entire..
—do.	
	.do	
                      Gna itponanta
                      Gna canadbnM
                      final teueagarwma
Japan. USSR	
Chna. Japan. Korea. U.S S R	-	
US.A (MS)	
USSR  (Stena) to hvta. ndwang ban
  and Chna
                                   Gnm
                      Orwomys*H=LaxofiaMnunm	
                      RBonomfn l**O**onV*** =torqp»)
Canada. USA. (Rocky Mountains
  toCarosnas). Medea
USA (HI)	
	do	-.
                                                                                                         ....do..........
                                                                                                          ..40..—
Crow.
                                   Conut Auben*..
                                      (»*qppeuf...
                      Caguu* < -Civ*cns> nowtoni..
                      Maul-=OmxlmaumH.
                      Crmxt**
Curaesow. Trnktod
Cunsw. Eskimo
Oove, Oreneds gray-konted	

Duck, Laysan..
Duck, pnk-taa
Duck. wtirie-««nged wood	
Western Peofic Oceerc U.SA (Guam.
  Rota)
bHkan Ocean. Mauritius	
(raven Ocean Reurson	
Brad (Eastern)	
Brazil	
West Indies: Trinidad	
Alaska and northern Canada to Argenti-
  na.
Southwest Pacmc Ocean- New Catado-
 ... .do.
 .....do.
 ...do.
                      lajMMbnrfMflai
                      Antsltyi
West Indies Grenada.
US.A. (HI)	
 ..  do	
..... do.	

  . do......
  Do....
                      WNMtofMSSsV CSfyOphjffBOBB..
                      CMVIJ gcutulftm	
                      M§tto0tu3 itucocfptutos •• •
                                    ..JOO.
Indw. Malaysia. Indonesia.
North Amonca soutti to^rarthem Mexico.
.... do.	
   do	
USA
  (conterminous

  WA.Ofl.MN.
  WI.MI).
U.SA.(WA.OR.
  MN.WI.MI).
   3
  15
 156
   3
   3
   3
   3
   3
   4
   1

   2
  15
  15
  15
  15
   4
   3
                             15
                            1.3

                             10
                              2
   1
 156

   3
   3
  15
   4
   3
 1.3
   3
   1
   1
  15
   3
1.34
                                                                                                                                     34
    NA
    NA
    NA
    NA
    NA
    NA
    NA
    NA
    NA
17.94(0)

    NA
    NA
    NA
    NA
    NA
    NA
    NA
17.9S(b)
    NA

    NA
17.0S(b)

    NA
    NA

    NA

    NA
    NA

    NA
    NA
    NA
    NA
    NA
    NA

    NA

    NA
    NA
    NA
    NA
    NA
    NA
                                                                                                                                              NA
NA
NA
NA
NA
NA
NA
NA
NA
NA

NA
NA
NA
NA
NA
NA
NA
NA
NA

NA
NA

NA
NA

NA

NA
NA

NA
NA
NA
NA
NA
NA

NA

NA
NA
NA
NA
NA
NA
                                                                                                                                       I741(a)

-------
         Common!
                                                                                             popirfottoo wtiorai
                                                                              Sto-
Eaota
Eigt*, nvpy..
Eagta, PN^ppkw (•monkoy-oMfrig).
Eogl*. SpM*hlmp«W	
                                   /Mtac*
                                                             Spam. Morocco, Alg«ta,
                                                             Chfcw. Korea	
                                                             NM» from conM Atata i
                                                              Enki
                                                                .*>...
                                                              •ntntan muh to South Anwriea
                                                                  bom ncvffMrn MMkA lo
                                                              ttnt wlrMra KMti  to CanMI
Moon.
Afco
                                                                    EwMto null to AMoB and
                                                             U.SX IAZ.NM.TXk Mnkn.
Rwft. NN
                                                             U.SA(H).
                                                               48
                                                              En*
                                                             South PMMc OIMMC TaMI.
                              Fna*m*9**.
QooM.Atauttm<
                                                             U.SA(AK.CA.OaWA).
                                                             USA(HQ
            (•to)
HrnnH. taok-oMd (hummMMI
                              IndcnOoMn-
                              Indtan Onon. SoydMlBB
                              Western PKMC OOMK U.SX (Quml.-..
       .Ou»nMcon
                              USA.(FL).Cutw
KM*. Cute hooH
Kite. EvwolMto (
Kite. Granwto hoofe-MM.
                                                                                E

                                                                                E

                                                                            E(S/A)
     15
     IS
      3
      3
      3
2.3. MS
2.3.148


     IS

    216

    14S
                                                                                        1
                                                                                        1
                                                                                        3
                                                                                        3
                                                                                        3
                                                                                        3
                                                                                        IS
                                                                                       1.3
                                                                                        1
                                                                                        3
                                                                                        3
                                                                                        3
                                                                                        3
                                                                                        IS
                                                                                       1



                                                                                       1

                                                                                       1
   1S6
                                                                                                                                      NA
                                                                                                                                      MA
                                                                                                                                      NA
                                                                                                                          17.9SKI)
            NA
            NA
                                                                                                                                      NA
            NA
            NA
            NA
            NA
            NA
                                                                                                                             NA
                                                                                                                             NA
                                                                                                                             NA
                                                                                                                             NA
                                                                                                                             NA
                                                                                                                             NA
                                                                                                                         l7.0S
-------
          GoRMnon
                                                                            HMoric ranDa
                                                                                                   popUntan wtiara
                                                                                                    andangaiad or
                                                                                                                                   Critical
                                        Special
                                                                  Paraguay. Uruguay. Brad..
                                                                  Brad			
                                                                  ... .00	
MauptaioMry SaychalM (twuah)...
       . rad-laoad (cuckoo)
  ouaa'*).
                      (-U  Par-
                                                                  SrtLanaal-Cayton)
                                                                  Waal  Paertic Ocean:  USA  (Guam.
                                                                   Mariana tatand.).
                                                                  Waal  Pao*c Ooaanc  U.8A  (Patou
                                                                   Marat. Mwtww Man*).
                                                                   km**
Monmh. TW*i |oM •«» •yctfctiv).
                                             cffta
Nukupu'u (
Wo. KAMI I.tTo VW (
                                                                                     U.SA
                                                                               Ooaaic U.SA (Guam.
                                                                   TMan. Salpan. Pagan).
                                                                 USA (PR)	
                                                                 O.SA (HI)	
OaMcft. Wart AMc
tyu (honaycraapai
OfttAnJou
CM.0MI
             op*.
                                                                        Saudi Afabta
                                                                       i Sanam.
Panel, ratf-nachatf
Pand. red-ajMdadatf
Panoi SI Luda
Parrot. SI Vlncanl
                                                                  IndHnOoan: SaychaBw
                                                                  Kanya
                                                                        iland.
                                                                  NawZa
                                                                  Brad
                                                                                                    ...do..
                                                                  Brul-
                                                                    rt tniiai
                                                                                 natiatrm.
                                                                  Waal {ndM DorrMca..
                                                                  U.SA (PR)	—
                                                                  Brad		—	
                                                                 BruN. AroanttM	
                                                                 West Indw* Si Luda «...
                                                                 Wast MM SL Vincent..
                                                                 Me«iCQ.USA(AZ.NM).
...do..
... do..
....do.
.. do.
... do.
                                                                                                  Entoa.
                            3
                           IS
                           IS
                           IS
                            3
                            3
                           23
                                                                                                                               3
                                                                                                                               1
                                                                                                                           3.261
 158

   a
 1.2
   1
   3
   3
   1
   3
  IS

   3
   3
   1
3. IS
   4
   3

   3
   3
   4
   4
   4
   3
   3
3. IS
   8
   3
   1
   3
  IS
  SO
  IS
   3
   3
   3
  IS
          NA
          NA
          NA
          NA
          NA
                                                                                                                                       NA
             NA
             NA
             NA
             NA
             NA
                                                                                                                                                NA
                                                                                                                                       NA
                                                                                                                                       NA
    NA
    NA
1795
-------
                                             Sctontffic
                                                                                 Historic range
                                                                                        Vertebrate
                                                                                     population whan
                                                                                      endangered or
                                                                                        threatened
                                                                                                                           sta-
                                                                                                                                   Whan
                                                                                                                                            Critical
           u)(h<
Mper)	
Panguhi. Galapagos 	
Pekel. tlawaMn dark-rumped.
Pheasant, bar-need	
Pheasant. Blyth'a hagopan	
Pheasant, brawn eared	
Pheasant. CaboTs lragop«n	
                                                rifcuft
U S A. (HI)	
USA  (Caroana* to  TX.  CA). Waal
  Mm. C. and S Amanca Coastal.

Ecuador (Galapagos Island*)	
USA (HI)
Burma. Ctana .
Burma. Chma. ImCa.
China.
   do.
   do.
  .do	
 Entre. except
  US Aflame
  coast. FL. Al_
 Entre	
Pheasant Edwanf*..
Pheasant Eftof*.
Pheasant Imperial....
Pheasant M*ado....
Pheasant Palawan pi
Pheasant Sdaler's monal..
Pheasant Swinhoe's.
              Pl»\M»vtn» pfttttfty*
               Trtgnfwn cryiftg  	
              Omsopftton manfcnun
                                                                     fcvfea, Pafclatan.......
                                                                     Ctma (T«al). InrJa
                                                                     East Atlantic Ocoan: Axoraa
Ptgaon. AZOTM wood
PRta. Koch'a.....
     . New Zealand show
    Do..
                                                                                      States of ft, IN.
                                                                                      Ml. UN. NY.
                                                                                      OK PA. and Wl
                                                                                      •nd nowics of
                                                                                      Ontano
                                                                                     Enliie. except
                                                                                                          •rhereksleda*
PD'oulpi
Praria-cNckan. AH
dual. Merrtam's ^	
Quatial. faaptandant..
Rai. Aukland Mand
RACaktambi
Hal. Guam—
              ntaromacnruf modnno
                                                 USA (HI) ...............
                                                 USA. (TX) ..............
                                                 Mexico (VeraCrut).
                                                 Mexico to Panama .
                                   Enbra..
                                     ..do...
                                     .do...
                                                 USA (CA).
Rai. loht-looted I
                                  ffalu
Rai. Lord Howe wood.-
Ran. Yuma dapper	
Rhaa. Darwn'a 	
Robm. Chatham Mand.
                                   TncKt
              RHkaiongi
              Pleroc
                        iponrwtt.
              Patrocf Invent.
               OMR U.SA (Guam)..

USA (CA). Mexico (Ba|a Caifomls)	
Australia (Lord Howe (stand)	
Mexco. USA (AZ.CA)	
Argentina. Bolivia. Peru, Uruguay 	
New Zealand	
  .do..,
   do..,
USA
Enhra.

USA
Entire.
   do
   do
   do
                                                                                                                                 2. 3. 171
                                                                   3
                                                              2.4.1
                                                                   3
                                                                   3
                                                                   3
                                                                   3
                                                                   3
                                                                   3
                                                                  15
                                                                   3
                                                                   3
                                                                   3
                                                                   3
                                                                   3
                                                                   3
                                                                   4
                                                                   3
                                                                   3

                                                                  IS
                                                                   2
                                                                  IS
                                                                  IS
                                                                   3
                                                                211
                                                                211
   10
    1
   15
   IS
    3
    2
146E.
  156
    2
   IS
    1
    3
    3
                                                                                                                           NA
                                                                                                                           NA
                                       NA
                                       NA
                                       NA
                                       NA
                                       NA
                                       NA
                                       NA
                                       NA
                                       NA
                                       NA
                                       NA
                                       NA
                                       NA
                                       NA
                                       NA
                                       NA
                                       NA
                                       NA

                                       NA
                                       NA
                                       NA
                                       NA
                                       NA
                                                                                    NA
                                                                                    NA
                     NA
                     NA
                     NA
                     NA
                     NA
                     NA
                     NA
                     NA
                     NA
                     NA
                     NA
                     NA
                     NA
                     NA
                     NA
                     NA
                     NA

                     NA
                     NA
                     NA
                                                                          NA
                                                                          NA
                                                                          NA
                                                                          NA
                                                                          NA
                                                                          NA
                                                                         NA
                                                                         NA
                                                                         NA
                                                                         NA
                                                                         NA
                                                NA
                                                                                                                                    NA
NA
NA
NA
NA
NA

-------
                              Spedaa
                                             SctontWc
                                      Vertebrate
                                   population where
                                    endangered or
                                                                                                                         Sta-
                                                                                                                                         Critical
                                                                                                                                         habitat
                                                                                                                Spec*
                                                                                                                 rules
Hooki. scarM-breasted (flycatcher)..
Rocftlowl. grey-necked ...... _
Rocklowl. while necked
AMofc» muHoolor muHeolor
Acanarfas omaf
Scrub-bird. noaw-
Shama. Cebu Mack (touch) ................ —
Shearwater,  Newer* Townaenfs (tor-
  Bian> Manilla Vfo)
Stake. San Ctemento loggerhead ----------
Slskax red .............. _ ............... _____________
Sparrow. Cape Sable
Sparrow, dusky
       ei cfe/nasut
      nM /I0er caouensa)
AJMnu*  avftxton* (formerly
Austiahs (Nor** hdand)	
Cameroon. Gabon	,
Atnca- Togo to Sierra Leon*	,
Malaga*? Repubkc { - Madagascar)
Austtsas	,
        I «
  mut/nraM*.
Amooctwna  i-Amnmplnil
USA.(HI)_	

USA
-------
                               Spades
           Common name
                                                                                   Hntanc Mn09
                                                                                                            population where
                                                                                                             endangered or
                                                                                                               threatened
                                                                             Sta-
                                                                             tus
                                                                                                                                       bated
                                    Critical
                                    habitat
                    Special
                      rules
Wvtwf (woody, KtvltanBt	

•H A^S^^M J^JfJk^wk eBa>BlBBjBM^^Lai mm^*t
vWVeW |OT*Jov*J*Ji nylWByBiW n^m .1
                                                                       USA (pmopalry Ml). Canada.
                                                                               Bahama Islands.
Warbler (•
           •). Rodrtquas .
       (wood). Semper-s.
Warbler (wHow). SeycheBaa..
Wrepblfd. Western...................

WIMeeye. NwMh Wand..
Whin eye. Saydislsa—

           , Kory-Wtad_
                                   /MMqpaoonapMtM
                                   Zosttfope ttxtguttns .
                                                               tit	
                      Maurflus (Rodnguas Islands)	
                      Westbvftes Si Luna   	
                      Indujn Ocoan. Seychseas Island	
                      Austraha	
                      Western PacificOcean- USA. (Guam).
                      Indian Ocean Norfolk Islands	
                      West Paofc Ocean:  U.S.A. (Carobne
USA.
  islands)
Enbre 	
... do	
                                    jtoaAjncttie fnoolMfls..
                                                                       U.S.A.  (eoutncenBTSl and aouthaastarn).
....do
.... do
....do
	do.
....do...
                                                           ...do...
                                                           ....do...
                                                           	do...
Woodpecker, red-cockadai
Woodpecker. TrManVa.—
Wren, Guadeloupe houaa..
Wren. SI tuda house.
                                   On
                      USA.(southcentralandaoutheastem).
                      Korea	_	
                      West Mas: Guadeloupe	_	
                                                                                                              , .do* ••••»•»••••••••••
                                    «•>
                                            *aHM|ila
                                                                                   u.s>.
                                                                        ....do..
                                                          Wherever found

                                                            those areas
                                                            where bsted as
                                                            threatened as
                                                            •01 fortti botow.
                                                          U.S.A. (FL and
                                                            certam areas of
                                                            GAandSC. as
                                                            set fortti in
                                                            17.42(aMD)
                                                          U.S.A. (FL. LA
                                                            andTXfcfei
Anota.Cu
             Mandglant-
                                    Anoff /uma»er»	
                      China	
                      U.S.A. (PR. Cutobra Mand)....
Boa. Mona.....
(jog, Puerto Rtoo	
Boa. Round Wand (no common
Boa. Hound island (no
BOA. VaTQVI aWVlal BW.
CflhiiMi, AfMpoilv Mw >
                                    QrfMta
                                        !/*»*>
                      U.S.A. (PR)..
                      	.do	
  wherever found
Entoe	
.	do	-	
......do.	
_....do.	
                                    Gfj^M dbssuvnvvf
                                        MB
                                    Cat
                                          \croootHu.
**9
                                                           Hit	
                                                                       ......do.
                                                                       US  andBitnahVimbi
                                         •lands
                                                          .....do.	
                                                             do.
                                                             do.
                                    MMsnosucnus ager
                                    Caman laorostna  .
Chuckwata. San Estaban Wand	

Crocodto! African stender-snouted
                                    Sauromalua vanus	
                                    Ostootaomus Mrupa tetaspn
                      Cotontbifl  .. ...
                      ArnflaTon IMSVI	a*.	
                      Branl. Argentna. Paraguay. Uruguay..
                      Bofctna. Argenbna. Peru. Brail	
                      Menco  	
                      WestAtnca  	
                      Western and central Afnca  	
                                                                                                              .do.
                                                                                                              do.
                                                                                                              .do.
                                                                                                              do
   do
  .do
                                                                                                                             TIS/A)
                                                                                        1.3
       3
       3

       3
     156
      15
       3

      ,3
       3
     1.3

       2
       3
       3
       3
                         1. 11.51.
                          80. 113.
                         134.188
                                                                                                                                      20.47.
                                                                                                                                      51.60.
                                                                                                                                     134. 188
  11.47.
  51.60.
113. 134.

      15
      25
       3
      33
       2
      88
      88
   2.88
      15
      15
      15
       3
      88
      15
       5
    NA

    NA
    NA
    NA
    NA
    NA
    NA
    NA

    NA
    NA
    NA

    NA
    NA
    NA
    NA
                                                                                                                                                    NA
                                                                                                                                                   NA
                                                                                                                                                   NA
    NA
1795(c)
    NA
1»»5
-------
                               Spades
          Common name
                                              Sdanbflc navna
                                                                                  Htolonc fanpja
                                                                          Vertebrate
                                                                       population where
                                                                        endangered or
                                                                          threatened
                                                                                         Sta-
                                                                                         tus
                                                                                                                                    Whan
                                                                                                                                    tated
                                                                                                                                             Critical
                                                                                                                                             habitat
                                                                                                                                                       rutos
Cracodaa. Ceylon mugger..
Crooodsa. Congo dwarf	
Cfocodsa. Cuban.......
Crooodsa. Moretef*...
Crooodsa. nuggar—
                                   Ooco&miaitut....

                                   OtttDdMto/MfciMf
                                   QwjuJjttof ifwmDJfay..
                                   USA.  (FL). Mexico. South  America.
                                     Central America. Caribbean.
                                   Sri Lanka 	
                                   Congo Rlvar dramagi
                                   Cuba	
                                                                                                            ...do...
                                   Ol
GtooodBB. Paw .
Grooodla, OnnooO'..
      rtopafcstapafcnttftj
                                        <*U
                r (-estuerine)..
                                        oyb
       s.Sla
                                   QOCOd^Ut f>OfO9U3.,
                                        oyb
                                                                       PatMian.
Qacko.day..
Gecko. Morato..
Gecko. Round Wand day..
Gecko. Serpent Wa
Iguana. AckHna ground..
Iguana, Atan-s Cay	
Iguana. Andrea Wand ground.
Iguana, Anegada ground..
Iguana. Barrington land..
Iguana, Cayman Brae ground..
Iguana. Cuban ground	
                                   CydurmcycNumin
                                   Cjtckrm cycNum cyehkrm..
Mexico. BekM. Guatemala
India. Pakistan. Iran. Bangladesh
Afnca	
South America: On
PnaDOafta Islands........ .. .......................
Southeast Asia. Austrasa. Papua-New
  Guinea. Pacific Islands.

Southeast Ati
                                                                       Indian Ocean: MauriUus.-
                                                                       U.S.A. (PR)
                                                                       Indian Ocean: Mauritius.
                                                                       .... .do.
                                                                       West moles.
Gonafcpnut paMbf.
Cy&un nutit api
Iguanax Exuma Wan
Iguan*. F1P bandad-
kjueno, Flp aeated—
Iguana. Grand Cayman ground ..
Iguana. Jamaican..
      . Mayaguana..
                                   Cftkfu cfcHun Mbjphaf..i
                                   Brmch^ofhuf AMdafW...
                                   Bnchfto(>hu» Mtanstf .....
kjuanai Mona ground....
Iguana. Turka and Cataoa..
Iguana. Wattng Wand ground
Iguana. Whna Cay ground.
Utard. bhM-nosad leopard	
Usard. Coachata Vaesy Mnga-toad
Waal Indies: BrHWl Virgin
  gadaWand).
Ecuador (Galapagos Wands)
West fcKfioK Cayman Wands
Cuba.
                                                                       Waal Indies. Bahama..
                                                                                                    (Ana-
                                                                                                          _____ do
                                                                                                          Enbra (axdudno,
                                                                                                            Mrouuoadln
                                                                                                            Puerto Rico).
                                                                                                          Entara		
                                   Padfic Ffpt Tonga
                                   Pedflr. Ftp	
                                   Waal Indies' Cayman Wamli.
                                   West Indies Jamaica	
                                      .do...
                                     ....do...
                                     ...do...
                                                                       U.S.A. (PR- Mona Island)	
                                                                       Wast Indes: Turks and Catooa Wanda..
                                   QcOv itfjfl itojft..
Ltaard. rterro g«nl..

