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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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-
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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
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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-
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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-
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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
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Notes
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"me State Perspective" Federal Facility Compliance
James Colman
-in-
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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-
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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
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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
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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
-------
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
-------
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
-------
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
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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
-------
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.
-------
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."
-------
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.
-------
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.
-------
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.
-------
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.
-------
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.
-------
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).
-------
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).
-------
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).
-------
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).
-------
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.
-------
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).
-------
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.
-------
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.
-------
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).
-------
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).
-------
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.
-------
Interagency Agreement Process Status
Installation Restoration Program Integration
State Involvement
Mary Sanderson
IV-6
-------
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
-------
Section 120 Interaaencv Agreements ClAGs)
EPA makes final decision on remedy
State standards must be considered
States and citizens can enforce
-------
MODEL lAGs
Jurisdiction
Purpose
Statutory Compliance/RCRA-CERCLA Integration
Dispute Resolution
Enforceability
Stipulated Penalties
Extensions
Force Majeure
Funding
-------
RCRA/CERCLA Integration
Mary Sanderson
IV-7
-------
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
-------
RCRA/CERCLA
INTEGRATION
Overlaps may
- slow cleanups
- result in inconsistent or duplicative cleanup
activities
-------
RCRA/CERCLA
INTEGRATION
Unresolved issues
- which should be primary cleanup vehicle when both
apply
- how to use the statutes together
-------
RCRA/CERCLA
INTEGRATION
Coordinated response mechanism under development
Three party IAG
- recognizes State rights and regulatory role
- can include RCRA and State law
-------
Emergency Response, Chemical Release and Oil Spills
David Tordoff
IV-8
-------
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.
-------
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.
-------
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)
-------
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
-------
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 Inspectorthe 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).
-------
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).
-------
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
-------
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)
-------
Notes
-------
Notes
-------
Resource Conservation
and
Recovery Act (RCRA)
-V-
-------
Overview of Resource Conservation and
Recovery Act (RCRA)
Stanley Chin
V-l
-------
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.
-------
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
-------
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
-------
Authorized RCRA Programs
Maine
Massachusetts
New Hampshire
Rhode Island
Vermont
Non-Authorized RCRA Program
Connecticut
-------
HSWA
Versus
Non-HSWA
-------
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:
-------
Medical Waste
Austine Frawley
V-2
-------
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.
-------
OVERVIEW OF ERA'S
MEDICAL WASTE PROGRAM
-------
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
-------
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
-------
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
-------
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
-------
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
-------
Medical Waste Management: General Requirements
o Segregation
o Packaging
o Labeling/marking
o Tracking
o Recordkeeping and reporting
&EPA
-------
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
-------
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
-------
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
-------
& 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
-------
Typical Violations For Generators:
o Improper packaging
o Tracking form/shipping log errors
o Improper waste quantity determination
o Improper storage
o Improper segregation
-------
INITIAL IMPACTS - D I R E CT/I N D I R EOT
ENRORCEMENT PRESENCE AND
PROGRAM AWARENESS
MEDICAL WASTE PROGRAM
DEVELOPMENT IN NONCOVERED
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
-------
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.
-------
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.
-------
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.
-------
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.
-------
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)).
-------
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.
-------
»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.
-------
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 BDefinition*)
|>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 EPrt-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 FGenerator 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
-------
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 0On-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
-------
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.
-------
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
-------
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
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INSTRUCTIONS FOR COMPLETINa MEDICAL WASTE TfUCKWO tOR*
Capr 3 TRANSPORTER COPY! (tatabwdbf T»MM|i«lw
Copf 4 -. OENEHATOH COP
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i.
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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
-------
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
-------
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
-------
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,
-------
.Appendix m to Put 25VTruuportn 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
-------
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
-------
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
-------
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).
-------
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
-------
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)
-------
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.
-------
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
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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.
-------
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
-------
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
-------
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
-------
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
-------
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
-------
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
*'!
(Uiwn.
Cadmun
^flm^l. fT^tf)
Vntiry «,,.
9w
tetter*
JLiM ImttMl
Crantt tond emyfe tod)
IfaTTMirH^r
1.1i.TneMoro-tZa-T««*JOr«w»_
Cf»rr"nf" ^Wif)
L"~*
1 "
"In.