Lbard.WandragM..
Uurd. St. Cron ground..
                                   lAna nomaca	
                                          avnom* tmonyf..
                                    ...do	
                                   U.S.A. (CA)	
                                   	do	
                                   Span (Canary Wands).,
                                     ....do...
                                     ...do...
                                     ...do...
                                     .. .do...
                                     ...do...
                                     .. do..
                                   Xtn&am =
                                   Amuvm potofB
                                   USA.(CA)
                                   US A. (VI)
                                   Iran.  Iraq, kidta.  Sri Lanka.
                                     Alghanstan.  Burma,
                                      do...
                                      .do...
                                      . do..
                                      do..
Ksranuf gntaut..
                                                                                           Vietnam.  Thai-
                                                                       North Africa to NaaidssL Caspian Sea
                                                                         through USS.H. to Pakistan. North-
                                                                        . do
                                                                                                                                     10.87

                                                                                                                                        15
                                                                                                                                        IS
                                                                                                                                         3
                                                                                                                                         3
                                                                                                                                        IS
                                                                                                                                         3
                                                                                                                                         3
                                                                                                                                        15
                                                                                                                                        87
                                                                                                     15
                                                                                                  3.15

                                                                                                      3
                                                                                                    125
                                                                                                      3
                                                                                                    129
                                                                                                    129
                                                                                                    129
                                                                                                    129
                                                                                                      3

                                                                                                      3
                                                                                                    129
                                                                                                    129
                                                                                                                                       129
                                                                                                                                        88
                                                                                                                                        88
                                                                                                                                       129
                                                                                                                                       129
                                                                                                                                       129
                                                                                                                                        33
                                                                                                                                       129
                                                                                                                                       129
                                                                                                                                       129
                                                                                                                                         1
                                                                                                                                       105
                                                                                                                                       144
                                                                                                                                       144
                                                                                                                                        26
                                                                                                                                        24
                                                                                                                                        IS
                                                                                                     IS
                                                                                                         17.95(0

                                                                                                             NA
                                                                                                             NA
                                                                                                             NA
                                                                                                             NA
                                                                                                             NA
                                                                                                             NA
                                                                                                             NA
                                                                                                             NA
                                                                                                             NA
                                                                                                                                                 NA
                                                                                                                                                 NA

                                                                                                                                                 NA
                                                                                                                                             I7.95(e)
                                                                                                                                                 NA
                                                                                                                                                 NA
                                                                                                                                                 NA
                                                                                                                                                 NA
                                                                                                                                                 NA
                                                                                                                                                 NA

                                                                                                                                                 NA
                                                                                                                                                 NA
                                                                                                                                                 NA
                                                                                                             NA
                                                                                                             NA
                                                                                                             NA
                                                                                                             NA
                                                                                                             NA
                                                                                                             NA
                                                                                                         17B5(C)
                                                                                                             NA
                                                                                                             NA
                                                                                                             NA
                                                                                                             NA
                                                                                                         1795(0
                                                                                                             NA
                                                                                                             NA
                                                                                                             NA
                                                                                                         1795(C)
                                                                                                             NA
                                                                                                              NA
NA

NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA

NA
NA
NA
NA
NA
NA
NA
NA

NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
                                                                                                                       NA

-------
          Common nam*
                                  SoMfittnc nwiw
                                                                               HMoric range
                                   population where
                                     endangered or
                                      threatened
                                                                                                                         Stfr
                                                                                                                               Critical
                                                                                                                               haMal
                                                                                                                                                  Special
Pytnon, Inonn........
RankNnaka. Aiuba
SkM. Round Mand.
Snake. AUanfc aaH man*.
Snake. Concho <
                     i rtdomoeed...
                        /Vftan mMbrut mofcvut..
                        QoM/a unwofar	
                        OoMbf iHRMf OfcMUM..
                                                                    Indonewa (KonKxfo. Rjfrtle. Pedsr. and
                                                                      western Florm Island)
                                                                    Weal Pakistan through mdta to Bangla-
                                                                                               ...do.	

                                                                                               ...do	
Sri Lanka and rndui	
Aruba Island (Nethartand AnM
USA. (NM). Mexico	
Man Ocean: MaurtHus	
USA. (FL)._	
U SA (TK)		
U.SA (AU Ft, QA. MS. SQ...
U.S A. (CA)	
South America: Orinoco and Amazon
  River bama.
	.do	
                                                                                               ...do...	
                                                                                               .•.do........
                                                                                               ...do.—
                                                                    U.SA (UT. AZ. CA. NVk M
                                                                    Ecuador (Oalapagoi Wands)
                                                                    MalagatyRepuHe(.
Tuatar
                                               CM*
                                                                    Soutti America:  Orinoco and  Amazon
                                                                      Rwerbasns.
                                                                    New Zealand	
Twte. equate bw
TurDe. Mack Kmati
Turtle.
Tuma.Cenni/
Turtle. Cu
TunMga
                        Ttnptr
                                                                                             	do....
 iCta
•Me
aNaWvifW

Soutti AMea["
Turtle, green sea..
                                                                                                         •sled as
    Do..
                                                                                             Breading colony
                                                                                               populations In
                                                                                               FLandon
                                                                                                         of
Turtle, hawksbl aaa (—carey)
Turtle.
Turtle. Indian (otaM	
Turtle. Kemp's l-ABanec) RUey
                                                          Tropical i
                                   Enure..
                                   	do.
                                                          • — _ -. —« t^^f^^^A^
                                                          iropcai ano lemperaie
                                                            BBMI
                                                          Tropical, lemperaie. and aubpotar i
                        i In AOanttc
                                    .. do...
                                    ...do..
   15

   IS

   IS
 129
   43
 129
   30
 241
   32
   1
   3

   3

   IS
   15
   46
 103

   3
   3
   3

   3
   8
   IS
   15
 129
   15
   IS

2.42
                                                                                                                                  2,42
                                                                                                                          IS
                                                                                                                          15
                                                                                                                           4
    NA

    NA
    NA
17.95(c»
    NA
    NA
    NA
    NA
    NA
    NA

    NA

    NA
    NA
    NA
17.»5(c)

    NA
    NA
    NA
                                                                         NA
                                                                         NA
NA

NA

NA
NA
NA
NA
NA
NA
NA
NA
NA

NA

NA
NA
NA
NA
             NA
             NA
             NA
                                                                                                                                            NA
                                                                                                                                        1742
-------
          Common name
                                                                                H»tonc range
                                                                        Vertebral*
                                                                     population when
                                                                      endangered Of
                                                                        threatened
                                                                                                                          Stt-
                                                                    Cnbcal
                                                                    habitat
                                                                                                                                                   Special
Turtle, toggemeadaea.
                                   CmOM eanttf.
                                  Cvcumglobat In bofxcal and temperate
Turtle.)
                                                                     TropKal and temperate aeaa n Pactte
                                                                                                           At.
                                                                     Wherever found
                                                                       except whew
                                                                                                                                              NA
                                                                                                          endangered
    Do..
Turtle, peaooch aoftjhel..
                                                                       ...do..
                                                                     BioodMtQ colony
                                                                       populations on
                                                                       Facrtu coojsl ol
Turtle, ringed I
Tuftts. short-necked or •jstlam 1
Turtto, spotted pond.
Turtle. I
 Frog. Stapnen Wand
          .CNneaa giant
                                  bwta. Bangladesh.
                                  USA (MA).
                                                                     USA (LA, MS).
                                                                     Central Indto to Bangiiidnh "arid ft»mi!
                                                                                                        Entva..
                                                                                                         . ..do	
                                                                                                         ... do	
                                                                      US A. (PR)..
Salamander. San Manxw.
         ». Santa Cms long-toad	
         v.Taou
Toad. Atrtcan uMpstoua.
                                   furyoae nana	...^	
                                   Ambyttomt /naorDdactytMi cnoaum.
                                              nnounf.....
 Toed. Cameroon.
     . Houaton.
 Toad. Mort* Vai
 Toad. Wyoming.
              FISHES
 Ala Beak (from).
 AyunodoUOoach)
 Btndcat Meacan (calftah)
 Bonytounguo. Aa*n
 Caftan Ino common namal
 Cattan. gum	
 Caltah. Yaqul	
 Cavetah. Alabams
 Cavelah. Ozarti	
 Chub. bonyM	
                                  USA.(AL)

                                  U S A. (CA|.
                                  U S>. (TX)
                                  Tanzania.
                                    roon.
                                  Equatorial AMca
                                  USA (TX)
                                  Coata Res ..
                                     .do....
                                    . do...
                                    ...do...
                                    ..do..
                                    ...do...
                                     do...
                                     .do"!
                                     .do-
                                                                        do...
                                   Turkey	 EnUe ...
                                                                       ..do.....
Sderopagea tormofta . .
Pungasus SMntmnngta..
Tliaauid. Indonaaia. Maiayeia.
ThaMid	
Icttluna pncn
USA |AZ). Mexico	
USA |AL>	
USA (AR.MO.OK)	
U SJ> (AZ. CA. CO. NV. UT. WY).
                                                                                                           do.
                                                                                                           do
                                                                                                           do.
                                                                                                           do..
                                                                                                          . do..
                                                                                                          ..do.
                                                                                                           -do.
                                                                                 :;;.
                                                                                                                                      42
                                                                                                                                      42
 IS
 90

250
  3
 IS
 t5

129
                                                                                                                                     28
                                                                                                                                      3
                                                                                                                                     IS
                                                                                                                                      3
                                                                                                                                     15
                                                                                                                                      e
                                                                                                                                     15
                                                                                                                                     19
                                                                                                                                     98
                                                                                                                                      1
                                                                                                                                      1
                                                                                                                                     15

                                                                                                                                     IS
                                                                                                                                      2
                                                                                                                                     15
                                                                                                                                    138
  3
  3
  3
  15
  3
  3
 157
  28
 164
  82
                                                                                                           NA
      1795(d)
          NA
          NA
          NA
          NA
          NA
          NA
          NA
      17.95(d|
          NA
          NA
          NA

          NA
      I7.9S«J>
          NA
    NA
    NA
    NA
    NA
    NA
    NA
1795(8)
t795(e)
    NA
    NA
                                                                              I742JH)
                                                                             and Parts
                                                                              220 and
                                                                                 227
                                                                              1742(b)
                                                                             and Parts
                                                                              220 and
                                                                                 227
                                                                                                                                                        NA
                                                                                  NA
                                                                                  NA
                                                                                  NA
                                                                                  NA

                                                                                  NA
                                                                                                                                                        NA
             NA
             NA
             NA
             NA
         1743IB)
             NA
             NA
             NA

             NA
             NA
             NA
             NA
                                                                                                                                                        NA
                                                                                                                                                        NA
                                                                                                                                                        NA
                                                                                                                                                        NA
                                                                                                                                                        NA
                                                                                                                                                        NA
                                                                                                                                                   1744(g|
                                                                                                                                                        NA
                                                                                                                                                        NA
                                                                                                                                                        NA

-------
          Common nwn*
                                             ScwntMc nwiM
                                                                                HMoricrango
                                                                                                         population whaTO
                                                                                                            tfvealened
                                                      Sto-
                                                                      Crttfcal
                                            SpocM
                                             rules
Chub, CNhuahua.	.-...	,
Chub, humpback	
Chub. Mutton ml	
Chub. Monav* lul	
Chub. Owens kJ	
Chub. Pahranagat raundial.
Chub.rtondar.
Chub. Sonata	
Chub. auuMn...*
Chub.Vaqu1.
                                  Ofe cypfu
                                    * book* up
                                  Gdb faootor f
                                  Afe Ucotor snydan
                                  Gi» rotuttt /arekrf
USA (OR)	
U S.A. (NM). Meiteo (CNhMhM)
USA. (AZ. CO. UT. WY)	
USA. (OH)	
USA. (CA)	
	do	
                                                                                                          .....do...
                                                                                                          	do...
 ...do.....
Mwttom. Smoky
           rah* Springe	
Puptah. Davtt Hole	
Puptah. Leon Springe	
Puptah. Omens	
Puptah. Warm Springs	
Shner. beauWul	
SNnar. Peooe bbntnoee...
                                   Cfcvviodlondtabato.
                                   Qpnrmtontownu*	
USA. (NV)	
USA.(TN.VA) 	
USA.. (AZ). Ueictca  	
U S.A. (AL. GA. NC. TN. VA).
USA. (AZ). Maidco
Turikay	
U.SA. (NV)	
	dn	
	do	
U.SA (OR)..
U.SA.(WY)..
USA.(NV)	
U.S.A. (GA. TN)..
USA (MS)..
U.SA (TX)..
U.SA (AR. OK)..
U.SA (MO)..
U.SA. (MO)	
U.SA.(FL).
U.SA.(AL.TN)..
U.SA (AL. GA. TN)..
USA (AU-
U.SA (TX)..
                                                                                                         ...I..OO..H
                                                                                                         ......oo..«
                                                                                                         	do._
                                                                                                           ..da.
                                                                                                           ..do..
                                                                                                          ...do....
                                                                                                          ....do..
                                                                                                          ...do....
                                                                                                           ..do..
                                                                                                          ....do...
                                                                                                          ...do...
	do....
USA (NM.TX)..
USA (TX)	
USA(NV)	
USA(GA.TN)..
USA (OH)	
USA (TN)	
USA(GA.TN.VA)	
USA. (AZ. NM). Merioo.

USA'CNVI".!!!!!!!"!
                                                                     U.SA.(TX).
                                                                     USA(AZ.CA)MndCO..
                                                                     USA (NV)	;.'.	
                                                                     USA (TX)	
                                                                     USA (CA)	
                                                                     USA (NV)	
                                                                     USA (AZ. NM). MMtoo..
                                                                     U.SA (NM)	
«....oo..»
.....do....
......OO....
                                     ....do....
                                     ...do .
                                      .do..
                                      .do...
                                      .do..
                                      .do
                                      .do...
                                      .do..
   124
   132
     1
   174
     2
   195
     2
    28
   227
    28
   157
     3
     1
 117E.
 127E.
   130
   210
   174
     2
     1
   198
    10
     2
    31
     1
   185
     8
    28
12.150
     2
     1
     1
    93
     2
    98
     1
   198
    10
   183
    28
   247
     3
 117E.
 127E.
   130
     1
   222
     1
   102
     1
     2
   157
   258
                                                                      1795(e)
                                                                          NA
                                                                          NA
                                                                          NA
                                                                          NA
                                                                      17.95(e)
                                                                          NA
                                                                      1795(e)
                                                                      179S(e)
                                                                      179S(e)
                                                                      17.95(0)
                                                                          NA
                                                                          NA
                                                                      17.9S(e)
                                                                      17.95(6)
                                                                          NA
                                                                          NA
                                                                          NA
                                                                      1795(e)
                                                                          NA
                                                                      1795(e)
                                                                      17.95(0)
                                                                          NA
                                                                      1795(«)
                                                                          NA
                                                                      17.95(e)
                                                                          NA
                                                                          NA
                                                                          NA
                                                                          NA
                                                                          NA
                                                                          NA
                                                                      17.95(e)
                                                                          NA
                                                                      17.95(»)
                                                                          NA
                                                                      179SM
                                                                      17.95(e)
                                                                          NA
                                                                          NA
                                                                      17.9S(«)
                                      NA
                                  17.95(e)
                                      NA
                                  17.95(e)
                                      •NA
                                      NA
                                  1795(e)
                                  1795(a)
                                                                                                                                                         NA
                                                                                                                                                     I744(g)
                                                                                                                                                         NA
                                                                                                                                                     1744(|)
                                                                                                                                                         NA
                                                                                                                                                     1744(c|
                                                                                                                                                     1744(0)
                                                                                                                                                     I7.44(C)
                                                                                                                                                         NA
                                           17.44(m)
                                            17.44(0
                                                NA
                                                NA
                                                NA
                                            1744(fa)
                                                NA
                                            17.44(d)
                                                NA
                                            17.44(11)
                                                NA
                                            1744(c)
                                                NA
                                                NA
                                                NA
                                                NA
                                                NA
                                                NA
                                                NA
                                                NA
                                                NA
                                                                                                                                                     1744(e)
                                                                                                                                                     17.44(qJ
                                                                                                                                                         NA
                                                                                    NA
                                                                                    NA
                                                                                    NA
                                                                                    NA
                                                                                    NA-
                                                                                    NA
                                                                                I744(g)
                                                                                1744(1)

-------
          Common Mnw
                                             Scientific name
                                                                                Historic range
                                                                         VarteUale
                                                                      poputabon where
                                                                       endangered or
                                                                         threatened
                                                                                                                          Sla
                                                                     Critical
                                                                     habitat
                                           Special
                                            rules
Sdvernde. Waccemaw.,
Spnedace. Big Spnng	
Spnedace. Whrte Rwer 	
SpnnojtalX Mfco WtMte HMW..
SpnnQtah, ReMetOttd Vflstay	
f aMmiaj^aJt lAM^Aak **——>-
afmngnwi, w/nnv mw	
SflpJsWVflotfl, GolOfMiO	
    Do
HlflMrti «jrf»nM	
AfeatoA4pOhl	
ItiyMutovvMdb /mottc^pwinv
iajMtamBda aAmafta...
Qwnctutiyf Aerisyt gran
Oancftm)* flBveoB*...
USA (NO    	
USA (AZ. NM). Meaco .
USA (NV)	
. ...do	
   do.
  .do.
  .do.
  .do.
  ...do.
 ...do..
 ..do.
                                   U SA (AZ. CA. CO. NM. NV. UT. WY).
                                   	do	
                                   Enure, except
                                     Salt and Verde
                                   . ____ .(Jo
                                                                     U SA (CA)	
                                                                     US A. end Canada (AOanbc Coast)
                                                                     USA(UT).
                                                                     U.SA (CA).
                                                                     U.SA (OR)
                                                                     Japan	
                                                                     ThattandL Cembodw. Vietnam,
                                                                      	do.	
TopmtaKMr. Oas
T(
TrauL Apache
Trout. Gaa
Trout, greenback cultti
Tioul. Lahontan cutthroat
Trout. UMe Kern gohtan
Trout Pawte cutthroat
Wounonn
                                   U.SA (AZ. NM). Mexico....
                                   Menco (GuH ol CaMoma).
                                   USA(AZ)	
                                   U SA (AZ. NM)...
                                   USA (CO)	
                                   U.SA (CA. NV)..
                                   U.SA.(CA)	
                                   	do	
                                   USA(AZ.NV.UT)..
                                   ... do...
                                   	.do...
                                   	do...
                                      do...
                                   	.do...............
                                      do...
SneA CHRenango ovate ambar	
Snaa. flat-apved Wee-loomed	
Snal lorn PtoWocene..
Snat. Menu* Wand tree.
Sfuril noonoiy—...
SnaHOanukee...
SnaN. painted anafce ootad forest	
SnaC Slock Wend	
Snari. Vkgna tanged mountain	
 V^MBddWa^^M fl^Ajk^^BM^H^M^
 fnooopSm pifliyMiVMuVi..
     •4*
Mraodbn dvftr nentafkaAi	
AchftneUu app (al apeaet)..
OHtutcu* nun
U.S A. (NY) _	_	
U SA (WV)	-	
USA. (IA).._	
Paattc Oceere AdnwaBy to. (Menus to.)..
U SA (NC)	
USA. (HI)	
U.S A. (TN)._	-	
USA (FL)	
USA (VA)	,._	
                                     . do.	
                                   Enue. except
                                     GtaR.
                                     dranapAAZ.
                                     NM.
                                   Gaa H. drainage
                                     AZ.NM.

                                   NA
NA.

NA.
MuiMl! Judge Tart's.,
Muwel. MaiahaTs ...
Mussel, penient	
ftMODama tatUonum.,
Pleurotema man
                                                                     USA (AL.MS).
                                                                      NA
                                                                      NA
  .do
  .do
NA
NA
                                                                                                                            XN
                                                                                                                            XN
    265
    236
    173
    203
    206
    224
    206
  1. 193
                             193

                               2
                               1
                             223
                             184
                             205
                               3
                              15

                               1
                             45
                             1.6
                               1
                           1.38
                             2.8
                             37
                             1.8
                          2.193
                                                                                                                                     193
     41
     41
     41
      3
     41
108.112
     41
     41
     41
    262
    262
    262
    262
I795(e)
    NA
1795(8)
1795(8)
!795(e)
1795(8)
179S(e)
    NA
              NA

              NA
              NA
          1795(8)
          1795(8)
          17.9S(e)
              NA
              NA

              NA
              NA
              NA
              NA
              NA
              NA
          17.95(8)
              NA
              NA
                                                                                                                                              NA
    NA
    NA
    NA
    NA
    NA
    NA
    NA
    NA
    NA
    NA
    NA
    NA
    NA
1744IS)
1744(p)
 1744(1)
    NA
    NA
1744(n)
    NA
    NA
         1784(b)

              NA
              NA
              NA
              NA
          17440)
              NA
              NA

              NA
              NA
         17.44[a)
              NA
          1744(1)
         1744|a)
         1744(8)
         1744|e)
              NA
                                                                                                                                                    1764(b)
    NA
    NA
    NA
    NA
    NA
    NA
    NA
    NA
    NA
    NA
    NA
    NA
    NA

-------
                            SpadM
         Common iwna
                                          ScMnMIc nama
                                    Vartabrata
                                  population «nara
                                   •ndangwador
                                    Vnatenad
                                                                                                                  SU
                                                                                                                                 Cnteal
                                                                                                                                 habitat

Paariy mutaal. tocMng 	
Paariy mua»a1.Cumbarlan
-------
EfifTOMM. Non: for
f
. «M M UfeM*v lor •ymbob to "Whin MMd" •••


-------
                                                                                                                      23
 1—U FR 4001: March It. 1967.
 2-35 FT 16047: October 13. 1070.
 9—35 FR 8495. June i 1970.
 4-35 PR 16320: Dcctmber 11970.
 5-97 FR 6476. Much 30.1072.
 6—X FR 14671, June 4.1073.
 7—30 FR 44991: December 30.1974.
 8—40 FR 29864 July 16.1975.
 8—40 FR 31736. July 26.1Q7S.
 10-40 FR 44151. September 25.1075.
 11-40 FR 44418. September 26.1075.
 12-40 FR 47506, October 9.1075.
 15—41 FR 17740: April 26.1976.
 14—41 FR 22044: June 1.1076.
 15—41 FR 24054: June 14.1076.
 16-41 FR 45993: October 19.1076.
 17—41 FR 51021: November 10.1076.
 16—41 FR 51612: November 23.1076.
 19-41 n 53034. December 3.1076.
 20-42 re 2076: Jinuiry 10.1977.
 21-42 re 2966; January 14.1977.
 22-42 FR 15971: March 24.1077.
 23—12 re 26137. (line 2.1077.
 24-42 re 26545. June 3.1077.
 25—42 re 37373. July 21.1077
 26—42 re 40665. Auguit 11.1077.
 27—42 re 42353. Auguit 23.1077.
 26—42 re 4552& September 9.1077.
 29—42 re 56755. November 11.1077.
 30—42 re 60743. November 29.1977.
 31-43 re 3715: January 27.1976
 32—43 re 4028. January 31.1976.
 39—43 re 4621. February 3.1076.
 34—43 re 6233. February 14.1978.
 35—43 re 9612. March 9.1076.
 36—43 re 12601. March V. 1078.
 37—43 re 15420: Apnl 13.1078.
 36—43 re 16345. April 18.1078.
 40-43 re 20504. May 12.1978.
 41—43 re 28932. July 3.1978.
 42-43 re 32808. July 28.1978.
 43—43 re 34479: Auguit 4.1976.
 45—44 re 21289: Apnl 10.1979.
 46-44 re 23064. Apnl 17.1070.
 46  44 FR 29*80: May 21.1979
 50—44 re 37126. (line 25.1079.
 51—44 re 37131 June 25.1070.
 52—44 re 42911. July 20.1979.
 54—44 re 4922ft Auguit 21.1979.
 55—44 re 54007. September 17.1079.
 60—44 re 59084  October 12.1979.
 65—44 re 69208. November 30.1079.
 66—44 re 70877. December 7.1070.
67—44 re 75076. December 18.1079.
66-45 re 18010: March 20. I960.
00—45 re 21633. April 11960.
01-45 re 24090: Apnl 8. I960.
92—43 re 27713. April 23. I960.
93-43 re 28722. April 30.1980.
94—45 re 35621: May 26. I960.
05—45 re 44935. July 2. I960.
96-45 re 44939: July 2,1960.
07—45 re 47352: July 14, I960.
98—45 re 47355. July 14.1990.
 99-45 re 52803: AufUil 8. 1980.
 100-45 re 52807. AufUtt 6. I960.
 102—45 re 54676. Auguit 15. I960.
 103—45 re 55654. Aufuit 20. I960.
 105—45 re 63812: September 25. I960.
 106-45 re 65132: October 1.1960.
 108—46 re 3178: January 13.1961.
 111-46 re 11685. February 10.1961.
 112—46 re 40025. AufUII 6.1961.
 113—46 re 40684. Aufuat 10.1961.
 114-47 re 4204. January 26.1962.
 115—47 re 5429. February 11982.
 117-47 re 19998. May 10.1962.
 119-47 re 31670: July 21.1662,
123-47 re 43701: October 4.1062.
124—47 re 43962: October 5.1062.
125-47 re 46093: October 15.1082.
127-48 re 611 January 5.1963.
126—48 re 1726. January 111069.
129—45 re 26464: June 22.1083.
130—48 re 40184. September 2.1083.
131—46 re 43043. September 21.1983.
132—48 re 46057: October 11.1083.
134—48 re 46336: October 12.1983.
135—46 re 46341: October 12.1063.
196-48 re 49240: October 25.1063.
137-40 re 1056:
196-49 re 1094.
190—49 re 2783;
142-49 re 7395:
anuary 9.1964.
anuary 17.1084.
anuary 29.1084.
'ebniaiy2at9M.
143—49 re 7394: February 20.1964.
144-49 re 7398. February 29.1964.
145-49 re 10526: March 20.1964.
146—19 re 14356: April 11.1964.
149-49 re 22334: May 20.1964.
150-49 TO 27314; July 3.1984.
156-49 re 39685. Augutt V. 1064.
157—49 re 94494. Auguit 91.1064.
159—49 re 34504: Auguit 31.1964.
160—49 re 34510: Auguit 31.1964.
161-49 re 35954. September 19.1984.
169—49 re 49060: October 26.1964.
164—49 re 49089: November 1.1964.
166-49 re 45163: November 15.1064,
166—49 re 49639: December 21.1064.
169—50 re 1056. January 9.1065.
170—SO re 4226. January 30.1985.
171-50 re 4945: February 4.1985.
179—50 re 12902: March 28.1085.
174—50 re 12905: March 26.1965.
181—50 re 20785. May 20.1065.
182-50 re 21702: May 28.1085.
189-50 TO 23864:
164—50 re 2453ft
165—50 re 24653:
166—50 re 25678:
166—50 re 26575:
169-40 TO 27002:
103—50 TO 30194.
 une 6.1065.
 une 11.1085.
 une 12.1965.
 une 20.1985.
 une 27.1085.
 uly 1.1065.
 uly24.1965.
195-50 re 31596. Auguit 5.1965.
196—50 re 31803: Auguit 5.1985.
203-50 re 37198. September 12.1985.
205-40 re 30117. September 27.1965.
206-50 re 30123. September 27.1055.
210—50 re 50308. December 10.1085.
211—50 re 50733. December 11.1065.
212-50 re 51252: December 16.1085.
216—51 re 6690: February 25.1968.
222-51 re 10850: March 91.1986.
223-51 re 10857; March 91.1906.
224-«l re 10864. March 91. I960.
227—51 re 16047. April 30.1906.
226—81 re 16482: May 2.1068.
233—81 re 17980: May 16,1966.
296—81 re 23761: July 1.1986.
239—81 re 2749S: July 91.1960.
241—51 re 31422. September 3.1968.
242—51 re 34412: September 96.1968.
246—51 re 34425. September 26. I960.
247—81 re 99476. October 28.1066.
246—51 re 41705: November 19.1086.
250—51 re 4501ft December 29.1066.
251—62 re 288: January 6.1907.
236-52 FR 5302. February 20.1967.
281—52 re 10802, April 6.1997.
262—62 re 11169: April 7.1087.
269—82 FR 11172: April 7.1967.
265—52 re 11266: April 8.1007.
[46 re 94182. July V. 1063:46 re 34061. Aug.
2.1083. ai amended at 46 re 90943. Sept. 2.
1989.46 re 46337. Ott. 12.1063.46 FR 52749,
Nov 22.1963.49 re 1086. Jan. 9.1964.40 Fl
39602. Aug. 27.1984]
                            Editorial Note: For additional Federal
                          Register citationi affecting the table in
                          117.ii(h). tee the luting which followi the
                          table.
                          117.13  Endanger** and threatened
  (8) The Uit in tail section contain* the
namei of all species of planti which
have been determined by the Service* to
be Endangered or Threatened. It alio
contain! the namei of ipeciei of planti
treated 11 Endangered or Threatened
became they are lufficiently similar in
appearance to Endangered or
Threatened ipeciei (see 117 JO et teq.].
  (b) The columni entitled "Scientific
name" and "Common name" define the
ipeaei of plant within the meaning of
the Act. Although common names are
included, they cannot be relied upon for
identification of any specimen,  since
they may vary greatly in local usage.
The Service! shall use the most recently
accepted scientific name. In cases in
which confusion might ariae. a
synonym(s) will be provided in
parentheses. The Services shall rely to
the extent practicable on the
International Code of Botanical
Nomenclature.
  (c) In the "Status" column the
following symbols are used: "E" for
Endangered. "T"  for Threatened, and "E
[or T] (S/A)" for similarity of
appearance species.
  (d) The other data in the list are
nonregulatory in nature and are
provided for the information of the
reader. In the annual revision and
compilation of this title, the following
information may be amended without
public notice: the spelling of species'
namei. hiitorical range, footnotes.
references to certain other applicable
portions of this title, synonyms, and
more current names. In any of these
revised entries, neither the ipeciei. at
defined in paragraph  (b) of thu section.
nor its itatus may be  changed without
following the procedure! of Part 424 of
this title.
  (e) The "Historic range" indicates the
known general distribution of the
species or subspecies as reported in the
current scientific literature. The present
distribution may be greatly reduced
from this historic range. Thii column
does not imply any limitation on the
application of the prohibitions in the Act
or implementing rules. Such prohibitions
apply to all individuals of the plant
species, wherever found.
  (f)(l) A footnote to  the Federal
Resistor publication(s) lilting or
reclassifying a ipeciei ii indicated
under the column "When lilted."
Footnote numbers to  II 17.11 and 17.12

-------
24
•re in the lime numerical tequence.
since plants and animals may be listed
in the same Federal Register document.
That document, at least since 1973.
includes a statement indicating the basis
for the listing, as well as the effective
date(s) of said listing.
  (2) The "Special rules" and "Critical
habitat" columns provide a cross
reference to other sections in Parts 17.
222.226. or 227. The "Special rules"
column will also be used to cite the
special rules which describe
experimental populations and determine
if they are essential or nonessenhal.
Separate listings will be made for
experimental populations, and the status
column will include the following
symbols: "XE" for an essential
experimental population and "XN" for a
nonessential experimental population.
The term "NA" (not applicable)
appearing in either of these two columns
indicates that there an no special rules
and/or critical habitat for that particular
species. However, all other appropriate
rules in Parts 17.217 through 227. and
402 still apply to that species. la
addition, there may be other rules in this
title that relate to such plants, e.g.. port-
of-entry requirements. It is not intended
that the references in the "Special rules"
column list all the regulations of the two
Services which might apply to the
species or to the regulations of other
Federal agencies or State or local
governments.
  (g) The listing of a particular laxon
includes all lower taxonomic units (see
i 17.ll(g] for examples).
  (h) The "List of Endangered and
Threatened Plants" is provided below:

-------
Rug*!** p**p«v
•AMMNM (ItauM KM
Q*
Ftoridi ookton M*M
Track** iMrtMrn
McOoMhTt nx*-er«t»..
Contra COM wMfloww
Mnaouri btodder^nd .'.	
   to hUdJerpod.	
Standar-pMalMl muturd....
AiwUf madbrMUVM
fiywmm etpMum
           '   '
                                               «•._»_ M -	
                                               rWIOnC r*nQ*
                                                                       Wtwn
                                                                               Critic*!
                                                                                                                                        Sp*cM
                                                                                                                                         futea
                                            US A. (AZ)	


                                            USA(NC.SQ.....


                                            USA (NO-	
                                                                                             USA(FU.
                                                                                             .__.do..



                                                                                             USA (CA)..
                                                                                            USA.(FL)	
                                                                                            U3A(De.OAMD.
                                                                                              NC.SQ.


                                                                                            USA (AZ. UT)	


                                                                                            USA (HI).
                                                                                            	.do	
                                                                                            USA(FL).
                                                                                            USA(TX).
                                                                                            USA (TN)..
                                                                                            USA (NV)..
                                                                                            U.SA (UT)..
                                                                                            USA (NM)
                                            U.SA(CANV).
                                            USA (TX)	
                                            U.SA (HI)	
                                            USA (TN)	
                                            USA (AZ).,
                                             USA (KY)	
                                             USA (NC. TN).
                                             USA (OH)	
                                             U.SA (UT)	
                                         ,_.  U.SA(CA)..
                                             USA (VA)..
USA.(CA)...


USA (CA)...
	do	
USA. (MO)..
U.SA.(TX)...
USA. (CA).
                             147


                              S3


                             220


                             244
                             244
                             244


                            104E.
                             249
                             256
                             217
                             22B


                             219
                             141
                             232
                             152
                              49
                             tat
                             202
                             177
                             181
                             218
                              73
                             191
                             137
                             201
                             175
                             128
                             200


                              76


                              30


                             179
 39
253
260
158
                                                                                            NA
         NA
         NA
         NA


         NA
         NA
         NA
         NA
         NA
         NA
     17.96(a)
         NA
         NA
     17.B6
-------

                 SoMnofic
                                                                  Convnon
                                                                                                   Hnlonc rango
                                                                                                                    Sta-
                                                                                                                                    Cnbcal
                                                                                          Special
                                                                                           rules
aouf Msnsf.
Ancafoemclut tofcmcn* (mfeHnoemetm t.
fpf*fyf fhmpNftvf yff* 0aujau>	..........	
Canut /DOM)	_			
GnntiAanMa mnrne (-C MflMft Campania A. Utmmf-
  4snan).
Carter's mustard	

Vahrs boxwood	

Tobusch taHiooh cactus.
Fragrant pncUy-appte	
Kay baa-cactus 	
Nafta ooiy cactus	
                                                                                                    USA (FL)	


                                                                                                    US A. (PR)	


                                                                                                    USA (TX)	
                                                                                                    U.SA.(FL)	
                                                                                                    USA. (FL). Cuba	,
                                                                                                    USA (TX)	,
                                                   Bunched oory cactus.
                                                          •Mo
EbMm
  i, e. fhotnceia var. 4).
         (-£.<
var. anmmcua (-£. arfmncus).
          (-£
                                                   Snaxl pincusriion cactus—

                                                   MctoTs Turk's head cactus
                                                   FUqUa-sprad hadgatM
                                                   Kuanxto hedgehog cactus..

                                                   Lloyd's hedgehog cactus.....
                                              USA (TX).I
                                               ICoahuta).
                                              USA (AZ). Uanco
                                               (Somra)
                                              USA. (NM)	
                                              U.SX (TX. NM)	

                                              U.S.A. (AZ)	
                                              USA(UT)	
                                              U.SX (NM)	

                                              U.S.A. (TX)	_..
Artoonai hedgehog cactus
Spineless hedgehog
                                  m,
                                                   OawfcV green prtaya	,
                                                   Uord*s Manama cactus..
                             «ar. *.
                                                   Brady
                                                            •htancadu
  p. AtsMMoapi. Toumoyip. Uluhimpl
          alM (-CcAnocacftA a. MaMi a.) ......................
           0huaa (-fietanocaeftM g.. € autptjunn f
KrKMvtlon cactus	
Peebles Navap cactus.
Star pin
        ahto
  var.^l.
                       (•CUbnsflkw m,
Caryophylaoaaa—Pink tamly:
    Pmuiiyclm cnartaoea (»n»acn«ipuWi«fli)...
                                                   Wright •anhook cactus
                                                   Papery
MoupMa rnpAtfMSflWi.
Amanjo
    Hbrfsoms montarw	..
Orasautaeaaa— Stonecrap lamiry:
    O/oftyal
                                                   Mountain golden heather	


                                                   Santa Barbara Island kvetorower.
                                                                                                    USX (CO. UT).

                                                                                                    USA.(TX)	
                                                                                                    USA (TX).
                                                                                                      (CoalMSS).
                                                                                                    USA (AZ)	
                                                                                                    USA.INM.OO).....
                                                                                                    USA.(AZ)	

                                                                                                    USA.(AZ.UT)	
                                                                                                    USA.(CO. UT)	
                                              USA(CO.NM)

                                              USX (UT)
                                              USA.(FL)
                                              USA (H)
                                                                                                    USA.(CA)....


                                                                                                    USA.(NC|...


                                                                                                    USA (CA) .
256


197


 80
208
153
 81

 77

214

 81
 82

 71
 58
 70

 87
 68
 62
 83

 81
 77

 63
 72
 64
 59
 75

 58


256
141


181


107


 39
                                                                                                                                           NA


                                                                                                                                           NA
                                                                                                                                           NA
                                                                                                                                           NA
                                                                                                                                           NA

                                                                                                                                           NA

                                                                                                                                           NA

                                                                                                                                           NA
                                                                                                                                           NA

                                                                                                                                           NA
                                                                                                                                           NA
                                                                                                                                           NA

                                                                                                                                           NA
                                                                                                                                           NA
                                                                                                                                           NA
                                                                                                                                            NA
                                                                                                                                            NA
                                                                                                                                            NA

                                                                                                                                            NA
                                                                                                                                            NA
                                                                                                                                            NA

                                                                                                                                            NA


                                                                                                                                            NA
                                                                                                                                            NA


                                                                                                                                        1/96
-------
                                                               Convnofi
                                                                                               llstoric rangt
                                                                                                               SI*
                                                                                                                              Critical
                                                                                       SpacM
                                                                                        rate*
Tutmmocm
Tumamoc gtoba-bany
U.S A. (AZ). Mexico
  (Sonora).
        olarM
        SantoCnncyprata	 USA. (CA)	
        CMaan Maa larch (-•farca)


                                                    U.SA.(AZ)

        PiMUto (-Ravan'a) mamnlla		 U.SA (CA)	

                                                    USA (PL)	


        Spwa*			 U.SA
-------
                 SctanMc nama
                Common nam
                                                                                                   Httlonc ranQB
                                                                                                                    Sla-
                                                                                          Spectal
                                                                                           rules
 ^canffkuviivMfta cAoMtflt sap tfuflbvHf,.
 f laj^iifarftji t AeyMbflacr^i var. tnffutHtotf->
 S9tnoQfit9 AnpufMoNbf w.
raceae—Laurel laml
 ln»s imtuOHtt



 E
 Hvparocaftf «•*•„
 MsunpsnM*
San Matao ttHMmnint	
Longspurred mnl	
Scrub mnl 	
Lakala's nant	
Nona 	
McKittncfc pennyroyal	
Todson's pannyroyal	
San Dago mesa mnt	
Large-Dowered skufcap..
USA (CA)	
USA (FL)	
„.. do 	
         •OMB*.
Harper's beauty	
         fc»x»V»a»..
                                                   Peter's Mounten i
                                                   Cache's kduo...
                                                   Koki'o (-hau-hato'ula or Hawal I
                                                   San damanta Island I
                                                   MacTartane's tour-o'dodi.

                                                   Pygmy Mnge Iraa.
                                                   San Bantto evening^
                                                   Eureka VaDeyevenvi
                                                   Anbocn unos •wnvio/^MVivoaB..

                                                   Srnal«twitodpo0onJa..
   •WMAMAV**'-
Navasou ladtot'-lrasan..

DMrt bear-poppy	
	do	
USA (HI)	
USA(TX.NM)...
USA (NM)	
USA (CA)	
USA (GA.TN)....
USA (HI)	
                                             U.SA.(AL.AR.FL.
                                               GA. LA. MO. MS.
                                               NC.SC).
USA (MN)	

U.SA (QA. sqil

U.SA (NV)	
                                             US A. (HI).	
                                             U.SA (TX)......
                                             U.SA (HI).—
                                             U.SA (VA)—
                                             U.SA (H).—
                                             	.do.	.	
                                             U.SA (CA)	
U.SA(CT.IL.MA..
  MO. ME. Ml. MO.
  NC. NH. NJ. NV.
  PA. Rl. SC. VA.
  VT). Canada (On!).
USA (TX)	


USA(UT)	
    204
    207
    207
    180
     73
    118
110.112
     44
    234
     73


    240
    221
     57
     39


    181


    243
108. 112
    225
    230
     74
    167
     26
    156


     66


    258


    172
     30
     30


    122
    116


     78
    NA
    NA
    NA
    NA
    NA
1796
-------
Tuctanu muoofMti I ~OcUM m. t
                                                 CvUf** pwtogrua
                                                 Euratatkra
                                                                                                  Htetoric ftViQo
                                                                                                                                   CHOC*
                                                                                                 HondUrMLB
                                                                                                 Salvador.
                                                                                               U-S-A.
 U.SA.(CA|..
 U.SA.(Ht)...
 USA.(CA)..
 U.SX (TX> .
                                                                                               U.SA (NM)
                                                                                               USA
                                                                                               USA (00)
                                                                                               U.SA(FU.
                                                                                                                             2SS
   133
   3*
                           110. 112
                               237
                               151
                                                                                                                                      NA
                                                                                                                                       NA
    NA
1T.98W
    NA
USA (UT)	


USA (M.NY.OH.
  WO.
U.SA.(AL)	
USA (CA|	
            NA


        17.96W
            NA
            (i)
            NA


            NA
                                                                                                                                                NA
NA
NA
NA
NA
             NA
             NA
             NA
                                                                                               U.SA (HQ	


                                                                                               U.SA (AZ)	
                                                                                               U.SA (NV)	
                                                                                               U.OA (NH. VT).
                                                                                               U.SA(FIJ	
                                                                                               U.8A (HQ..
                                                                                               U.SA (PH. VI)..


                                                                                               U.SA (HQ	
                                                 o—— /?^M>^M^A tmtmntt kb^A^Mk	• — ••	*-
                                                 5M1 UMIMnW IWNIWKPMI fMVnDnNn..
U.SAIAUQA.TN).


USA (R, SQ	


USA (CA|	
                                                                                                                             MS
                                                                                                                              28
                               185


                               148
                               181
                             .. 10*
  188


  213


  218


88.88


  190


   28
        17.BBM
        17.8BW
        17.88M
             NA
             NA
             NA
                                                 NA
   NA


   NA
                                                                                                                                               NA

-------
                                               Srt
                                               PifeiKlM bractad bM*c-tMh_....._....
                                               FwtWi iDiMiiGrt	
US A. (CA
U.SX «CA)
USX (ME).
                                                                                                                            NA
                                                                                                                    178


                                                                                                                    102


                                                                                                                    140
                                            NA
                                                                                                                                     NA
EHTOMM. Nan: For •
E-MOMMEllMVMl

-------
     Overview of the Clean Air Act Amendments
 Area Attainment Status and New Requirements
           Title IV Operating Permits and Fees
Title VI Compliance Certifications and Reporting
                             Susan Studlien
X-6

-------
      CLEAN  AIR  ACT AMENDMENTS OF  199O
Mxilt±—MecLija Conference  for  Federal F«





                  Boston.,  Massachusetts
                 November  27 —  28,  199O









                         Susan Studlien, Chief



                 Technical and Program  Support Branch



            Air, Pesticides and Toxics  Management Division



             United States Environmental Protection Agency

-------
STRUCTURE   OR   CLEAN    AIR   ACT   AMENDMENTS




               TITLE    I                NONATTAI  NMENT


               TITLE    II              MOBILE   SOURCES


               TITLE    III           AIR   TOXICS


               TITLE    IV            ACID   RAIN


               TITLE    V              PERMITS
               TITLE    VI            STRATOSPHERIC   OZONE
                                                     PROTECTION
               TITLE    VII          ENFORCEMENT

               TITLE    VIM       MISCELLANEOUS
                                                     PROV  I  SIONS

               TITLE    IX            CLEAN    AIR   RESEARCH

               TITLE    X              Dl  SADVANTAGED
                                                     BUSINESS   CONCERNS

               TITLE    IX            CLEAN    AIR   EMPLOYMENT
                                                     TRANSITION    ASSISTANCE

-------
                           OVERALL   PRINCIPLES
•PROTEOT   THE    PUBLIC    HEALTH   AND
  ENVIRONMENT
 ENSURE    EARLV    REDUCTIONS   AND
  STEADV    PROGRESS    TO   CLEAN    AIR
 MAXIMIZE   COST   -    EFFECTIVENESS   AND
  MARKET   BASED   PRINCIPLES
 ENCOURAGE   CLEAN    FUELS   AND
  INNOVATIVE    TECHNOLOGY

-------
      TITLE  I  -  NONATTAI NMENT
GENERAL  APPROACH
                          ts vary  by ar«
           Techno1ogy £irst
                                con tiro Is
                     pzrov±cl

-------
TITLE  I  -  NONATTAI NMENT
 Des x gnat ± on n
    -Process where states propose;
    EPA approves
    -More authority for EPA than
    current law
   -Boundaries assumed MSA/CMSA for serious, severe,
    extreme
 Sane t i orts


   -Highway funding

   -2:1 offsets

   -State air grants
   -No relief from current FIP
    orders
   -Attainment FIPs required

-------
             OZONE  CLASSIFICATIONS
GLASS
 OUTPOI NT
ATTAINMENT
   DATE
MARQ I NAI-    .121  UP  TO   . 138      3  YEARS
MODERATE    .138  UP  TO   .16O     6  VEARS
SERIOUS
SEVERE!
SEVERE2
 iXTREME
.160  UP  TO  .1SO     9  YEARS
.1QO  UP  TO  .19O
  19O  UP  TO  .2SO
. 28O  AND ABOVE
    15 YEARS
    IT YEARS
    2O YEARS
* Adjustment possible based on 5% rule;