Omnw* r'fittl) < <
Lmf
ffcctrtf
'S^IW
IttKl
Hdif1
-
fr*^*
Chrenwn (TrW)
iTttt
""f~
Ci*-h~
Pmv" CflW)
Lntf
ttCOO-M HaitcNeradbamo-^daz-
m.
HiCOFVU HnicHoroAMinfmns
I^COO^I PwlKMeredbne-p-
dMn.
TCTO-AI T»lriehl(XBaa«nHi-p-ftu»-
M.
trnf-AM Taliai Ma'fM>^iflfttf«ii«
i.^.S-Tnchtoopfurti1
2.4.8-TncWoroohenol
CASiwntNf
fcxr^utaud
Itsurdewi
oonsnfeNnt
7440-38-2
7«40-3»O
7440-43-S
744047^2
743942-1
7434-974
7782-49-2
7440-22-4
6744-1
*U«_*
TklSJI
WlifUl
tM^UT
tOt-94-1
141-784
109-41^
W48.1
n^t
TK^U
imuttui
11046-1
127-19-4
100_M.)
71-554
76-19-1
79414
7S49-4
7440-434
7440-4742
743942-1
IttnjaJl
7440-28-4
7*40 43 9
744IM7-32
743942-1
TUAU0Wt
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
7440424
7440-224
7440434
7440-4742
743942-1
7440424
7440424
7440-1742
^«BMM.^M
U-06-2
corMrm.
tenmign)
HA
KA
NA
NA
NA
NA
NA
NA
OM
Aft
AMI
0 ift
182
0.125
OM
a as
0.05
Has
M
««n
AM
ftflft
BjJH
1 12
0.079
1 12
105
1JS
0462
&JH
AM
NA
NA
NA
MA
NA
NA
NA
NA
MA
NA
NA
NA
NA
NA
NA
NA
NA
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 aTECHNOLOOY-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
-------
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.
-------
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.
-------
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
-------
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.
-------
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.
-------
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.
-------
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.
-------
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
-------
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
-------
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.
-------
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
residentssuch 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:
-------
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
AOAdministrative Order on
Consent
CDConsent Decree
CERCLAComprehensive
Environmental Response.
Compensation, and Liability Act of
1980
CRCommunity Relations
BDD Enforcement Dedalon
Document
ERTEnvironmental Response
Team
PSFeasibility Study
HRSHazard Ranking System
NCP National OH and Hazardous
Substances Contingency Plan
MPLNational Priorities List
NRCNational Response Center
NRTNational Response Team
OSC On-Seene Coordinator
OftMOperation and Maintenance
ppm/ppb _ parts per minion/parts
per billion
PRP Potentially Responsible Party
PA Preliminary Assessment
QA/QC Quality Assurance/Quality
Control
RODRecord of Decision
RRT Regional Response Team
RARemedial Action
RDRemedial Design
RIRemedial Investigation
RPM Remedial Project Manager
RCRAResource Conservation and
Recovery Act of 1976
SISite Inspection
SARA Superfund Amendments
and Reauthorizatlon Act of 1986
TSD Treatment. Storage, and
Disposal Facility
VOC Volatile Organic Compound
-------
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
-------
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.
-------
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
-------
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.
-------
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.
-------
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
-------
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.
-------
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
-------
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
-------
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
-------
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
-------
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.
-------
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
-------
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-
-------
Pollution Prevention Packet
Available as a Handout Document
-------
Pollution Prevention
James Edward
Mark Mahoney
VII-l
-------
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-
-------
Introduction to Water Management
Division Programs-
Overview of the Clean Water Act
and the Safe Drinking Water Act
Larry Brill
-------
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
-------
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 nonstorm -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.
-------
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)
-------
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.
-------
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
-------
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
-------
- Regulatory Requirements
- 122.44 signed on 5/26/89; Federal Register 6/2/89,
(54Fed Reg 23868)
- 40CFR 122.44
-------
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
-------
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
-------
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.
-------
MERRIMAC RIVER
TOXICITY 1EST1NO
INDUSTRIAL
MUNICIPAL
1771 Toxicmr PRESENI
ALL TESTS
CATEGORY
MUN w/PRT
NOT TOXIC
MUN wc/PRT
-------
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.