  EPA may grant two 1 year extensions of attainment date

-------
Ozone Areas Violating Standards 1987-1989

-------
                      OZONE DESIGN VALUES *
                            REGION I
                            1987-1989
AREA
NY-NJ-CT CMSA
HARTFORD, CT CMSA
SPRINGFIELD, MA
BOSTON, MA CMSA
PORTSMOUTH -DOVER-
ROCHESTER NH-ME
PROVIDENCE, RI-MA CMSA
KNOX CO, ME
PORTLAND, ME
WORCESTER, MA
LEW IS TON -AUBURN CO, ME
HANCOCK CO, ME
MANCHESTER, NH
WALDO CO, ME
LINCOLN CO, ME
DESIGN
VALUE
.201
.172
.167
.165
.165
.162
.158
.156
.146
.137
.133
.128
.125
.124
AVERAGE
EST
EXCED
17.4
7.9
6.7
10.0
5.3
6.4
11.1
6.1
5.2
1.5
2.8
1.4
1,1
2.4
CLASSIFI-
CATION
SEVERE
SERIOUS
SERIOUS
SERIOUS
SERIOUS
SERIOUS
MODERATE
MODERATE
MODERATE
MARGINAL
MARGINAL
MARGINAL
MARGINAL
MARGINAL
* BASED ON AUGUST 16, 1990 EPA NEWS RELEASE

-------
               Provisions For Ozone MBRGINAL Nonattaiiment Areas


  fiidssion inventories

  Operating permits for major VOC, NOx sources

  100 TPY 'Ynajor" source

  1.1:1 offset ratio
                    Provisions For Ozone MODEBATE Nonattaiiment Areas


- STAGE II vapor recovery controls

- Implement Reasonable Available Control Technology (RACT) on new and existing
  CTOs and major non-CTG VOC and NOx sources (unless opt-out)

- Basic Inspection and Maintenance

- 15% total VOC reduction within the first 6 years

- 100 TPY 'toajor" source

- 1.15:1 offset ratio
         Additional Provisions For Ozone SERIOUS Mnrmi-faiTitnent Areas


  RACT on 50 TPY VOC and NOx sources

  Enhanced Inspection and Maintenance program

  3% reduction averaged over 3 years after the first 6 years

  50 TPY 'toajor" source

  1.2:1 offset ratio

-------
 additional Provisions For Ozone SEVERE Honattainment Areas
Clean fuels program
Transportation Control Mechanisms (TCMs)  and Vehicle Miles
Traveled "RACT" to offset growth
25 TPY "major™ source
1.3:1 offset ratio

 Additional Provisions For Ozone EXTREME Nonattainment Areas
Low HOx fuel or controls on utilites/boilers
No waiver from 15% or 3% VOC reductions
10 TPY "major" source
1.5:1 offset ratio

            Provisions For Ozone TRANSPORT Regions

Mandatory RACT on all existing VOC CTG sources
RACT on all 50 ton non-CTG VOC and NOx sources  (unless opt-out)
Measures equivalent to STAGE II
Enhanced Inspection and Maintenance in all MSAs > 100,000  in
population

-------
        NOX
Major NO  sources  subject  to same NSR and offset
 requirements  as major  VOC sources
NSR and offsets apply in marginal and up and
 transport  regions
RACT applies in moderate and up transport regions
Areas can opt-out if EPA finds NOZ control  not
 beneficial

-------
    Classification of Carbon Monoxide Nonattainment Areas
   Area                     Design              Attainment
Classification              Value                  Date
  Moderate               9.1 to 16.4 ppm     December 31, 1995
  Serious               16.5 ppm and above   December 31, 2000

-------
Areas Violating Carbon Monoxide NAAQS
                 1988-1

-------
                       CO DESIGN VALUES *
                         (1988-1989 DATA)
                            REGION I
AREA
NY-NJ-CT CMSA
HARTFORD CT CMSA
BOSTON MA CMSA
DESIGN
VALUE
13.5
10.2
9.8
AVERAGE
EST EXCED
26
3
2
CLASSIFICATION
MODERATE
MODERATE
MODERATE
* BASED ON AUGUST 16,  1990 EPA NEWS RELEASE

-------
        GZVFLBON  MONOXIDE  
-------
                 PM-1O

 Provisions for PM-10 Nonattainment Areas

Moderate Areas

         -  Attain by  December  31,  1994

         -  Demonstrate attainment

         -  Adopt Reasonable Available Control Measures
           (RACK)

         -  Milestone  demonstration


 Serious  Areas

         -  Attain by  December  31,  2001

         -  Best Available Control  Measures  (BACH)

         -  Major source defined as 70 TPY



 If Failure to Attain

         -  Demonstrate attainment

         -  5% reduction per year



 No Provisions on International Boundaries
        Group  I Areas in Region  I


        - New  Haven, Connecticut

        - Presque  Isle, Maine

-------
Other- Pol Ixatarvts and  M±scel letne-ous Provisions
                               demonstrate attainment in 5 years
SOj, NO ,  Lead
   -All areas
                 Outer  Continental  Shelf  (OCS)  facilities
                    -Authority split between DOI/EPA
                    -Offshore requirements equivalent to onshore

                 Wise Amendment

                 U.S./Mexican border study

                 Small  business  assistance

                 Conformity

                 Studies
                    -Ozone design value
                    - National Academy of Science (HAS) study of
                      NO,/VOC

-------
TITLE  II  —  MOBIZjE:  SOURCES
Auto Tailpipe Standards - Cars and Lighter Trucks

        - Tier I beginning in 1994
        - Tier II in 2004 if EPA study determines
          need, feasibility, and cost effectiveness
Clean Fueled Cars

        - California pilot program for clean fuels
        - Other states may "opt-in" to California's
          program, as long as they do not directly
          or indirectly create a "3rd car"
        - Ho federal authority to assure appropriate
          clean fuels available in "opt-in" cities
          (States would have to pass its own laws)
Reformulated Gasoline

        - Beginning in 1995, gasoline sold in nine
          worst ozone nonattainment cities have 2.0%
          oxygen requirement.  Reformulated gasoline
          must reduce volatile organic compounds
          (VOCs) and toxic emissions by 15%
        - All CO areas (41) must have wintertime
          oxygenated fuels program beginning in
          1992.  EPA can waive start date up to
          2 years

-------
TITLE  ii  —  MOBILE:  SOURCES
Refueling
          EPA, after consulting with the DOT
          concerning safety,  must  promulgate
          regulations one year after enactment  of
          CAAA for onboard refueling controls
          If safety issue resolved,  controls to be
          placed on cars beginning 4 years  after
          standards are promulgated with 3  year phase
          in
Cold Temperature CO
          First round standard beginning in 1994  with
          a 3 year phase in
          Second round cold CO tailpipe standard
          nationwide if CO levels 2. 9.5 in 6 cities
          in June 1996 (not counting
          areas which have stationary source CO
          problems)
Urban Buses
        - Phase in of cleaner urban buses beginning
          in 1993.  In 1994,  all  urban buses
          must meet more stringent standard
        - Diesels allowed if  meet standard

-------
        TITLE  III  - AIR TOXICS
List of Pollutants

         - 189 chemicals and chemical classes and radio-
          nuclides; petitions subject to 18 month review
         - Requires EPA to publish within 1 year, and
          update  at least every 8 years a list of

             1. Major source categories emitting 10
                TPY of any one pollutant or 25 TPY of any
                combination of pollutants
             2. Area sources smaller than major sources
                but concern based on aggregate emissions


Maximum Achievable Control Technology (MACT)

         - MACT  floor - cost and other factors considered
          to set  MACT
         - Control for new sources as stringent as control
          achieved in practice by the best  controlled
          similar source
         - MACT  for existing sources - average of the top
          12% or  top 5 similar sources, excluding
          sources which have achieved Lowest Achievable
          Emission Rate  (LAER), within  30 months of
          promulgation or 18 months prior to proposal;
          contingent on data availability
         - Compliance in  3 years + 1 year extension
         - Periodic review within  8 years
Area Sources
           Generally Available Control Technology (GACT)
           and general permits for area sources
           Urban air toxics study and strategy
           Area source program with 75% incidence of cancer
           reduction goal
           Requires listing of area source categories
           accounting for 90% of the area source emissions
           of 30 pollutants
           Requires monitoring as appropriate
           Reports to Congress
           Urban air toxics research center in Harris
           County, Texas

-------
        TITLE  III  — AIR TOXICS
Schedule for Standards
        - Standards grouped by hazard and administrative
          efficiency
        - Schedule published in 2 years
        - Promulgate emission standards for 40 source
          categories plus coke ovens in 2 years
        - Promulgate MACT for 25% of source category list
          in  4  years
        - Promulgate MACT for an additional 25%  of source
          category list  in 7 years
        - Promulgate MACT for all source categories in
          10  years
Residual Risk
           Evaluate remaining risk after  application  of
           MACT
           Promulgate additional  standards  if  one source
           poses > 10E-06 MIR
           Ample margin of safety:

              1.  1 in 1 million MIR risk trigger
              2.  Additional  standards (if  needed) 8  years
                  after MACT  - 9 years for  early categories
Early Reductions
           6 year extension for MACT compliance (in
           addition to 3 year period)
           The source must achieve a reduction of
           90% / 95% for particulate
           Baseline year: 1987 ("85 or '86 data acceptable
           if EPA has 114 data)
           Early MACT categories deadline: December 31,
           1994
           Limited offset

-------
        TITLE  III   -  AIR TOXICS
Accidental Releases
          General duty  of  owners/operators to handle
          listed substances safely
          EPA to develop regulations to prevent accidental
          releases
          Regulations will include list of chemicals to be
          developed  from the SARA EHS  list (minimum of
          100 chemicals)
          Risk management  plans and hazard assessments
          required by facilities with  listed chemicals
          over threshold quantities
          Chemical Safety  Board - independent board
          appointed  by  President to investigate major
          accidents  (can research and  propose rules)
Studies - Special Provisions

         - Risk assessment
             1.  NAS Study in 30 months
             2.  EPA/PHS study in  6 years
             3.  Risk commission established in  18 months;
                 report in 42 months
             4.  Methods and uses  of  risk assessment  for
                 public health regulations

          Great Lakes (includes coastal waters of
          Chesapeake Bay and Lake  Champlain) - monitoring
          network with biennial report to Congress;
          regulations due in 5 years
          Coke Ovens

             1.  6 year study with DOE
             2.  MACT and LAER levels established
             3.  Extension of health  based  standards  until
                 2020

          Utilities: 3 year study  of  toxics emissions
          (MACT based on study results) and 4 year study
          of mercury [includes Municipal Haste Combuster
          (MWC) emissions]

-------
    TTTT.fl  IV  —  ACID RA.IN
so2
        - 10 million ton reduction cap with extension
          for repowering
        - Uses market-based allowance system for all
          utility plants, with clean oil and coal
          plant receiving growth allowance
        - Allowances available for sale and auction
        - EPA allocates allowances for SOj  emissions
          in 2 phases
        - Allowances may be "banked" (i.e., saved and
          used or sold in future years)

S02  -  Phase  X

        - Listed sources must meet annual limit
        - Plants emitting more than 2.5 Ibs/MMBTU
          required to reduce to 2.5 Ibs/MMBTD x 1985-
          -1987 fuel use
        - Sources using technology to reduce a
          certain percentage of emissions will
          receive an extension

SO,  -  Phase  II

        - All units greater than 75 MWe receive
          allowances and must reduce to 1.2 Ib/MMBTU
    Program
        - Expected to achieve a 2 million ton
          reduction from 1990 levels
        - Wall-fired, T-fired install low NO, burners
          by December 31, 2000
        - EPA must set rates for other types of
          boliers by January 1, 1997
        - Change New Source Performance Standards
          (NSPS) for N0t


Clean Coal Technology (CCT)

        - Exempt temporary CCT projects from PSD,
          NSPS, and nonattainment review (must
          maintain NAAQS)
        - Exempt permanent CCT projects from
          PSD, NSPS, and nonattainment (must maintain
          NAAQS)

 Interpollutant Trading

        - Not  allowed, but will studied.

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             New England Units 1 75 Mwe  (37 Total)*


Connecticut (12)
Bridgeport Harbor 1
Bridgeport Harbor 2
Bridgeport Harbor 3
Devon 7
Middletown 2
Hiddletown 3
Middletown 4
Montvilie 5
Montville 6
New Haven 1
Norwalk 1
Norwalk 2

Maine (2)
Wyman 3
Wyman 4

Massachusetts (19)
Brayton Point 1
Brayton Point 2
Brayton Point 3
Brayton Point 4
Canal 1
Canal 2
Mt. Tom 1
Mystic 4
Mystic 5
Mystic 6
Mystic 7
New Boston 1
New Boston 2
Salem Harbor 1
Saleir. Harbor 2
Salem Harbor 3
Salem Harbor 4
Somerset 6
West Springfield 3

New Hampshire (3)
Memmack 1    (Phase I)
Merrimack 2    (Phase I)
Newington

Rhode Island (1)
South Street 12

* Staff estimates based on design parameters and normal generator
efficiency.  Information gathered in 1989 from 1985 data.

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     New England Units l 75Mwe and >. 1.2 #/ntmbtu (16  Total)*
Maine (1)
Wyman 3

Massachusetts (11)
Brayton Point 1
Brayton Point 2
Brayton Point 3
Brayton Point 4
Canal 1
Canal 2
Mt. Ton 1
Salem Harbor 1
Salem Harbor 2
Salem Harbor 3
Salem Harbor 4

New Hampshire (3)
Merrimack 1    (Phase I)
Merrimack 2    (Phase I)
Newington

Rhode Island (1)
South Street 12
* Staff estimates based on design parameters and normal  generator
efficiency.  Emission rate of > 1.2 Ib/MMBTU based on information
from the National Acid Precipitation Assessment Program (NAPAP).
Information gathered in 1989 from 1985 data and confirmed by 1990
data supplied by the States.

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                     TI_E  V —  PERMITS
- Provides for states or interstate agencies to submit to
  Administrator a comprehensive program under State law or
  interstate compact to apply to:

     1. State Implementation Plan requirements
     2. New Source Performance Standards
     3. PSD and NSR requirements
     4. Emission Standards for Hazardous Air Pollutants
     5. Acid Rain.

- EPA promulgates within 12 months regulations governing the
  program including permit fees, permit applications, emissions
  and compliance monitoring reports and public participation.

- Fixed permit term not to exceed 5 years.

- Provides extensions pending action or renewal of permit.

- Permit fees to cover all "reasonable (direct and indirect)
  costs" of program.  $25/ton of each regulated pollutant (except
  CO) up to 4,000 tons for that pollutant.

- State required to submit approvable program no later than 3
  years after enactment.  EPA approval 1 year later.  If state
  fails to submit approvable program, EFA shall apply sanctions.
  If a state fails to develop a program within 2 years, EPA must
  develop and implement a federal permit program.

- Source has 1 year from date it becomes subject to an operating
  permits program to submit application/compliance plan.

- Compliance with permit means compliance with other applicable
  provisions covered by permit.

- EPA must veto permits that do not comply with applicable
  requirements.

- Provides small business sources technical and compliance
  assistance in satisfying permitting requirements.

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       TITLE  VI   —  STRATOSPHERIC  OZONE
                        PROTECTION
- Based on the Montreal  Protocol  -  an international  treaty
  Program limits production and importation of
  chlorofluorocarbons (CPCs) and halons
  Protocol revised in June 1990  to require complete phase-out  of
  CFCs and halons by 2000
  Mew program will require  interim reductions  in addition  to
  complete phase-out
  New Clean Air Act sets  dates  for  phase-out  of  methyl
  chloroform,  carbon tetrachloride  and  hydrochlorofluorocarbons
  (HCFCs)
  Class I substances are methyl  chloroform,  CFCs,  carbon
  tetrachloride and halons.   Class  II  substances are HCFCs.
  Requires Administrator  to  reduce use  and  emissions  of  Class  I
  substances to "lowest achievable level" and to maximize
  recapture and recycling.


  Within 4 years,  agency  must  set regulations on use  and disposal
  of  Class II substances  and use of Class I substances not
  already covered
  Ban of  non-essential  consumer products  that  release  Class  I
  substances  including  party streamers, photographic cleaner,
  noise horns
 Mandatory warning labels on containers  of  Class  I  and Class  II
 substances as well  as products  containing  Class  I  substances

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   TITLE VII  —  ENFORCEMENT


1.  New or Enhanced Enforcement Authorities

     A. EPA Enforcement Authorities

          - EPA can issue compliance orders with
            compliance  schedules up to 1 year.
          - Authority to assess sanctions for
            noncompliance administratively.  EPA
            can issue penalty orders of up  to
            $200,000, subject to an administrative
            hearing.
          - EPA can issue field citations up to
            $5,000, subject to an informal  hearing.


     B. Citizen Enforcement Authorities

          - Citizens may sue for penalties  that go to
            special penalty fund in U.S. treasury.
          - U.S. may intervene.
          - Citizens who provide information leading
            conviction  or civil penalties can get reward
            up to $10,000.


2.  New or Enhanced Sanctions for Noncompliance

          - Raises crimes from misdemeanor  to felony
          - New sanctions for knowing and negligent
            endangerment

3.  Clarification of Existing Authority

          - Modifications made which clarify many of
            EPA's existing enforcement authorities

4.  Other Enhancements  to Enforcement

          - Amendments  made to provide enforceability of
            every other requirement in the other Titles,
            except Title II which has its own provisions
          - Amplifies EPA's information gathering
            authorities.

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                    Mobile Source Program
     Fleet Vehicle Inspection and Maintenance
                    Stage II Vapor Recovery
                             Peter Hagerty
x-7

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Peter X. Hagerty  is  an environmental engineer with  EPA's Boston
regional office.   Peter is  the coordinator  for motor  vehicle
inspection  and  maintenance  programs  and  other  motor  vehicle
emission reduction  programs.    He oversees the  Region I  Mobile
Source Enforcement Program  which  is  the  only  regional program of
its  type  in  the  country.    He  has  a   BSME  from  Southeastern
Massachusetts University  and  has twenty years of air pollution
control experience with EPA.

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         MOTOR VEHICLE RELATED EMISSION CONTROL PROGRAMS
I.   STAGE II CONTROLS






 A.   MASSACHUSETTS REQUIREMENTS






 B.   FUTURE CLEAN AIR ACT REQUIREMENTS






 C.   CONTROL SYSTEMS











II.  MOTOR VEHICLE INSPECTION AND MAINTENANCE






 A.   CONNECTICUT, MASSACHUSETTS, AND NEW HAMPSHIRE REQUIREMENTS






 B.   FUTURE CLEAN AIR ACT REQUIREMENTS











III. CLEAN FUELS PROGRAM






 A.  STATE REQUIREMENTS






 B.  FLEET REQUIREMENTS UNDER THE CLEAN AIR ACT

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        Massachusetts Stage II Requirements
Applicability
          Statewide

          Existing Fuel Dispensing Facilities With a
          Throughput Equal To or More Than 20,000
          Gallons Per Month

          Facilities Constructed or Substantially
          Modified After November 1,1989
Controls
          95% Efficiency

          CARB or NY/NJ Certified Equipment

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Installation
          New or Modified Facilities-April 1,1991 or
          at the Time of Construction Whichever is
          Later

          Greater Than 1 Million Gallons Per Year by
          April 1,1991

          Between 500,000 and 1 Million Gallons Per
          Year by April 1,1992

          Greater Than 20,000 Gallons Per Month
          and 500,000 Gallons per Year by April 1,
          1993
Recordkeeping	
       •  Failures, Type and Duration

       •  Maintain for Two Years

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            Clean Air Act Amendments
              Stage II Requirements
Applicability
          Moderate, Serious, Severe and Extreme
          areas
                Connecticut, Massachusetts,
                Rhode Island, and Parts of Maine
                and New Hampshire
Controls
          To Be Specified by EPA, Probably
          consistent with CARB Requirements

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Installation
          New and Modified Facilities Which
          Commence Construction After the
          Enactment Date of the CAAA, Six Months
          After Adoption of the CAAA

          Greater Than 100,000 Gallons Per Month
          By One Year After the Adoption of the
          CAAA

          All Other Facilities by Two Years After
          Adoption of the CAAA

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Cost
          Cost Estimates Vary Widely but the Rough
          Average Numbers Below Can Be Used for
          Estimating Purposes

            -   5-6 Nozzles $12,000

            -   9-10 Nozzles $16,000

            -   15 Nozzles $24,000

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             Motor Vehicle Inspection
        and Maintenance Programs Existing
Massachusetts
          Statewide

          Private Garages

          Computerized Analyzers

          Stickers Not Required on Federal Vehicles

          Fifteen Model Years Covered

          Carbon Monoxide and Hydrocarbons
          Tested

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Connecticut
          Statewide
          Centralized Testing (Contractor Operated)
          Stickers Required on Federal Vehicles
          1968 and Newer Vehicles Covered
          Carbon Monoxide and Hydrocarbons
          Tested

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New Hampshire
          Nashua, Amherst, Derry, Hollis, Hudson,
          Litchfield, Londonderry, Merrimack,
          Milford, Pelham, Salem, and Windham
          Private Garages
          Computerized and Manual Analyzers
          Fifteen Model Years Covered
          Carbon Monoxide Only

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             Motor Vehicle Inspection
            and Maintenance Programs
                  Future CAAA
Marginal Areas
      •   Requirements Apply to Areas Which Were
          Previously Required to Implement I/M
          Programs. This Does Not Apply in Region
          One States

Moderate Areas	
      •   Basic Program Required. Revision
          Required Immediately After Adoption of
          CAAA

Serious Areas and Ozone Transport Region	
      •   Enhanced I/M Required in Urbanized
          Areas With Population Over 200,000.
          100,000 in Transport Region.

      •   Revision and Effective Date Required Two
          Years After Adoption of CAAA

      •   NOx Control Required in Addition to CO
          andHC

      •   On-Road Testing Required

      •   Inspection for Tampering and Misfueling

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Requirements
      •   Computerized Analyzers

      •   No Waiver for Warranty Work

      •   Repair Limit $450.00

      •   Registration Denial or Equivalent
          Enforcement

      •   Annual Inspection

      •   Centralized Testing or Equivalent

      •   Inspection of On-Board Diagnostic
          Systems

   Note: Transport Region Consists of All Six New
   England States and New York, New Jersey,
   Maryland, Delaware, Pennsylvania, and
   Washington D.C. CMSA.

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               Clean Fuels Program

Serious Areas	
       •   Revision 42 Months After Adoption

       •   Measures to Ensure Effectiveness of
          Clean-Fuel Program

       •   Economic For Vehicle Owner

       •   State May Substitute Alternative Which
          Gives Equal Reductions

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Federal Fleets
          Special Requirements Apply in Serious,
          Severe, and Extreme Areas to Fleets of 10
          or More Vehicles That Are Capable of
          Being Centrally Fueled

          California Low Emission Vehicles Are
          Required to be Used in 1998 if They Are
          Available in California

          These Vehicles are Required in 2001 in
          any Event

          Heavy Duty Fleet Vehicles Must Meet a
          Combined Nitrogen Oxide and
          Hydrocarbon Standard Which is 50% of the
          1994 Standard

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                                FIGURE  I

         BALANCE OR DISPLACEMENT  TYPE VAPOR RECOVERY SYSTEM


PHASE I SYSTEM                                         PHASE It SYSTEM

                                                          NO-LATCH/MO-FLOW
                                                        VAPOR RECOVERY NOULE

                                                VENT FROM
                                            UNDERGROUND TANK
                        VAPOR RFIURN HUE
                               UNDERGROUND TANK
                                                    GASOLINE
                                                   DELIVERY LINE
«— VAPOR RETURN LINE
   SUBMERGED FILL PIPE

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                                  jlIRE 2
                ASPIRATOR ASSIST VAPOR RECOVERY SYSTEM
PHASE I SYSTEM
PHASE IT SYSTEM
                       MANIFOIDED VENT PIPES
                      FROM UNnrncRouwo IANKS
                        VAPOR RETURN IINE
                                                            OASnilNE PUMP
                                                 SEE
                                                     CASOtlNE
                                                   OEUVERV IINE
                               UNnCMGIIOUND TANK
   tlMUCMOCO FRt PIPf	
               VAPOR RETURN IINE

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                               FIGURE 3

              ASPIRATOR-ASSIST VAPOR RECOVERY SYSTEM

                          TYROL INSTALLATION
MODULATING VALVE
                                                  SAFTTY SYSTEM
                                                  PRESSURE TAP
            2" RETURN  UNE

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PHASE r SYSTEM
                r m 4
VACUUM ASSISTED VAPOR nECnVEHY SYSTEM
                                        PHASE
                                                                 SYSTEM
                   PROCESSING UNII
                                          r~) PRESSURE/VACUUM RE 11C F VAIVE
                                                        VENT FOR UNDERGROUND STORAGE TANK
                                                                              NDZZtE
VAPOR RETURN IINE
 OASOIIHE OEIIVERT iHI
                               UNDCRGROUNO TANK
                                                                    VAPOR RE1URN IINE
                                                                    GASmtIK OEIIVERV IIIK
   SMMEnOfO fill flff	»

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        FIGURE 5
NOZZLE  BODY
                       BOOT
                         CLAMP
                  LATCHING
                   DEVICE
                                   BOOT
                                          FACEPLATE
                                            SPOUT

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            THE COMMONWEALTH OF MASSACHUSETTS
          DEPARTMENT OF ENVIRONMENTAL PROTECTION
               BUREAU OF WASTE PREVENTION
             DIVISION OF AIR QUALITY CONTROL
                    ONE WINTER STREET
                  BOSTON, MASSACHUSETTS
                     AMENDMENTS TO

            REGULATION 310 CMR 7.00 AND 7.24


   TO REDUCE VOLATILE ORGANIC COMPOUND (VOC) EMISSIONS


  THROUGH THE STAGE II GASOLINE VAPOR RECOVERY PROGRAM



                         IN THE
        BERKSHIRE AIR POLLUTION CONTROL DISTRICT
      PIONEER VALLEY AIR POLLUTION CONTROL DISTRICT
     MERRIMACK VALLEY AIR POLLUTION CONTROL DISTRICT
   METROPOLITAN BOSTON AIR POLLUTION CONTROL DISTRICT
  CENTRAL MASSACHUSETTS AIR POLLUTION CONTROL DISTRICT
SOUTHEASTERN MASSACHUSETTS AIR POLLUTION CONTROL DISTRICT
                  REGULATORY AUTHORITY;

           M.G.L. c.  Ill, Section 142A - 142E




                     OCTOBER, 1989

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Amen*. 31C CMR 7.00 by adding the following definitions:

Motor vehicle fuel means any petroleum distillate having t Reirt Vrpor
Pressure of more than four pounds per square*inch as  determined by
ASTM Method D323 and which is used primarily to powe- motor vehicles.
This definition includes, but is not limited to, garoline and mixtures
of simple alcohols and gasoline.

Motor vehicle fuel dispensing facility means any facility where motor
vehicle fuel is dispensed into motor vehicle fuel tanks or portable
containers from a storage tank with a capacity of 250 gallons or more.

Substantial Modification (for the purpose of 310 CMR 7.24(6)) means a
modification of an existing motor vehicle fuel dispensing facility
which involves the addition of one or more new motor vehicle  fuel
storage tanks or the repair, replacement or reconditioning of any
motor vehicle fuel storage tank in existence prior  to September
1,1989.

Vapor collection and control system (for the purpose of 310 CMR
7.24(6)) means any system certified by the Department and which
prevents discharge to the atmosphere of at least 95% by weight of
motor vehicle fuel vapors displaced during the dispensing of  motor
vehicle fuel into motor vehicle fuel tanks.

ADD SECTION 7.24(6}

7.24(6} U Dispensing of Motor Vehicle Fuel

(a)The requirements of 310 CMR 7.24(6) shall apply to:

     1.  any motor vehicle fuel dispensing facility which has been
     constructed or substantially modified on or before November 1,
     1989 and which at any time since January 1, 1988 has had a
     throughput of at least 20,000 gallons in any one calendar month;
     or

     2.  any motor vehicle fuel dispensing facility, regardless of
     throughput, which is constructed or  substantially modified after
     November 1, 1989.

(b) Except as provided in 310 CMR 7.24(6)(a) no person, owner,
operator or employee of a motor vehicle fuel dispensing facility,
shall dispense, or allow the dispensing of, motor vehicle fuel from
any motor vehicle fuel dispensing facility unless the motor vehicle
fuel dispensing facility is equipped with a properly operating vapor
collection and control system.

(c)  Any person who owns, leases, operates  or  controls a motor vehicle
fuel dispensing facility, which  is  subject to  310  CMR  7.24(6), shall,
in accordance with the applicable date provided for in 310 CMR
7.24(6)(d):

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     1.  insta.il ar-.d properly operate a certified vapor collection and
     COTVL.X! system, and make any other modifications  to their'
     facility necessary to comply with the requirements of 310 CKR
     7.24(6);

     2.  notify and inform the Department prior to  installation of the
     vapor collection and control system, on.a form obtained from the
     Department, of the dates of installation and the  specific type of
     vapor collection and control system to be installed.  Such
     notification shall exempt the vapor collection and control system
     from the requirements of 310 CMR 7.02(2)a.

     3.  enwire that, prior to initial operation of the vapor
     collection and control system,  the operators  and employees of
     the motor vehicle fuel dispensing facility have received training
     and instruction in the operation and maintenance of the vapor
     collection and control system;

     4.  maintain the vapor collection and control  system such that it
     recovers at least 95% by weight of motor vehicle fuel vapors
     displaced during the dispensing of motor vehicle fuel;

     5.  conspicuously post operating instructions for dispensing
     motor vehicle fuel using the vapor collection and control system
     in the motor vehicle fuel dispensing area.  These instruction
     must at a minimum include;

       a.  a clear description of how to correctly dispense motor
       vehicle fuel using the system;

       b.  a warning not to attempt continued refueling  after
       automatic shutoff;

       c.  a telephone number to report problems experienced with the
       vapor collection and control system to the  Department; and

     6.  conspicuously post "Out of Order" signs on,  any aboveground
     part of the vapor collection and control system  which  is not
     fully operative, until said vapor collection and control system
     has been repaired;

     7.  take any steps necessary to prohibit the use of any
     aboveground part of the vapor collection and control system which
     is not fully operative and otherwise in compliance with  the
     performance standards of 310 CMR 7.24(6}(c)4.

(d) Any motor vehicle fuel dispensing facility,  which is subject to
the requirements of 310 CMR 7.24(6), shall have a vapor collection and
control system installed, and properly operating,  in  accordance  with
the followi:.g schedule(sj:

     1.  Any motor vehicle fuel dispensing  facility which is
     constructed or  substantially modified after  November 1,  1989
     shall comply with the requirements  of  310 CMR 7.24(6)  at the
     completion of its construction  or  substantial modification, or
     April 1 1991, whichever is later.

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     2.  Any motor vehicle fuel dispensing facility  which has begun
     construction or substantially modification on or before November
     1, 1989 shall comply with the requirements of 310 CMR 7.24(6), in
     accordance with the following schedule:

       a.  by April I, 1991 where the annual  (calenda- year)
       throughput of the motor vehicle fuel dispensing facility is
       greater than or equal to 1,000,000 gallons of motor vehicle
       fuel; or

       b.  by April 1, 1992 where the annual  throughput of the motor
       vehicle fuel dispensing facility is less than 1,000,000 gallons
       but greater than or equal to 500,000 gallons  of motor vehicle'
       fuel; or

       c.  by April 1, 1993 for any other motor vehicle fuel
       dispensing facility subject to 310 CMR 7.24(6).

 (e).  No person shall alter, modify, remove or otherwise render
 inoperative any element or component of the vapor collection and
 control system which would render it incapable of collecting at least
 95% by weight oi motor vehicle fuel vapors displaced during the
 dispensing of motor vehicle fuel.

 (f).  Any person who owns, leases, operates or controls a motor
vehicle fuel dispensing facility, subject to 310 CMR 7.24(6), shall
maintain a continuous record of the type and duration of any failures
of the vapor collection and control system at said  facility.  These
records shall be kept at the facility for two years, and must be made
available for inspection by Department, EPA or local enforcement
personnel.

 (g)  Any person who owns, leases, operates or controls a motor vehicle
fuel dispensing facility, subject to 310 CMR 7.24(6), shall, upon
written notice from the Department and in accordance with methods
approved by the Department and EPA, perform or have performed tests  to
demonstrate compliance with 310 CKR 7.24(6).

 (h)  The provisions and requirements of 310 CMR  7.24(6)  are  subject  to
the enforcement provisions specified in 310 CMR  7.52.

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             Asbestos Demolition/Renovation
                          Contractor LJstlng
                           New Regulations
       Delegated States and State Regulations
                           Damien Houlihan
x-8

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                   BIOGRAPHY  OF  DAMIEN HOULIHAN
Mr. Houlihan is Region I's Asbestos NESHAP Coordinator.  He has
been with the EPA since November 1987.  Before coming to the
Agency Mr. Houlihan worked as a Process Engineer in the
electronics field.  Mr. Houlihan received his Bachelor of Science
degree from the University of Massachusetts in Chemical
Engineering in 1984.

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          UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
                             Region I


NAME:     Damien Houlihan

TITLE:    Asbestos NESHAP Coordinator

PHONE:    (FTS) 835-3258
          (617) 565-3265
REGION I STATES:    CONNECTICUT
                    MASSACHUSETTS
                    MAINE
                    NEW HAMPSHIRE
                    RHODE ISLAND
                    VERMONT
              DELEGATED STATE AGENCIES AND CONTACTS

CONNECTICUT

Brian Kenny
Department of Environmental Protection
165 Capitol Avenue
Hartford, CT  06106
(203) 566-3160

MASSACHUSETTS

     METRO BOSTON AMD NORTHEAST

     John Macauley
     Department of Environmental Protection
     5 Commonwealth Avenue
     Woburn, MA  01801
     (617) 935-2160

     SOUTHEAST

     Dave Madden
     Department of Environmental Protection
     Lakeville Hospital
     Main Street
     Lakeville, MA  02346

     CENTRAL

     Greg Levins
     Department of Environmental Protection
     75 Grove Street
     Worcester, MA  01605

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     WESTERN

     Roberta Ken
     Department of Environmental Protection
     436 Dwight Street
     Springfield, MA  01103
     (413) 784-1100

NEW HAMPSHIRE

John DeFebvre
Air Resources Division
Department of Environmental Services
64 North Main Street, Caller Box 2033
Concord, NH  03302-2033
(603) 271-1370

MAINE

Ed Antz
Department of Environmental Protection
State House, Station 17
Augusta, ME  04333
(207) 583-8740

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I.   REGULATORY HISTORY AN THE ASBESTOS NESHAP STANDARD,
     SPECIFICALLY,  DEMOLITION/RENOVATION SECTIONS.

     EPA's authority to regulate hazardous air pollutants is
     granted under Section 112 of the Clean Air Act (CAA).
     Section 112, entitled the National Emission Standards for
     Hazardous Air Pollutants, allows the Administrator of EPA to
     designated certain substances as hazardous and set emissions
     standards for such substances.

     EPA promulgated rules and regulations April 3,  1973,  which
     applied to the demolition of buildings containing friable
     asbestos materials and  restricted the use of  sprayed-on
     asbestos-containing materials on buildings and structures
     for fireproofing and insulating purposes.

     In May 1974, the regulations were revised to clarify
     definitions and expand on the demolition provisions.

     On October 14, 1975, EPA made major revisions  to the rule.
     The scope was expanded to include renovation operations as
     well as the handling and deposition of asbestos-containing
     waste.  The regulation also prohibited the use of wet
     applied and molded insulation.   The stringency asbestos
     emission controls was also increased.

     Work Practices required for the reduction of asbestos
     emissions from demolition and renovation operations were
     amended on June 19, 1978 and repromulgated on  April 5, 1984.

     On January 10, 1989, EPA proposed revisions to the Standard
     once again.  These revisions were intended to  clarify and
     enhance compliance.

     In November 1990, the proposed revisions were  promulgated
     and became law.

II.   THE CURRENT ASBESTOS NESHAP STANDARD, SPECIFICALLY, THE
     DEMOLITION/RENOVATION SECTIONS.

     A.   NOTIFICATION

          The new rule expands the notification requirements and
          clearly states that EPA must be notified of all
          demolition operations, regardless of the amount
          involved, including zero.  Notification forms and
          instructions are attached to this handout.

     B.   WORK PRACTICES

          The revisions made to the Asbestos NESHAP do not  effect
          the stringency of controls.  Asbestos materials must be
          adequately wet when removed.  The regulation does

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     codify some of EPA's past policy memorandum regarding
     the handling of friable and non-friable materials.
     Training is also required for personnel involved in
     demolition/renovation operations, effective one year
     after promulgation.

C.   WASTE DISPOSAL AND TRACKING

     The new rule requires that owners or operators of
     demolition/renovation operations involving asbestos
     track their asbestos waste.  The owner or operator must
     receive a signed manifest from the landfill within 35
     days after releasing the waste from the site.  If no
     such manifest is received, the owner or operator must
     file an 'exception1 report to the appropriate EPA
     Regional Office.

D.   NEW/MODIFIED KEY DEFINITIONS

     1.   Friable Asbestos-Containing Material - any
          material containing more than 1 percent asbestos
          as determined using the method specified in
          Appendix A, Subpart F, 40 CFR Part 763, Section 1,
          Polarized Light Microscopy  (PLM), that, when dry,
          can be crumbled, pulverized or reduced to powder
          by hand pressure.

     2.   Nonfriable Asbestos-Containing Material - any
          material containing more than 1 percent asbestos
          as determined using the method specified in
          Appendix A, Subpart F, 40 CFR Part 763, Section 1,
          Polarized Light Microscopy  (PLM), that, when dry,
          cannot be crumbled, pulverized or reduced to
          powder by hand pressure.

     3.   Category I Nonfriable Asbestos-Containing Material
          - any asbestos containing packing, gasket,
          resilient floor covering or asphalt roofing
          product which contains more than 1 percent
          asbestos as determined using the method specified
          in Appendix A, Subpart F, 40 CFR Part  763, Section
          1, Polarized Light Microscopy  (PLM).

     4.   Category II Nonfriable Asbestos-Containing
          Material - any material, excluding Category I
          nonfriable ACM, containing  more than  1 percent
          asbestos as determined using the method specified
          in Appendix A, Subpart F, 40 CFR Part  763, Section
          1, Polarized  Light Microscopy  (PLM),  that, when
          dry, cannot be crumbled, pulverized,  or reduced  to
          powder by hand pressure.

     5.   Regulated Asbestos-Containing Material (RACM)  -
           (a)  friable asbestos-containing material,  (b)

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Category I nonfriable ACM that will be or has been
subjected to sanding, grinding, cutting or
abrading (c) Category II nonfriable ACM that has a
high probability of becoming or has become
crumbled, pulverized, or reduced to powder by the
forces expected to act on the material in the
course of demolition or renovation.

Adequately Wet - sufficiently mix or penetrate
with liquid to prevent the release of
particulates.  If visible emissions are observed
coming from asbestos containing material, then
that material has not been adequately wetted.
However, the absence of visible emissions is not
sufficient evidence of being adequately wet.

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             Name: Damien Houlihan
       Title:  Asbestos NESHAP Coordinator
             Phone: (FTS) 835-3258
                 (617) 565-3258
Region I States
           Connecticut
           Massachusetts
           Maine
           New Hampshire
           Rhode Island
           Vermont
Delegated States
           Connecticut
           Massachusetts
           Maine
           New Hampshire

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      Asbestos NESHAP
  40CFRPart61,SubpartM
Demolition/Renovation Sections


 Recent Promulgation - November 1990

 Major Requirements
    -  Notification
    -  Work Practices for Control of
        Asbestos Emissions
    -  Waste Disposal and Tracking

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       Key Definitions
Friable Asbestos-Containing Material
Category I Nonfriable
Asbestos-Containing Material
Category II Nonfriable
Asbestos-Containing Material
Regulated Asbestos-Containing Material
Adequately Wet
Waste Shipment Record (WSR)

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Notes

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Notes

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Community Relations
     Program
         -XI-

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              Community Relations Program
                            Douglas Gutro
XI-l

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BACKGROUND

DOUGLAS S. GUTRO
U.S. EPA
SUPERFUND COMMUNITY RELATIONS COORDINATOR
J.F. KENNEDY BUILDING  RPA 74
BOSTON, MA  02203
(617) 565-3383
BIOGRAPHY

DOUGLAS S. GUTRO HAS BEEN A COMMUNITY RELATIONS COORDINATOR IN
EPA'S SUPERFUND PROGRAM FOR NEARLY 2 YEARS.

FROM JUNE - DECEMBER 1990, DOUGLAS HAS BEEN ACTING AS CHIEF OF
SUPERFUND COMMUNITY RELATIONS IN THE TEMPORARY ABSENCE OF DIANE
READY.

MR. GUTRO HELPED TO ESTABLISH EPA'S NATIONAL FEDERAL FACILITIES
COMMUNITY RELATIONS WORKGROUP, WHICH WAS CREATED FOR THE PURPOSE
OF DEVELOPING A CONSISTENT APPROACH ACROSS THE NATION IN WORKING
WITH FEDERAL FACILITIES ON COMMUNITY RELATIONS ISSUES.

MR. GUTRO IS EPA'S COMMUNITY AND MEDIA RELATIONS CONTACT AT OVER
25 SUPERFUND SITES WITHIN THE SIX NEW ENGLAND STATES.  IN THAT
CAPACITY HE CONSULTS AND COORDINATES WITH EPA'S CIVIL ENGINEERS,
ATTORNEYS, AND PERSONNEL FROM MANY OF THE ENVIRONMENTAL AND
PLANNING DIVISIONS WITHIN THE AGENCY, TO DEVELOP EFFECTIVE
EXTERNAL COMMUNICATION STRATEGIES FOR THE SUPERFUND SITES HE
COVERS.

MR. GUTRO FACILITATES AND COORDINATES EXTERNAL COMMUNICATION AS
AN AGENCY SPOKESPERSON WITH TOWN OFFICIALS, RESIDENTS, REGIONAL
ENVIRONMENTAL GROUPS, LOCAL CIVIC AND COMMUNITY GROUPS, LOCAL,
REGIONAL, NATIONAL AND INTERNATIONAL MEDIA OUTLETS AS WELL AS
FEDERAL AND STATE AGENCIES TO ENSURE THAT AFFECTED AND INTERESTED
MEMBERS OF THE PUBLIC ARE KEPT INFORMED AND GIVEN OPPORTUNITIES
TO PARTICIPATE IN DECISION-MAKING PROCESS THAT WILL ULTIMATELY
LEAD TO THE CLEANUP OF EACH SUPERFUND SITE.

PRIOR TO HOLDING HIS PRESENT POSITION AT EPA, MR. GUTRO WORKED  IN
VARIOUS CAPACITIES CONDUCTING FUNCTIONS OF COMMUNITY RELATIONS
FOR STATE, MUNICIPAL AND NON-PROFIT ORGANIZATIONS AS WELL AS
VARIOUS POLITICAL CAMPAIGNS.

MR. GUTRO HAS A BACHELORS OF SCIENCE IN THE FIELD OF MANAGEMENT
FROM THE UNIVERSITY OF MASSACHUSETTS AT BOSTON.

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                  SUPERFUND COMMUNITY RELATIONS
                       by Douglas S. Gutro
           Acting Chief, Superfund Community Relations
                           EPA Region  I
OUTLINE OF PRESENTATION:

!_._   PURPOSE OF COMMUNITY RELATIONS AT SUPERFUND SITES:

     *    To identify affected and interested members of a
          community
     *    To identify concerns of affected and interested members
          of a community
     *    To provide mechanisms to inform affected and interested
          members of the community of the cleanup activities at
          these sites via press releases, fact sheets, public
          meetings, informal meetings with town officials or
          community groups, designation of agency contacts etc.
     *    To establish mechanisms for the public to be involved
          in the decision-making process at Superfund sites (ie.
          public comment periods, respresentation on Technical
          Review Committees, etc.).


II.   THE HISTORY OF SUPERFUND COMMUNITY RELATIONS;

     The Superfund Community Relations program was conceived in
     the early 1980s prior to Superfund Amemdment Reauthorization
     Act, 1986.  In 1986, under SARA, formal mechanisms and
     requirements for community relations at Superfund sites were
     outlined in the National Contingency Plan (NCP).  In 1990,
     the NCP was revised and additional requirements for
     community relations were added.

     During the past ten years of Superfund, each EPA region has
     dealt with communities who have been intersted, fearful,
     uncertain and angry about potential environmental and health
     affects that may affect the individuals within these
     communities.  Based on those ten years of experience, EPA
     regions have adopted community relations policies and
     practices beyond the legal requirements, that have allowed
     communities to be better informed and involved in the
     cleanup of these sites.  Effective Community Relations has
     proven to ease tensions, relieve anxiety and build credible,
     cooperative relationships with towns and their residents
     throughout the cleanup of Superfund sites.


     *    COMMUNITY RELATIONS VS. PUBLIC RELATIONS
          role of a facility Public Affairs Office

FEDERAL FACILITIES CONFERENCE HANBOOK:

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*    CR REQUIREMENTS UNDER 1990 REVISED NCP,

*    PUBLIC INVOLVEMENT AND TAG FACT SHEET
*    Community Relations;  A HANDBOOK; EPA 1988 Interim
     version;  copies available upon request
*    LIST OF REGIONAL AND  NATIONAL COMMUNITY RELATIONS
     TRAININGS; available  upon request

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COMMUNITY RELATIONS AND ADMINISTRATIVE RECORD

What community relations activities are specified in the 1990
NCP?

   o  In the 1985 NCP, all community relations requirements were
      set forth in section 300.67.  In the 1990 NCP, community
      relations requirements are incorporated into each of the
      sections relating to the different phases of response, i.e.,
      removal actions, remedial investigation and feasibility
      study (RI/FS) and selection of remedy, and remedial design
      and remedial action (RD/RA).  Further, in the 1990 NCP, new
      community relations requirements are added to implement 1986
      CERCLA requirements under sections 113 (administrative
      record)  and 117 (public participation).


i» Removal Actions

What are the administrative record and public participation
requirements for removal actions?

   o  These requirements depend upon the type of removal action
      conducted.  The three categories of removal actions are:

      —  Emergency,  which generally refers to a release or
          threat of release that requires that removal activities
          begin on site within hours of the lead agency's
          determination that a removal action is appropriate.

      —  Time-critical, where based on the site evaluation, the
          lead agency determines that a removal action is
          appropriate and that there is a period of less than six
          months available before removal activities must begin on
          site.

      —  Non-tine-critical. where based on the site evaluation,
          the lead agency determines that a removal action  is
          appropriate and that there is a planning period of more
          than six months before on-site removal activities must
          begin.

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                              -15-
What are the primary public participation requirements that apply
to all types of removal actions?

   o  The lead agency shall designate a spokesperson to provide
      information and to respond to inquiries regarding the
      action.


What are the primary administrative record and public
participation requirements that apply to: (1) emergency and (2)
time-critical removal actions? ("Hew" indicates a requirement not
stated in the 1985 NCP):

   o  (New) The administrative record shall be made available to
      the public no later than 60 days after initiation of on-site
      removal activities.  The notice of availability shall be
      published in a major local newspaper of general
      circulation.  The record shall be available at the office of
      the lead agency or other central location and at or near the
      site.  The record for emergency cleanups lasting less than
      30 days need only be available at the central location.

   o  (New) The lead agency shall, as appropriate, provide a 30-
      day public comment period to begin at the time the
      administrative record is made available to the public and
      respond to comments received.


What are the primary administrative record and public
participation requirements that apply to:  (1) all non-time-
critical actions and (2) time-critical actions where on-site
removal activities are expected to last  longer than 120 calendar
days?

   o  (New) Conduct interviews with state and local officials,
      residents, public interest groups, or  other  interested  or
      affected parties, as appropriate.

   o  Develop a community relations plan specifying the community
      relations activities that the  lead agency  expects to
      undertake.

   o  (New) Establish at least  one  information  repository at or
      near the site to contain  items  made  available for public
      inspection.  The administrative record shall be available in
      at least one of  the  repositories.

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                               -16-
What additional administrative record and public participation
requirements apply to non-time-critical actions?

   o  (New) Publish a notice of availability and brief
      description of the decision document,  i.e.,  the engineering
      evaluation/cost analysis (EE/CA).

   o  (New) At the same time, make the administrative record
      available for public inspection.

   o  (New) Provide a public comment period on the EE/CA and the
      administrative record of not less than 30 days after the
      EE/CA is made available.  Upon timely request, the lead
      agency will extend the comment period by a minimum of 15
      days.

   o  (New) Prepare a written response to significant comments.


2. Remedial Actions

What are the primary administrative record and public
participation requirements for remedial actions?

   o  (New) Conduct interviews with state and local officials,
      residents, public interest groups, or other interested or
      affected parties, as appropriate.

   o  Develop a community relations plan (CRP) specifying the
      community relations activities that the lead agency expects
      to undertake.

          In a revision to the proposed NCP, the 1990 NCP more
          clearly states that the purpose of developing the CRP
          is to provide the public opportunities to participate  in
          decision-making at the site and to learn about the site.

   o  (New) Establish information repositories at a central
      location and at or near the site and inform the public of
      its availability.

   o  (New) Inform the community of the availability of technical
      assistance grants.

   o  (New) Make the administrative record available for public
      inspection when the remedial investigation  (RI) starts
      (generally when the RI/FS workplan is available) and  publish
      a  notice of availability.

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                           -17-
o  (New) Prepare a proposed plan that briefly  describes  the
   remedial alternatives analyzed,  proposes a  preferred
   remedial action alternative,  and summarizes the information
   relied upon to select the preferred alternative.

o  (New) Publish a notice of availability of the proposed plan
   and RI/FS in a newspaper of general circulation.

o  (New) Make the proposed plan and supporting analyses  and
   information available in the administrative record.

o  (New) Provide a comment period of not less  than 30 days for
   submission of written and oral comments (comment period in
   the 1985 NCP is 21 days).

   —  In a change from the proposed NCP, the  1990 NCP states
       that, upon timely request, the comment  period may be
       extended a minimum of 30 days.

o  Provide the opportunity for a public meeting during the
   public comment period.

o  (New) Keep a transcript of the public meeting.

o  Prepare a response to comments, to be a part of the record
   of decision (ROD).

o  (New) Include in the ROD a discussion of any significant
   changes from the proposed plan with respect to scope,
   performance, or cost.

o  (New) Solicit additional public comment on a revised
   proposed plan if the significant changes from the proposed
   plan could not have been reasonably anticipated based  on
   existing information.

o  (New) Publish a notice of availability  of the ROD and  make
   the ROD available for public  inspection and  copying.

o  (New) Prior to remedial design, review  the community
   relations plan and, when appropriate, revise the  community
   relations plan to describe public  involvement opportunities
   during remedial design/remedial action.

o  (New) If, after adoption of  the ROD,  the remedial  action
   differs significantly froic. tne ROD with respect  to scope,
   performance, or cost, publish and make  available an
   explanation of significant differences. If  the  changes
   fundamentally alter the  ROD,  propose an amendment to the
   ROD, issue a public notice,  solicit  public comment,  and

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                               -18-
      comply with other community relations requirements, such as
      public meetings, transcripts, comment response summaries,
      etc.

      (New) Issue a final engineering design fact sheet and
      provide, as appropriate, a public briefing prior to the
      initiation of the remedial action.
How does a significant change to a remedy differ from a
fundamental change?

   o  Significant changes are generally incremental changes to a
      component of a remedy that do not fundamentally alter the
      overall remedial approach selected in the ROD (e.g.,
      compliance with a newly promulgated requirement so that the
      remedy remain protective but that does not change the
      selected technology).  A significant change requires an
      explanation of significant differences.  Fundamental changes
      alter the ROD with respect to scope, performance, or cost in
      such a manner that the proposed action, is no longer
      reflective of the selected remedy in the ROD (e.g., a change
      from an innovative technology to a more conventional one).
      Fundamental changes require ROD amendments.


What changes were made in response to public comments on the
proposed NCP's community relations requirements?

   o  The purpose of developing the community relations plan is
      to provide the public opportunities to participate in
      decision-making at the site and to learn about the site.

   o  Upon timely request, the public comment period will be
      extended a minimum of 30 days for remedial actions.  For
      non-time critical removal actions, the comment period will
      be extended a minimum of 15 days, upon timely request.

   o  Prior to remedial design, the lead agency is required to
      review the CRP to determine if it should be revised.  The
      proposed NCP provided for revision of the CRP in cases where
      community concerns were not already addressed.

   o  Before initiation of remedial action, a fact sheet  on the
      final engineering design will be distributed and an
      opportunity for a public briefing will be provided,  as
      appropriate.

   o  The preamble to the 1990 NCP describes other public

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                              -19-
      participation activities  in addition to the minimum
      requirements that may be  implemented at a site.


What is a technical assistance  grant (TAG)?

   o  SARA section 117(e)  provides that  technical assistance
      grants of up to $50,000 may be made available to community
      groups that may be affected by a release or threatened
      release at a site listed  on the NPL.   The grants must be
      used to obtain assistance in interpreting technical  material
      related to site cleanups.


what changes were made in the 1990 NCP  in response to public
comments about TAGS?

   o  The 1990 NCP requires the community to be  informed of the
      availability of TAGs and  that information  about the TAG
      application process be placed in  the  information  repository
      located at or near the site.
ADMINISTRATIVE RECORD REQUIREMENTS

What is the purpose of the administrative record?

   o  The two primary purposes of the record are to:

      —  Serve as the record for judicial review concerning the
          adequacy of a response action.

      —  Provide interested parties, including potentially
          responsible parties (PRPs), an opportunity to
          participate in selection of the response through review
          of and comment on documents in the record.


What documents typically are included in the administrative
record?

   o  All documents which form the basis for the selection of a
      response action.  Such documents typically include: factual
      information/data; analysis of factual information; policy
      and guidance documents; public participation  documents,
      including public comments; decision documents and responses
      to public comments; and some enforcement documents.

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                               -20-
 Whcre  oust  the administrative record be located and how will the
 public be notified of its availability?

    o   The record must be located at or near the site (in an
       information repository) and at an office of the lead agency
       or another central location.  The record need not be
       available at or near the site, however, for emergency
       removal actions that are concluded within 30 days of
       initiation.

    o   Certain information need not be located at or near the site
       where it would pose a substantial administrative burden,
       e.g., sampling and testing data, guidance documents not
       generated specifically for the site, publicly available
       technical literature.  The index to the record, however,
       shall indicate the availability of such items.

    o   The availability of the record must be announced in a major
       local newspaper of general circulation.


What documents may be added to the administrative record after the
ROD is signed?

    o   Documents relating to remedy selection issues that the ROD
       reserves or does not address, explanations of significant
       differences, and ROD amendments.


How does the administrative record differ from the information
repository?

    o   Information repositories include documents that relate to a
       Superfund site and to the Superfund program in general, such
       as documents on site activities, information about the site
       location, and background program and policy guides.  The
       administrative record is the body of documents that forms
       the basis of the Agency's selection of a particular response
       at a site, such as site-specific data and public comments.
       Documents in the administrative record may overlap with
       those found in the information repository.


STATE  INVOLVEMENT

Which NCP requirements apply to state-lead response  actions?

    o  The NCP applies to federal agencies and states that take
       response actions pursuant to the authorities under CERCLA
       and section 311 of the Clean Water Act.

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                              -21-
How does the 1990 NCP implement the new CERCIA requirement to
provide for substantial and meaningful state involvement in
remedial planning and remedial actions?

   o  The 1990 NCP introduces the Superfund Memorandum of
      Agreement (SMOA)  and the process of EPA/state concurrence in
      remedy selection.  SMOAs are voluntary agreements that  are
      intended to ensure equitable relationships between EPA  and
      states and to reduce misunderstandings by clarifying the
      expectations of both parties.  The SMOA may be used to
      establish the general framework for the EPA/state working
      relationship, to define the roles and responsibilities  of
      the lead and support agencies, and to provide general
      requirements for EPA oversight.

   o  The NCP provides that the state may be the lead agency  for a
      Fund-financed site.  This allows the state to conduct the
      investigation and analysis leading up to selecting the
      remedy.  The state may also conduct the remedial
      design/remedial action phases of the response.

   o  The process of concurrence, which reflects the evolution of
      the EPA/state partnership in recent years, enables a state
      that demonstrates certain capabilities to prepare the
      proposed plan and recommend the remedy for EPA adoption for
      Fund-financed actions.  EPA retains the authority to select
      Fund-financed remedies and sign the record of decision
      (ROD),  with the state's concurrence.

      —  Also under the concept of concurrence, a state will
          select the remedy and may request EPA concurrence for
          state enforcement actions not using the Superfund (i.e.,
          non-Fund-financed actions).

      —  One advantage to concurrence by EPA and a state on a
          remedy is that it results in a unified position when
          EPA and the state negotiate with PRPs.

   o  A state may recommend a remedy for EPA concurrence even
      when no SMOA is established.  EPA anticipates that the
      concurrence process will increase EPA involvement  in state
      enforcement actions and provide for greater state
      involvement in the selection of remedial actions at Fund-
      financed sites.

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                               -22-
What happens if a SMOA is not established?

   o  The 1990 NCP sets forth minimum requirements in the absence
      of a SHOA regarding annual EPA/state consultations, review
      by the support agency of lead agency documents, and
      identification of ARARs.
FEDERAL FACILITIES

Which NCP requirements apply to federal facility response actions?

   o  Requirements of the NCP apply to federal agency response
      actions at NPL and non-NPL sites, except where specifically
      noted that the requirements apply only to Fund-financed
      activities.  The requirement for joint selection of remedy
      by a federal agency and EPA applies only at NPL sites.

   o  Subpart K of the 1990 NCP is specifically reserved for
      federal facilities.  EPA is currently drafting Subpart K,
      which will provide a roadmap of the NCP requirements that
      apply to federal facility response actions.

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&EPA
                         United States
                         Environmental Protection
                         Agency
                         Office of Emergency
                         and Remedial Response
                         Washington DC 20460
                         Fall 1987
                         WH/FS-87-004R
 Public  Involvement  in  the
Superfund   Program
                        To guarantee that local citizens are  involved in decisions
                        about cleanup actions in their communities, the U.S. Environmental
                        Protection Agency (EPA) conducts formal and informal carrainity
                        relations activities under the Superfund program.  These activities
                        help inform citizens in an area where a hazardous waste response
                        action is underway or planned.  But the goal is not just to
                        inform.  Equally important, cotmunity relations activities
                        give citizens a  voice in decisions about actions that  may
                        affect them.
                              The information that citizens provide to EPA about the
                        history of a site is very valuable to EPA in planning  a response
                        action.  Their knowledge about when and how a site was contaminated
                        has helped EPA select the areas in and around the site
                        where sampling and monitoring are  needed.  EPA also nay learn
                        about who is responsible for a problem fron discussions
                        with community members.  EPA also  considers citizen concerns
                        in choosing how  to clean up the site, so that the cleanup
                        actions taken will deal with the problems especially  important
                        to the coimunity.
                              Community relations activities are somewhat different
                        during a short-term "removal" response and a longer-term "remedial"
                        response, which  can be conducted only at sites on EPA's National
                        Priorities List  (NPL).  During a removal action, the On-Scene
                        Coordinator  (the person in charge  at  the site) has  to
                        protect public health and property until the immediate
                        threat is over.   During such times, the primary community
 Congress enacted the
 Comprehensive Environmental
 Response. Compensation, and
 Lawny Act (CERCLAJ. commonly
 known as Superfund. m 1980 This
 law created a tax on the chemical
 and petioteum mdustiies and
 provided a broad Federal authority
 to respond directly to releases or
 threatened releases of hazardous
 substances that may endanger
 public health or welfare or the
 environment Over 5 years. SI 6
 billon were collected and the tax
 went to a Trusi Fund lot cleaning up
 abandoned or uncontrolled
 hazardous waste sites The US
 Environmental Protection Agency
 (EPA) is responsible lot tunning the
 Superiund progiam On October 17.
 B86. the Superfund Amendments
 and Reauthonzaiion Act (SARA) was
 signed into law SARA increases the
 Trust Fund to SB 5 billion over &
 years and strengthens EPA's
 authonry to conduct cleanup and
 enforcement activities
 Under the Superfund program. EPA
 can
 • Pay for the cleanup ol hazardous
 waste sues when those responsAte
 for such sues cannot be found 01
 are unwilling or unable to dean up a
 site
 • Take legal acton to force those
 responsible lor hazardous waste
 sites that threaten public hearth or
 the environment to dean up those
 sites or pay back the Federal
government tor the costs Of
cleanup
The law authorizes two kinds ol
response actions'
• Short-term ramovg/s where
actions may be taken to address
releases or threats of releases
requiring prompt response
• Longer-term remedial responses
that permanently and significantly
reduce the dangers associated wnn
releases or threats of releases o<
hazardous substances that are
serious but not immediately Me
threatening They can be conducted
only at sites on EPA's National
Priorities Ltsi (NPU
Remedial and removal responses
include, but are not limited to
• Destroying detoxifying or
•nmobiluing the hazardous
substances on the site through
mcmeraton or other treatment
technologies
• Containing the substances orvsite
so that they can safely remain there
and present no further threat
• Removing the materials from the
site to an EPA-approved licensed
hazardous waste facility tor
treatment containment, or
destruction
• Identilying and restoring
contaminated ground water, halting
further spread of tne contaminants.
01 in some circumstances providing
an alternate source of drinking
water

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 relations activity is to inform citizens about response
 actions and their effects on the community.  During a
 removal, there is often very little tine to  involve
 citizens in how the site will be cleaned up  because of the
 urgency of the problem.
      airing a removal that lasts longer than 45 days or a
 remedial response, there is more opportunity for citizens
 to learn about EPA activities and comunicate their concerns
 to EPA.

 Ccnrmnity Relations Plans

 EPA learns about oontunity concerns by conducting community
 interviews.  These are informal  discussions  with local residents
 and government officials*  usually at individuals hones or
 offices.   Through these discussions, EPA learns about the
 history of the site and gains a  basic understanding of the
 concerns* of the community, their information needs, and how
 and when citizens would like to  be  involved  in the Superfund
 process.   EPA uses this information to prepare a Community
 Relations Plan for sites where removals last longer than 45
 days-and  for. all remedial responses.  The Plan outlines in
 detail the activities EPA will conduct to make sure that local
 residents can express their opinions and concerns about the
 site, and are kept informed of any  actions at the site throughout
 the cleanup.

 Comminitv Relations Activities

 EPA exchanges information with the  connunity in many ways.
 At  all remedial sites,  and at all removal sites where action
 is  expected to last longer than  45  days, EPA must establish
 at  least  one convenient location where accurate, up-to-date
 documents on the site are  available.  This information repository,
 or  site file as it is also called,  is usually in a public
 building  such as a school, library,  or town  hall.  The file
may include news releases, fact  sheets, and  technical reports
 about EPA1 s activities and the contamination problem at the
 site.
     EPA  identifies a contact person usually on the Superfund
 camiunity relations staff  in the nearest EPA Regional Office,
who can answer questions throughout the Superfund process.
A State staff member will  be the contact when the State manages
 the cleanup.
     While the information file  and contact  person are a part
 of  every  community relations outreach effort, EPA also uses
 a variety of  other activities to ensure that local citizens
 are informed and given a chance  to participate:

     •  Small discussion groups  in which concerned citizens
        can exchange information with government officials,

     •  Large public meetings at which many  community members
        can gather to listen to  presentations about site developments,
        raise issues, express their  concerns, and ask questions,

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     •  News releases issued to the media announce milestones in work
        at the site, such as the beginning of construction,

     •  Fact sheets summarizing current knowledge about the site's
        problems and cleanup options under consideration.

     In some cases, EPA may be limited in the amount of information
that it can make available to the public.  For example, EPA
usually tries to pursue legal action to make those responsible
for the contamination at a site to pay for the cleanup.  As
a result, there may be sane sensitive or confidential
information that, if disclosed to the public, could damage
the government's legal case.
     Before making any major decisions on remedial actions at
a site on the NPL, EPA must give the public an opportunity
to comment.  Community involvement is particularly important
during the public comment period provided — at least 21
days after the Remedial  Investigation/Feasibility Study
(RI/FS} is completed.  The RI describes the type and extent of
contamination at the site. The FS describes the contamination
and the response actions being considered.  A copy of the
draft RI/FS report is placed in the information repository.
Because the report itself is usually quite long and technical,
the Superfund law requires EPA to prepare a Proposed Plan
that describes the preferred alternative and the other
alternatives being considered, in a more easily understandable
form.  During the public coranent period, EPA will provide an
opportunity for a public meeting. EPA encourages Garments
on all the alternatives being considered as well as any
other site activities.
     The feedback that EPA receives fron the public during
the conment period is one of the factors EPA considers in
selecting response actions.  EPA also considers the reliability,
effectiveness, and cost of construction and maintenance of
each alternative.  EPA then must prepare a Responsiveness
Summary describing the significant connunity comments on
the proposed approach and alternatives.

Technical Assistance Grants

The -Superf und amendments allow EPA to make grants available
to groups of individuals affected by a release or threatened
release at NPL sites.  These groups may use these grants to
obtain assistance in interpreting technical information on
the nature of the hazard and recommended alternatives for
investigation and cleanup throughout each stage of the Superfund
process.  Grants are limited to $50,000 per site.  In addition,
the recipient is required to contribute at least 20 percent
of the total cost of the expert advice.  Both these limits
may be waived under certain circumstances.

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Can Citizen Input Really Influence EPA Cleanup Plans?

Public comment and involvement have significantly influenced
EPA's plans for cleanups in a number of instances, and citizens
have provided EPA with valuable information about conditions
at a site.  For example:

     •  At a site in Illinois, local citizens and businesses
        expressed concern that EPA's proposed cleanup alternative
        would limit the use of a nearby lakeshore and harm
        the town's economy.  In response to these concerns,
        EPA developed another cleanup alternative that preserved
        the town's use of the lakeshore.

     •  At a site in Minnesota, local residents expressed
        a strong preference for treatment of local contaminated
        wells over connection to the reservoir of a nearby
        city.  After careful consideration of information
        provided by the residents, EPA proposed a plan to
        treat the local wells to remove contaminants.

     •  Local residents are often an excellent source of information.
        Many have -lived in an area for years and can help
        identify those responsible and help locate illegally
        disposed waste sites in the neighborhood.  Many times
        local residents have called the National Response
        Center (1-800-424-8802), a special number set up to
        report the release of hazardous materials that may
        present a threat to public health or or the environment.

     Although EPA tries to include the community's preference
in selecting a remedy for the site, requirements of the Superfund
law may lead EPA to select another remedy because it is
most effective, considering reliability, permanence, and cost.
     The goal of Superfund community relations activities
is to ensure that citizens are kept as well-informed as possible
about cleanup plans and progress and, at the same time,
have a say in decisions about Superfund actions taken in their
communities.  Public involvement in Superfund contributes
to sound decisions and greater protection of public health
and the environment.

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                  United State                  Offlco of                     Publication No. 9230.1-06/FS
                  Environmental Protection          Solid Watte and
                  Agency                      Emergency Reeponee                      January 1990
  v°/EPA     Superfund  Technical
                  Assistance  Grants
Office of Emergency and Remedial Reepomo
Hazardous SKe Control DMiion (OS420)                                           Quick Reference Fact Shoet
                       WHAT ARE TECHNICAL ASSISTANCE GRANTS

      Background of Proemm - In 1980, the Comprehensive Environmental Response, Compensation and
Liability Act (CERCLA) - otherwise known as •Superfund" - established a trust fund for the cleanup of
hazardous waste sites in the United States.  CERCLA was amended and reauthorized when Congress passed
the Superfund Amendments and Reauthorization An (SARA) of 198& The US. Environmental Protection
Agency (EPA), working in concert with the States, is responsible for administering the Superfund program.

      An important aspect of the Superfund program is citizen involvement at the local level in decision-
making that relates to  site-specific cleanup actions. For this reason, community outreach activities are
underway at each of the 1,200 sites that are presently on, or proposed for listing on, the National Priorities
List (NPL).  The NPL  is EPA's  published list of the most serious abandoned 01 otherwise uncontrolled"
hazardous waste sites nationwide, which have been identified for possible remedial cleanup under Superfund.

      Recognizing the importance of community involvement and the need for citizens living near NPL sites
to be well-informed,  Congress included provisions  in SARA  to establish a Technical Assistance Grant
(TAG) Program intended to foster informed public involvement in decisions relating to site-specific cleanup
strategies under Superfund.

      In addition to regulatory and legal requirements, decisions concerning cleanup initiatives at NPL sites
must take into account  a range of technical considerations.  These might include:

      •     Analytical profiles of conditions at the site;

      •     The nature of the wastes involved; and

      •     The kinds  of technology available for performing the necessary cleanup actions.

The TAG Program provides funds for qualified citizens' groups to hire independent technical advisors to
help them understand and comment on such technical factors in cleanup decisions affecting them.

                           fofistu    s T'fc'*fgffii
•     Grants of up to 550,000 are available to community groups for the purpose of hiring technical
      advisors to help citizens understand and interpret site-related technical information.

•     The group must cover 20 percent of the total costs of the project to be supported by TAG funds.

•     The group must budget the expenditure of grant funds to cover the entire cleanup period (which
      averages six yean).

•     There may be only one TAG award per NPL site; however,  the grant may be renewed
                                                                           Printed on fleeyetod Papa/

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                            USES OF TECHNICAL ASSISTANCE GRANTS

       Citizen groups may use grant funds to hire technical advisors to help them understand information
 that already crisis about  the site or information developed during  the  Superfund cleanup  process.
 Acceptable uses of these grant funds include payments to technical advisors for services such as:

             Reviewing site-related documents, whether produced by EPA or others;
             Meeting with the recipient group to explain technical information;
             Providing assistance to the grant recipient in communicating the group's site-related concerns;
             Disseminating interpretations of technical  information to the community,
             Participating in site visits, when possible, to gain a better understanding of cleanup activities;
             and
       •     Traveling to meetings and hearings  directly related to the situation at the site.

       TAG funds  may not be used to develop new information (for example, additional sampling) or to
 underwrite legal actions in any way, including the  preparation of testimony or the hiring of expert witnesses.

       You can obtain a complete list of eligible and ineligible uses of grant funds by contacting your EPA
 Regional Office or the Headquarters information number listed at the end of this pamphlet.  In addition,
 this information is included in the EPA publication entitled The Citizens' Guidance Manual for the Technical
 Assistance Grant Program (OSWER Directive 9230.1-03),  also available from your Regional EPA Office.
                                         WHO MAY APPLY

       As stated  in the 1986 Superfund amendments, groups eligible to receive grants under the TAG
 program are those whose membership may be affected by a release or threatened release of toxic wastes at
 any facility listed on the  NPL or proposed  for listing, and where preliminary site work has begun.  In
 general, eligible groups are groups of individuals who live near the site and whose health, economic well-
 being, or enjoyment of the environment are directly threatened.  Any group applying for a TAG must be
 nonprofit and incorporated or working towards incorporation under applicable State laws.  Applications are
'encouraged from:

 •     Groups  that have a genuine interest in learning more about the technical aspects  of a  nearby
       hazardous  waste site; and
 •     Groups that have, or intend to establish, an organization to  manage a grant efficiently and effectively.

 For example, such groups  could be:

 •     Existing citizens' associations;
 •     Environmental or health advocacy groups; or
 •     Coalitions of such groups formed to deal with community  concerns about the hazardous waste site
       and its impact on the surrounding area.

 Groups that are  not eligible for grant funds are:

 •     Potentially responsible parties: any individuals or companies (such as facility owners or operators, or
       transporters or generators of hazardous waste) potentially responsible for, or contributing  to, the
       contamination  problems at a Superfund site;
 •     Academic  institutions;
 •     Political subdivisions; and
 •     Groups  established and/or sustained  by governmental   entities  (including  emergency planning
       committees and some  citizen advisory  groups).

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                                 HOW TO APPLY FOR A GRANT

      Remdnmatts - When applying for a TAG, a group must provide information to EPA (or to the State,
if the State is administering the TAG program) to determine if the group meets specific administrative and
management requirements.  The application also must include a description of the group's history, goals,
and plans for using the technical assistance funds. Factors that are particularly important in this evaluation
process include:

•     The group's ability to manage the grant in compliance with EPA grant and procurement regulations;

•     The  degree to which  the group members' health, economic well-being, and enjoyment of the
      environment are adversely affected by a hazardous waste site;

•     The group's commitment and ability to share the information provided by the technical advisor with
      others  in the community;
•     Broad  representation of affected groups and individuals in  the community; and;
•     Whether the applicant  group is nonprofit and incorporated for TAG purposes.  (Only incorporated
      groups may receive grants.  Groups must  either be incorporated  specifically for the purpose of
      addressing site-related problems or incorporated for broader purposes if the group has a substantial
      history of involvement  at the site.)

      In general, a group  must demonstrate that it  is aware of the time commitment, resources, and
dedication needed to successfully manage a TAG.  Applicant groups should consult The Citizens' Guidance
Manual For The  Technical Assistance Grant Program for detailed instructions on  how  to  present such
information.
                 Procedures and Evaluation Criteria — The 1986 Superfund amendments state that only one
TAG may be awarded per site.  To ensure that all eligible groups have equal access to technical assistance
and an equal opportunity to compete for a single available grant (if a coalition of groups proves to be
impossible), EPA has established a formal notification process, which includes the following steps:

•     Groups wishing to  apply for a technical assistance grant must first submit to EPA a short letter
      stating their group's desire to apply and naming the site(s) involved. If site project work is already
      underway or scheduled to begin, EPA will provide formal notice through mailings, meetings, or other
      public notices to other interested parties that a grant for the site soon may be awarded.
•     Other potential applicants  would then  have  30 days to  contact the original applicant to form  a
      coalition.
•     If potential applicants are unable to  form a coalition, they will notify EPA within this time period
      and EPA will accept separate applications from all interested groups for an additional 30-day period.
•     EPA would then award a grant to the application that best meets the requirements described above.
      The nmimnm grant that can be awarded to any group is $50,000.  The actual amount depends on
what the group intends to accomplish. A group's minimum contribution of 20 percent of the total costs
of the technical assistance project can be covered with cash and/or 'in-kind1' contributions, such as office
supplies or services provided by the group.  These services might include,  for example, publication of a
newsletter or the time an accountant donates to managing the group's finances. The value of donated
professional services is determined based on rates charged for similar work  in the area.

      In special cases where an applicant group intends to apply for a single grant covering multiple sites
in close proximity to each other, EPA can allow a waiver of the $50,000 grant limit In such cases, however,
the recipient cannot receive more than $50,000 for each site to which it intends to apply funds (example:
3 sites x $50,000 = maximum grant amount of $150,000).

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                               CHOOSING A TECHNICAL ADVISOR

       When choosing a technical advisor, a group should consider the kind of technical advice the group
 needs most and whether a prospective advisor has the variety of skills necessary to provide all of the advice
 needed.  Each technical advisor must have:

 •     Knowledge of hazardous or toxic waste issues;

 •     Academic training in relevant fields such as those listed above; and

 •     The ability to translate technical information into terms understandable to by persons.

 In addition, a technical advisor should have:

 •     Experience working on hazardous waste or toxic waste problems;

 •     Experience in making technical presentations and working with community groups; and

 •     Good writing skills.

       Technical advisors will need specific knowledge of one or more of these subjects:

 Chemistry: Analysis of the chemical constituents and properties of wastes at the site;

Toxicology: Evaluation of the potential effects of site contaminants upon human health and the environment;

Epidemiology:  Evaluation  of the  pattern  of human  health effects  potentially  associated with  site
contaminants;

Hydrology and Hydrogeology: Evaluation of potential contamination of area surface water and ground-water
wells from wastes at the site;

Soil Science: Evaluation of potential and existing soil contamination;

Limnology. Evaluation of the impact of site runoff upon the plant and animal life of nearby streams, lakes,
and other bodies of water,

Meteorology: Assessment of background atmospheric conditions and the potential spread of contaminants
released into the air by the site; and/or

Engineering: Analysis of the development and  evaluation of remedial alternatives  and the design and
construction of proposed cleanup actions.

       A grant recipient may choose to hire more than one technical advisor to obtain the combination of
skills required at a particular site. For example, a group may be unable to find a single advisor experienced
in both hydrology  and epidemiology, two of  the skills most  needed at its site.  Another approach would
be to hire a consulting firm that has experience in all the needed areas. The Citizens' Guidance Manual for
the Technical Assistance Grata Program identifies other issues that citizens' groups may wish to consider in
hiring a technical advisor.

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                                   ADDITIONAL INFORMATION
       For further information on the application process or any other aspect of the TAG program, please
 contact your EPA Regional Office or call the national information number, both of which are listed below.
 An application package is available free by calling the EPA Regional Office for your State (see map on back
 cover). Each application package includes all the necessary application and certification forms as weD as a
 copy of The Citizen's Guidance Manual For The Technical Assistance Grant Program.  This manual contains
 sample forms with detailed instructions to assist you in preparing a TAG application.

                                      EPA Superftmd Offices
 EPA Headquarters
 Office of Emergency & Remedial
  Response
 401 M Street, SW
 Washington, DC 20460
 (202) 382-2449

 EPA Region 1
 Emergency and Remedial
  Response Division
 John F. Kennedy Building
 Boston, MA 02203
 (617) 573-5701
 Connecticut, Maine, Massachusetts, New Hampshire,
 Rhode Island,  Vermont

 EPA Region 2
 Superfund  Branch
 26 Federal Plaza
 New York, NY  10278
 (212) 264-4534
 New Jersey, New York, Puerto Rico, Virgin Islands

 EPA Region 3
 Superfund Branch
 841 Chestnut Building
 Philadelphia, PA  19106
 (215) 597-3239
 Delaware,  District   of  Columbia,  Maryland,
 Pennsylvania, Virginia, West Virginia

 EPA Region 4
 Emergency and Remedial
  Response Branch
 345 Courtland Street, NE
 Atlanta, GA 30365
 (404) 347-2234
Alabama, Florida, Georgia, Kentucky, Mississippi,
 North Carolina, South  Carolina, Tennessee
EPA Region 5
Emergency and Remedial
  Response Branch
230 S. Dearborn Street
Chicago, IL 60604
(312) 886-1660
Illinois,  Indiana,  Michigan,  Minnesota,
Wisconsin
Ohio,
EPA Region 6
Superfund Program Branch
Allied Bank Tower
1445 Ross Avenue
Dallas, TX  75202-2733
(214) 655-2200
Arkansas, Louisiana, New Mexico, Oklahoma, Texas

EPA Region 7
Superfund Branch
726 Minnesota Avenue
Kansas City, KS 66101
(913) 236-2803
lowo, Kansas, Missouri, Nebraska

EPA Region 8
Waste Management Division
1 Denver Place
999 18th Street
Denver, CO 80202-2413
(303)564-7040
Colorado, Montana, North Dakota, South DakotOf
Utah, Wyoming

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 EPA Region?
 Superfund Programs Branch
 215 Fremont Street
 San Francisco, CA 94105
 (415) 454-744-1766
Arizona,  California,  Guam,
American Samoa
Hawaii,  Nevada,
EPA Region 10
Superfund Branch
1200 6th Avenue
Seattle, WA  98101
(206)442-0603
Idaho, Oregon, Washington, Alaska
Soperftmd/RCRA Hotline
(800) 424-9346 or 382-3000
in the Washington, DC, metropolitan area (for information on programs)

Nation*! Response Center (800) 424-8802
(to report releases of oil and hazardous substances)
                           EPA Superfund Offices
                                                                              DC

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            Community Relations Case Study
                             Dan H. Fenn
XI-2

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                            BIOGRAPHICAL SKETCH
Mr. Dan H. Fenn 1s currently a lecturer with the Executive Programs of the
John F. Kennedy School of Government at Harvard University.

Mr. Fenn retired from Federal service after a long and distinguished
career.  The highlights of his career have Included assignments as the
Director of the John F. Kennedy Library and Museum, Staff Assistant to
President John F. Kennedy, and Vice Chairman of the U.S. Tariff Commission,

Mr. Fenn received both his B.A. and M.A. degrees from Harvard University
and has received five Honorary degrees from universities around the
country.

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                                CASE STUDY
                  RANIER SITE, STONY RIVER,  WASHINGTON1

    In the fall of 1981,  the State Health Department  of Washington detected
the presence of solvents  in  the water system operated by  the City of Stony
River.  Subsequent testing also revealed trichloroethylene  (TCE). cis-1. 2
dichloroethylene (DCE),  and  per- or tetrachloroethylene  (PCE)  in private
residential wells in neighboring Laurel  and Birch Townships, located to the
south of the City's Ranier Wellfield. These substances  are known carcinogens
and have been linked to  other serious health problems.  Many residents of the
Townships grew increasingly  upset with the state's and EPA's management of
response efforts, resulting  in serious problems and confrontations between
some residents and government response personnel.   In October.  1983 a new
On-Scene Coordinator began working at the site.

                                  *****
    As the neu On-Scene Coordinator (OSC)  for the Ranier Site  in Stony  River,
Washington, Don Jenkins knew how Daniel must have felt before  being taken  to
the lion's den.  His predecessor, Oliver Sitwell, had been burned in effigy by
a disgruntled group of citizens from Laurel and Birch Townships  outside the
City of Stony River.  The most active Township residents made  up a small
portion of the 35 to 40 thousand people served by the groundwater aquifer
under the Ranier Wellfield.   Thus far, residents of the City and some of the
other Township residents seemed to trust government officials, but a group of
Township residents mistrusted everyone connected with response efforts.
Jenkins knew that one criterion for successful solution of the contamination
problems at Ranier would have to be the satisfaction of these  Township
residents.  One of his first steps before proceeding with the  response  was to
review the history of community involvement end government response actions at
the site.
    1 This draft case study has been developed from an investigation of
events that occurred at a hazardous substance release site.   The true names
and locations have been disguised for the purpose of this case study.
    This draft case study was prepared for the Superfund Community Relations
Pilot Training Program and is the product of the combined efforts of ICF
Incorporated, EPA's Office of Emergency and Remedial Response, and an EPA
Headquarters/Regional Office Workgroup.  ICF Incorporated performed the work
on this case study under subcontract to GCA/Technology Division pursuant to
Work Assignment No. 110 under Contract Number 66-02-3168.
    Daphne Gemmill, EPA Superfund Community Relations Coordinator, served as
Project Officer.  Dan H. Fenn, Director of the John F. Kennedy Library in
Boston, Massachusetts and lecturer at Harvard University, assisted in the
development of the case and taught it during the Pilot Training Program.  Anne
H. Fenn of EPA's Superfund Community Relations Office researched the case and
provided valuable assistance during the case development and review.  The case

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                                   -2-
                     Discovery Prompted State Testing

        "In August of 1981,  the Health Department vjas  conducting  some
        routine,  random sampling  around the  Stony River  area.  They
        discovered the presence of volatile  organic  compounds  in  the
        water at  a church.   They  retesced the water  and  got  the sane
        result, so they advised the church to switch to  the  City  water
        system.   But the church officials said,  'We  are  on City water.'"

                               — Oscar Lane, Director of Public  Works
                                  City of Stony  River

    Jenkins's review of government response  efforts  indicated  that the  state
investigated quickly when, the con.tacn.inax.ion  was  first  discovered, but  that
efforts to solve  the problem developed slowly.   After  discovering
contamination in  the City's water supply, the State  Health Department  had
taken samples from the municipal  wells east  of the City  and  from  about  100
private wells in  Laurel and Birch Townships, which border the  eastern  edge of
the City of Stony River just south of the City's Ranier  Wellfield.

    Two of the thirty City wells  had high levels of TCE  and other volatile
organic compounds  (VOCs) at that  time, and water from these wells was  pumped
into the Stony River.  City officials had hoped that pumping the water and
contaminants from these two wells "to waste" Jinco the rivet)  would help
prevent further contamination of the wells doungcadient  fron the  two highly
contaminated wells.  Six other wells were shut down because of interconnecting
pipelines, according to a news story.  According to the City's Director of
Public Works, Oscar Lane, the water pumped  to City residents was mixed at the
pumping station so that any contaminated well water was being diluted to safe
levels.

    The location of the contaminated City wells led State and City officials
initially  to suspect  several possible  sources of the  VOCs:  storage facilities
owned by ACME Solvents, a solvent transport and storage company;  a railroad
yard operated by  American Railroads;  and a  landfill on  Dump Road.  These
facilities lay to  the  south of and uphill from the  valley in which the Ranier
Wellfield  was located.  Betveen  these  facilities and  the wellfield, however,
were neighborhoods  of  Laurel and Birch Townships.

     In  November,  the  Laurel Township  Supervisor received a  report from the
state  confirming  the  presence  of contaminants in about  80 residential wells.
The  state  had begun to analyze the  samples  to determine the specific chemicals
and  concentrations in each  sample.
 development  and review assistance  of Kathy Brown,  John Perrecone,  and Jonas
 Dikinis of EPA Region 5 is  gratefully acknowledged.   Brad Brockbank of ICF
 Incorporated researched the case and was  the primary case study author.

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                                   -3-
                     Warning  Letters Create  Confusion

    By January 1982, the state began sending letters to the Township
residents.  The letters provided each recipient with a list of the names and
concentrations of the chemicals found in his or her well.   Some letters
recommended that the recipients find a new water source for drinking.   Others
were told not to drink or cook with the water.   Those with higher levels of
contaminants were advised not to drink, cook with, or bathe in the water.

    By the end of January, a wire service story reported that fifteen Township
residents had been notified not to drink their water and several "others" had
been advised not to drink, cook, or bathe with their water.  Contamination
levels ranged from 1 or 2 ppb of VOCs to 3,900 ppb in the most extreme case.

    Many citizens continued to use their well water despite the letters from
the state, however.  In a later interview, several residents complained that
the letters were confusing.   The letters did not explain why only some
residents received the letters or why residents living near each other
sometimes received different kinds of letters.

    Neal Jones, a resident who suffers from a rare form of acute leukemia,
said, "Most people who got the letters didn't know quite what to do.  Some
letters said you shouldn't drink, bathe, or cook with the water, but later in
the letter it said there wasn't any evidence to predict what the health
effects might be.  The letters said the chemicals could potentially cause
cancer, but the State Health Department said in the newspaper that Less than 1
person in the Stony River area would get cancer in 70 years if people drank 2
liters of water each day.  Most of the people just figured it was a warning
like the ones on cigarette packages.  They figured 'Oh, well, another risk of
getting cancer.'  It wasn't going to stop them from using their water."

    The letters did not describe any specific health symptoms that night
result from exposure to the chemicals.  It was not until the citizens began
investigating the problems themselves in the Spring of 1963 that they
discovered that TCE and DCE have been tied to a whole list of physiological
problems, from rashes and headaches to liver disorders and central nervous
system depression.

                 Local Governments Encounter  Difficulties

    Local government officials reacted quickly to the problem.  The Laurel
Township Supervisor began investigating the costs of hooking up the affected
neighborhood to the City water system and the availability of grant money to
fund such a project.  The City of Stony River meanwhile sent follow-up letters
offering free water at the Ranier pumping station to Township residents
receiving letters from the Health Department.

    According to some Township residents, however, the City water was
initially only available during working hours, which made  it difficult for

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                                   -4-



working families to get water.   Also, some elderly and poorer residents
apparently did not have transportation  to get  to the pumping station and back.

    The City faced difficulties of its  own.  In January 1982, two more wells
had to be shut down because of  contamination,  bringing to ten the total  number
of wells closed.  In addition,  two local  food  production companies,  5CP  Inc.
and Chowtime, had discovered contamination in  their own wells and had decided
to rely primarily on City water.  City  officials feared the increased demands
on the Ranier water system (3,000 to 4,000 gallons per minute, 24 hours  a day,
seven days a week for SCP alone) would  strain  the capacity of the pumping
system.

    "SCP switched to City water against the wishes of the City," Stony River's
Public Works Director Oscar Lane said in a later interview.  "They [SCP] could
treat, it (their own well water] cheaper than they could buy it from the  City,
but it doesn't look like thac will happen." The City Manager said he believed
that SCP had shut down their wells "for public relations."  SCP, he said,
wanted to make sure its customers would not think SCP's products were unsafe
to eat.

                   State and EPA Roles Developed Slowly

    From his predecessor, Jenkins learned that the state Division of
Environmental Protection (DEP)   first sought assistance from EPA in late
December 1961.  The Agency agreed to send a Technical Assistance Team (TAT) to
Stony River to try to determine the sources and extent of the contamination.
While the TAT conducted its investigation, the State Health Department
organized the Stony River Task  Force to coordinate the exchange of information
between the local, state, and national agencies involved in  investigating the
problems.  The Health Department also invited several local businesses,
including the suspected responsible parties, to provide a representative to
the Task Force.

    At a Task Force meeting in  July, the State Health Department reported that
17 of the City wells showed the presence of contaminants.  Health Department
officials warned the City that  pumping water from the two wells  into  the Stony
River might be drawing the contamination into the wellfield  faster.   At that
same meeting, TAT personnel discussed their findings.  The TAT report, which
had just been released, said action should be taken  to clean up underground
storage tanks at ACME Solvents.   In addition, the report  implicated the Dump
Road  landfill and the railroad  yard as probable contamination sources.

    In  response to  the TAT report, the state DEP  pledged  to  seek voluntary
cleanup from ACME Solvents first,  then use  legal  action  if necessary.  At the
same  time,  they requested Superfund immediate removal money  from EPA  to
finance a bottled water program for the Township  residents with  contaminated
wells.  Although EPA  listed the Ranier Site on  the  National  Priorities  List in
July,  the Agency was unable to  agree to  the state's  request.  "At that  time,"
Sitwell explained  later, "the  immediate  removal office was using  a  one-day

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                                   -5-
acute SNARL [Significant No Adverse Reaccion Level]  as the action level.2
Under the one-day SNARL, the TCE concentration had to exceed 2.3 parts per
million; at Stony River, they had only found [contamination levels of] parts
per billion at that point."

    By October 1982, DEP received money from ACME Solvents to finance a
limited bottled water program for about <*0 homes in Laurel and Birch
Townships.  The money lasted for about eight months, after which ACME Solvents
refused to provide further funding.  American Railroads and the Dump Road
Landfill owner denied responsibility for the contamination and refused to
provide any funds to keep the program going.

    In early 1983, Washington was just beginning to recover from the worst
economic recession in the state's recent memory.  Employment and revenue in
the timber industry -- traditionally the economic mainstay of the state -- had
plummeted.  (Ironically, SCP in Stony River had posted the largest profits in
the state in 1982.)  State programs had been severely curtailed in the wake of
the recession, and the newly elected governor was under heavy political
pressure from the citizens for recanting on his campaign promise not to raise
taxes.

    Under these conditions, the state claimed it had limited resources to
devote to the Ranier site.  In April 1983, the state DEP asked EPA to take
over as the lead agency for response actions.  DEP chose to retain
responsibility for enforcement, however.

    The Regional EPA office had begun developing the Remedial Action Master
Plan CRAMP) for the site in January 1983, which tabulated the available site
data and proposed broad alternative approaches for remedying the problem.  The
RAMP was completed in March and a copy was forwarded to the Centers for
Disease Control (CDC) in Atlanta for review.  A local newspaper article
claimed in June, however, that the RAMP had "only recently become publicly
available."

                Citizens Organized with Outside Assistance

    Although the contamination problem was discovered at the end of 1981, the
Township residents did not become organized effectively until April 1983, when
a member of the California-based Coalition for Clean Water arrived in the
Stony River area.  This organization selects sites around the country where it
believes citizens may need assistance in obtaining information about hazardous
waste problems and in participating more actively in efforts to solve those
problems.  The Coalition member, Harold Rogers, first  learned of the site from
    2  SNARLs are recommended' health criteria established by EPA's Office of
Drinking Water for exposure to chemicals over varying time periods.  The
"action level" is the level of contamination above which action  is warranted.

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                                   -6-
EPA summary documents when Ranier was  placed on the National  Priorities List
in July 1982.   He Chen began to gather information about the  sice from EPA and
state files, and was surprised to learn from the files  that there was
apparently little or no interest among the citizens.  From his review of the
site information, Ranier was one of the worst contamination problems in the
country, in terms of the number of people being exposed to the chemicals.   He
was therefore skeotical when EPA's Si ewe 11 confirmed over the phone in January
1963 that there was no expression of citizen concern.

    "I figured one of three things had happened," Rogers said in a later
interview.  "Either I has being lied to, or the citizens weren't being cold
the whole story, or they really weren't concerned.  Although  I've been at
sites before where the people were told what was going on, but trusted the
government to solve the problem, I doubted that this was the  situation at the
Ranier site."  After all. Rogers reasoned, 40,000 people had  been exposed to
known cancer-causing chemicals for over a year, but it appeared that almost
nothing had been done to solve the problem.

    "About 35 houses were receiving bottled water and some test wells were
being drilled," Rogers said.  "When I asked Sitwell who was  paying for the
bottled water, he said he couldn't tell me.  The thing was,  I already knew; it
was in the  [EPA] files.  He was being combative and it was like he felt he
shouldn't divulge information to citizens."  After speaking with Sitwell,
Rogers suspected that the citizens in Stony River and in Laurel and Birch
Townships were not getting the full story.  He decided to spend some time in
the area to find out.

    When Rogers arrived in Stony River in April 1983, the Stony River Gazette
printed an article about Rogers and why he had come to the area.  According to
Rogers, the article made him appear to be a "hard-core radical," a label he
shuns.  Because of the sensational news coverage, however, he said he was not
surprised chat the Township residents were initially suspicious of his motives
and were somewhat hesitant to speak with him.  Rogers later stated that some
of the residents probably overcame their suspicions because they were happy to
be able to  talk with someone who expressed a sincere interest in their
concerns about the contamination problems.

    When Rogers began knocking on people's doors  and asking questions, he
found disturbing similarities between the health problems reported by some
residents and the kinds of problems some independent coxicologists had said he
might encounter given the chemicals and concentrations  reported to be in the
water.  "For example, a majority of the people  in the area had received
treatment for depression," Rogers said  later.   "That's  strange because,
typically,  people in  lower*income areas such as this don't go to doctors  for
mental symptoms."  Township residents began meeting with Rogers, who pressed
them to decide what  they wanted done.

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                                   •7-
                      Water Issues Create Controversy

    In May 1963, £P& tried to get the Remedial Investigation started so that
possible alternative remedies could be identified and evaluated by the
Feasibility Study,1  Sitwell said later,  however, that "EPA's view at that
time was that the problems at Stony River were relatively insignificant
because the state had already identified  two other sites as more important."

    Many Township residents disagreed.  Paul Benson,  who suffers from a
debilitating liver disorder that prevents him from working, had spent most of
his time investigating the technical aspects of the contamination problems and
sharing the information with the other interested residents.  After several
neighborhood meetings, the residents decided on four immediate objectives:
expansion of the bottled water program to all Township residents,
representation on the Stony River Task Force, provision of mobile trailers
containing clean shower facilities close  to the residents' hones, and the
initiation of a health study.

    EPA was able to take over and expand  the state's bottled water program
once funds from ACME Solvents dried up in Hay because a policy change altered
the Health Advisory (formerly SNARL) action level.  EPA agreed to maintain the
bottled water program until the residents' homes were hooked up to a pipeline
linked to the City's water system.  (The  Laurel Township Supervisor had begun
investigating the availability of state and federal grant money for such a
project immediately after being notified of the contamination problems in late
1981.  In November 1982, the State Commerce Department approved a grant to
design the pipeline.)  EPA had announced that construction of the pipeline
would be completed by October.

    Mark Nelson, the resident with a veil containing 3,900 ppb of DCE and with
a daughter who had been in and out of the hospital repeatedly, was allowed
finally to join the Task Force.  According to Nelson, however, no Task Force
meeting was held since that decision.

    As for showers, EPA did not feel  the risk posed by the chemicals justified
their use.  The review of the RAHP data performed by the Centers for Disease
Control supported  that decision.  The citizens were upset and asked Sitwell
how they were supposed to bathe.  Nelson's perception of  Sitwell's response
was that people should "heat the  [bottled) water and pour it over their heads.1

    The active Township residents claimed later  that they had tried to get
state officials to provide showers and do a health study  but that each
     1  The Remedial Investigation  is conducted to provide detailed
 information  about problems  at  the  site  that  is used  in developing alternative
 remedial options for cleaning  up the site.   These remedial options  are then
 evaluated for efficacy and  cost-effectiveness in the Feasibility Study.

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                                   -8-
official they spoke with said they did not  have  the authority.   After
receiving no action, 30 Township residents  and Rogers  travelled to the
Governor's office,   khen they were told the Governor was "out of town," they
sat in at the Governor's office and were ejected by the police.   The  events  of
the day were covered widely by the television and print media.

    Three days later, the Governor visited  Stony River and met  with local
officials.  Nelson said later he discovered a note on  his door  apparently
signed by the Governor saying, "Sorry I missed you."  Nelson and the  other
active residents said they doubted at the time that the Governor really tried
to meet with them.   Nevertheless, with the  support of  the state representative
from the Townships, the residents received  a commitment from the Governor  the
next day to provide showers.

    Shower facilities were provided about a week later, after further
controversy over the type of facilities to  be provided.  "When  we demanded
shower trailers." said Nelson later, "the state  tried  to claim  they didn't
exist.  They wanted to give us tents like in MASH.  But a friend of mine had
shower trailers at his construction site, so we  had to tell the state the  name
of the company that leased them."

    At that time, the state had also promised to do a  health study, Seal Jones
claimed.  "They kept promising one would be done about every week.  When we
finally got a copy of the so-called study about  a month later [July], it
didn't have any questions about liver problems — one  of the most likely
results of contamination from these chemicals.  It seemed more  like they
wanted to prove no problems really existed."

    The residents drafted their own questions and submitted them to EPA.
Sitwell sent both surveys to CDC in late July for comments.  Jones claimed
that was  the last they saw or heard anything about a health survey.  CDC
responded to EPA's request at the end of August 1983,  but no health survey had
been conducted by October 1963.

                    Enforcement Delays Anger Residents

    Jenkins also determined that the delays in enforcement efforts had become
a  particularly contentious  issue at the Ranier site.  The state Attorney
General's Office had claimed  repeatedly that  insufficient evidence existed to
prosecute the responsible parties.

    The Township residents, including  the Laurel Township Supervisor, were
deeply  embittered by the State's position.  They claimed that they had seen
workers at ACME solvents and  at the railroad yard using chemicals that were
ultimately allowed  to  sink  into the soil.   "They  [the  state] kept saying they
needed better evidence," Jones said later.  "Hell, all  they would have  to do  is
come down here on a weekend and wait  for the  ACME workers to cone out  and
start cleaning out  tanks like they do  every weekend."

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                                   -9-
    Rogers also claimed chat there was plenty of evidence available if the
state had really wanted to do anything.   He said he believed that the state
was intentionally holding back, on taking legal action because they did not
want to alienate the industries in the Stony River area that had business with
ACME Solvents, American Railroads, and the Dump Road Landfill.

    Finally, in a heated meeting with Township residents in late July 1983, a
DEP official informed the Assistant Attorney General that sufficient evidence
for legal action had been provided in a DEP report to the Attorney General's
Office in November of 1982.  In August 1983, the landfill owner closed the
landfill after DEP threatened legal action.

    When Jenkins took over in October 1983, he learned that no cleanup had yet
been performed at the ACME facilities, but that the Attdrney General's Office
had begun preparing a case against ACME Solvents.

                       Residents Oppose City Hookups

    The events in July and August surrounding the construction of the water
pipeline ultimately turned out to be the last straw for the disgruntled
Township residents.

    The residents had grown increasingly suspicious of the quality of the City
water, in part because Rogers had arranged for independent testing of City
water samples, which consistently showed higher levels of contamination than
the City and State reported.  The residents expressed concerns about the
levels of contaminants that might be in their yards, deposited from watering
the lawn with contaminated well water.  Paul Benson had discovered that the
chemicals in the water could be ingested through the air and through the skin,
and citizens were worried about these other routes of exposure.

    In addition, the State Health Department in July had detected
contamination in 20 of the 30 City wells.  City officials reassured the
residents that they were not pumping water from any contaminated wells.  Some
residents visited the pumping station unannounced one day and took a picture
of the control board that showed 13 wells being pumped, at least 3 of which
must have been contaminated.  After that incident, the City put a lock on the
pumping station and explained that the water being pumped from contaminated
wells to meet peak demand was being mixed with clean water so that
contamination levels were  lower than federal or state standards.

    The Township residents rejected that explanation, however.  The residents
claimed that the contamination levels in the City water were higher than had
been detected in some of the residential wells tested in 1981 and 1982 and
that those people had been advised at the time not to drink their water.  In
addition, the residents claimed that CDC had established that zero is the only

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                                   -ID-
safe level for carcinogens in drinking water.   In a memorandum to EPA dated
August 31, 1983, CDC stated:

             The safety of lifetime consumption of groundwater from
             this source must be judged on the basis of its
             carcinogenic potential, with the only safe level being
             zero.  As most of the contaminants [at the Ranier Site]
             are classified as carcinogens to either animals or man,
             any water source contaminated with the chemicals has to
             be viewed as hazardous.

    City officials stated later in an interview that Rogers and the Township
residents slanted the contamination data from the State Health Department and
tried to make it sound like City water was just as bad as the water from the
Township wells.  "Our feeling is that we've got a problem out there," said the
Public Works Director Lane, "but it isn't really as severe as everybody wants
to make it."  The City Manager said that he felt the Township residents did
not want to be tied to the City and be forced to pay water bills.  "We did
everything we were asked," he said.  "We have no responsibility to these
people (the Township residents) whatsoever."

    The active Township residents felt that government officials were
insensitive to their problems.  The residents had good reasons to believe
their health was being threatened.  Many of them had experienced health
problems, some of them life-threatening, that were known to be caused by the
same chemicals as those in the water.  They believed that the government did
not really care about them.  How else could they explain the months of
"studying the problem" when the problem seemed so clear to them?  They could
not understand why so little enforcement action had been taken when it seemed
so clear who was responsible.

    According to Rogers, the residents that summer felt that the government
had allowed them to be hurt.  By cutting off the bottled water program and
forcing the citizens to drink the City water once the pipeline was completed,
the government was going to continue to hurt them.

                       Citizens Demand Soif Sampling

    Before construction of the water pipeline was due to begin, several
Township residents demanded that soil samples be taken along the trenching
route to test for volatile organic compounds (VOCs) and that continuous air
monitoring be provided during trenching.  The residents were concerned that
VOCs might have gotten into the soil along the construction route either
through runoff or shallow groundwater seepage.  They expressed concerns that
the digging might release the VOCs into the air.

    Several citizens claimed in a later interview that at a public meeting
July 19, 1983, EPA official Vince Garrison, Sitwell's boss, promised to take
soil samples ahead of the pipeline construction.  Three days after that
meeting, a newspaper quoted Garrison denying that further soil sampling would

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                                   •11-
be conducted before the Remedial Investigation.   Garrison stated later that he
remembered saying there would be some soil samples taken in people's yards
during the Remedial Investigation, but did not remember promising soil samples
along the pipeline route.  He said, however, there was "probably some
misinterpretation on both sides."

    The residents were incensed and stated that no misunderstanding had
occurred because they had taped the entire meeting.  They called another
meeting for the following week and demanded that EPA attend.  Garrison
attended the meeting which was. he said, "nearly out of control."  Garrison
said, "it (the meeting] was organized by Rogers, but he made it look like
Benson organized it.  There was no agenda, just a lot of ranting, raving and
screaming.  They kept saying EPA was dishonest."

    According to Garrison, a state DEP enforcement official got up at the
meeting and "made all these promises to do lots of soil samples and monitor
the air.  The state backed out of that commitment after caking a few soil
samples that showed nothing.  We agreed to honor the state's commitment by
doing air monitoring, even though we knew we wouldn't find anything."

    CDC, based upon its review of the RAMP data, suggested that 10 ppm in the
air would be a safe threshold.  At a public meeting during the first week of
August, EPA promised to stop construction if the reading on a HNU air
monitoring meter exceeded 10 ppm to allow time to investigate what the cause
might be.

                       Construction Leads to Crisis

    When construction finally started in August, the HNU air meter read 60 ppm
at one point on the second day.  Sitwell attributed it to gasoline fumes from
cars nearby.  The next day, the contractors called Sitwell in the morning.
They told him they had found what they thought was a gas leak from a natural
gas pipeline.  The soil was discolored around the pipe and the HNU air meter
read 250 ppm.  Sitwell called the Stony River gas company, who came out and
confirmed the leak.  Sitwell authorized construction to continue and the HNU
air readings returned to normal within a few feet of the contamination.

    The residents, however, claimed Sitwell went back on his word by refusing
to stop construction and take samples.  The next working day, a group of
Township residents and the Coalition members blockaded the construction site.
The police arrested nine persons and construction continued.

    Soon after the arrests, Paul Benson asked EPA to send a copy of the
instruction manual for the HNU air meter.  He discovered that the air meter
does not register the main components of natural gas -- the methane series --
and stated that if the contamination at the construction site was a gas leak,
250 ppm would have been far above explosive levels.  Sitwell later denied
this, saying the explosive level for methane is over 50,000 ppm.

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                                   •12-
    EPA also said that the meter does detect other components of natural gas,
such as trace odorants added to the gas.   Benson and the other residents
however, remained convinced that it could not have been a gas leak.   When the
HSU air meter was held next to a stove with the gas turned on, the meter
registered only background levels.

    The aftermath of the confrontation over the pipeline left the credibility
of EPA and the other government agencies in shambles, as far as the most vocal
Township residents were concerned.   In August, EPA announced that the Remedial
Investigation would again be delayed.  EPA had originally announced that the
Investigation would begin in July,  but, as Sitwell put it, "the dates would
always slip."

                      Jenkins Confronts  the Challenge

    Facing now what seemed to be an intractible credibility gap between EPA
and the Township residents. Jenkins pondered the challenge he faced.  The
level of citizen action had clearly intensified, but he could not be sure if
it had broadened or narrowed.  Thirty Township residents risked arrest  in June
at the Governor's office, but only nine people were arrested  in the pipeline
blockade.  Given that fact and the long and tangled history of the project,
Jenkins wondered what he should do now; what should be his first step?

    Jenkins wondered  also what  lessons could be drawn from the events since
1981 that he could apply directly  in the coining months:

        What steps could he take to reestablish EPA's credibility among the
        citizens?

        How could coordination  between EPA, the state, and  local officials be
        improved?

        What can EPA  do to assist  the  state with  enforcement  efforts?

        How much  involvement  should  the Township  residents  be allowed  in  the
        Feasibility Study and the  choice of  the remedy?

        What steps  should he  take  to make  sure  the communication problems
        that, occurred between the  government  agencies  and the Township
         residents do  not  occur  with  the  Stony River residents once  remedial
        efforts  begin at  the  Ranier  site?

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                      MAJOR ACTORS IN THE CASE STUDY
Environmental Protection  Agency

    Don Jenkins,  current  OSC  at che Ranier Site, October 1983-
    Oliver Sitwell.  former  OSC ac the Ranier Site, December 1981 •  October  1983
    Vince Garrison,  Regional  EPA Remedial Response Division official


Washington  State Agencies

    State Health  Department
    Division of Environmental Protection (DEP)
    Governor's Office
    Attorney General's  Office


Local Government Officials

    City Manager,  City  of Stony River
    Oscar Lane, Director  of Public Works, City of Stony River
    Laurel Township  Supervisor


Active Township  Residents

    Paul Benson
    Seal Jones
    Mark Nelson
Coalition for Clean Water

    Harold Rogers


Potentially Responsible Parties

    ACME Solvents
    Dump Road Landfill
    American Railroads


Local Food Production Companies

    SCP Incorporated
    Chowt ime

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                                                       CHRONOLOGY OF CVLNTS
    Date

August 1981
September 1981
Federal  Government
                  Under cooperative agreement
                  with the City,  U.S.  Geo-
                  logical Survey (USGS)
                  begins drilling test
                  wells to determine ground-
                  water flow.
October 1981
November 1981
December 1981
   State and County

Slate Una Ith Department
discovers vo lilt lie org.idic
compounds (VOCs)  in church
water hooked up to City
wntor supply.

State notifies City of con-
tamination;  Health Depart-
ment begins  testing City
wells and private wells in
Townships:  finds  10 or 30
City wells with varying
conmminat ion.
                                                State  Health Department
                                                Official calculates health
                                                risk to city population as
                                                0.7  additional cancer
                                                deaths In  72 years if City
                                                residents  drink 2  liters of
                                                water  per  person, per day.
                          County Health Department
                          requests thai State Health
                          Department conduct a health
                          study.
                                                         City and Townships
  Citizens and
Local Businesses
                          Stale Health Department
                          begins sending letters to
                          Township residents summar-
                          izing sampling results and
                          recommending alternative
                                                        City begins pumping water
                                                        from two most contami-
                                                        nated wells into river;
                                                        Issues press release de-
                                                        scribing contamination,
                                                        citing State-ca I ciliated
                                                        health risk, and explain-
                                                        ing strategy to protect
                                                        remaining wells by pump-
                                                        ing Into river (September
                                                        25).  Release says public
                                                        need take no precautions.
                                                        Laurel  Township claims to
                                                        receive report confirming
                                                        existence or contamina-
                                                        tion in 77 private wells;
                                                        requests a copy or notices
                                                        to be sent From State
                                                        Health Department  to
                                                        Township residents.
                                                                                    Some citizens upset  by
                                                                                    unannounced  intrusions  on
                                                                                    private property:  they
                                                                                    claim "strangers   began
                                                                                    taking samples without
                                                                                    saying who they were or
                                                                                    why they were there.
                                                         Citizens  first learn of
                                                         contamination problems In
                                                         the area  From a  newspaper
                                                         story; claim they have
                                                         difficulty  rinding out
                                                         further Information.
                                                         SCP,  Inc.,  a  large food
                                                         product company In Stony
                                                         River, discovers contami-
                                                         nation  in  its private
                                                         wells which supply 50j of
                                                           -1-

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                                                CHRONOLOGY OF  EVENTS (Continued)
                     Federal Government
December 1981
(Continued)
                  EPA agrees  to provide
                  assistance  (Dec. ?9).
                                State arid,.Co L'UtY

                             watrr sources Tor drinking.
                             drinking and cooking, or
                             drinking, cooking, and
                             bathing.

                             Slate Division or Environ-
                             mental Protection (UtP)
                             requests assistance from
                             U.S. tPA.

                             DCP investigations indicate
                             possible sources or contami-
                             nation:  2 ACME solvent
                             facilities,  freight and
                             diesel yard owned by Ameri-
                             can Railroads, Inc.,  a
                             landfill on Dump Rd., and
                             an oiit-of-btisincss dry-
                             cleaners.
 Citv and Townships
January 198?
EPA announces Technical
Assistance Team (TA1)
scheduled to begin work
in February to help
determine source and extent
of contamination.
                  USGS says  groundwatcr
                  divide exists  in aquifer;
                  more study is  needed.
Laurel Township receives
copy or first Health
Department letter
(Dec. 29).
Latirel Township and Birch
Township bugin investiga-
ting costs and seeking
funds for hooking up
affected residences to
Ci ty water.

City begins offering free
water to Township resi-
dents receiving letters
from Health Department;
citizens must bring con-
tainers to We 11f i e I d
pumping station.
    Citizens and
  Loca I	Bus(nesses

its water; makes  internal
decision (Dec. 3) to  rely
entirely on City water.
Another food company,
Chowtime, nI so decides to
shut down private wells
found to be contaminated
and to begin supplement-
ing remaining clean wells
with City water.
                                                                                       Newspaper wire service
                                                                                       story reports impending
                                                                                       EPA involvement and says
                                                                                       15 households in Town-
                                                                                       ships notified not to
                                                                                       drink water; "others"
                                                                                       not even to use it for
                                                                                       bathing.  Many Township
                                                                                       citizens still uninformed
                                                                                       about extent and severity
                                                                                       of contamination.

                                                                                       Citizens claim that hours
                                                                                       of water distribution at
                                                                                       Wellfield station kept
                                                                                       working families and
                                                                                       people without transpor-
                                                                                       tation dependent on pri-
                                                                                       vate we I Is.
                                                           -2-

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Notes

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Notes

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