-------
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.
-------
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.
-------
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
-------
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.
-------
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
-------
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.
-------
Compliance and Enforcement
Larry Brill
VIII-3
-------
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
-------
IMIEI NUUCMEII DIVmaa
OlltCIOI
OfPUIT DIIECIOI
Dlvlaion
106 * 2OSIJI Grant*
Prograi Cogrdlnollan E«eluell
-AdBjinf*tr*tlv*. Analytic*!
Specl*! prolcclt leod
Hmgeoent h«iport
FUNCTIONS
ORGANI3ATIOMAL CHART
EFFECTIVE 10/05/89
ATTACHMENT 1
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tocllen 10
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Allocation
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Prepare!Ion
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-------
wnra mttGaaxr amsioH
DIRECTOR
DERRY DIRCICR
SUPERVISORS
CKMIIZKnCNU. OOMT
1O/O5/89
2
K^tCCTIMI
-tCll-Xi
-------
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
-------
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
-------
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
-------
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..
-------
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
-------
t~(f/H>ESl
DISCHANOB MONITORINO REPORT IDMRI
NAMC/AOORCS* (Inchdt
iRSSSSPltlili £!':.:?. ' F'AMI-.ilT
PACIUTY
OCATIO
ATTMt
MAJOR (SUHK PI)
NOTE: R*td Initructkna before conipUting thl* form.
COM
'SEE P.«» OF I PA "tf, HT FOW BIOA3SAY
1(V7
-------
Picilit7.hu tt.dip to
umtug
Sip tiail Ordttjt ^
{fe
:«ct
far/
-------
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
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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
-------
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
-------
Secondary Drinking Water Standards
13 Contaminants Covered
Not Designed to Protect Public Health
Concerned with Aesthetics of Drinking Water
Taste
Odor
Color
-------
Compliance of
Regulated
Community
-------
PWS Compliance
100,000 Violations/Year
Too Many I
Indicators of Problems
Margin of Safety of Treatment Affected
-------
Overall Community Water
System Compliance
FY 1988
Complying Systems
Systems In Violation
PROS
-------
CWS Violations
FY 1988
M/R Violation*
41.889
MCL Violation*
8.S49
PUDS !
-------
Size Distribution Of Systems
In Violation
(FY 1984-1988)
1084
1985
1084
1087
1088
CD LM«* ?*»<»<
FR05 19B («/17/«»l
-------
The Safe Drinking Water Act
Amendments of 1986
Current and Future Rules
-------
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
-------
Number of Regulated Contaminants
Is Increasing
Regulated Contaminants
200
Year
-------
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
-------
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
-------
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
-------
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
-------
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
-------
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
-------
EPA's Final Rules
The Total Coliform Rule
Promulgated in June 1989
Sets MCL for Coliform Bacteria
Establishes Monitoring Requirements
Establishes Analytical Methodology
-------
1986 SDWA Amendments
Lead & Copper
Rule Proposed on August 8. 1988
Final Rule Planned for Fall 1990
-------
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
-------
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)
-------
Safe Drinking Water
Our Resource
Our Responsibility
-------
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 attentionadopted as a campaign pledge by President Bushbut
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:
Administrativeup to $125K
Civilup 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
dischargesdredged or fill materialis 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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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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j"u
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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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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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, resourcesour 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
wetlandsan area about the sise of California. Between
1955 and 1975 alone, more than 11 million acres of
wetlands were lost entirelyan 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
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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
-------
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
-------
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
-------
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?
-------
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
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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
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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
etltnd* tact ion (aww-
34 rodar4i n«»t
v Tern, n 1CJ71
(417) 145-400
344-jno
D.I. IM teflon VI
technical Acilottnce (oetien («i-m
144S >OIB fcVWMM
Dellae, TX 11103
014M Mr«hWr^.r. Cblof
O.I. t»* teflon vii
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
M 1»1C7
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Chief, Votlando Onlt (*
141 courtlftnd ftreet, I.
Atlenta, CJk JOJ4J
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Q.I. BTA Bo«lon «
JUilnf and lt«ndar«* Dlvlelon
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110 tout* teAZfeorn Itreet
CklOOfO, XL 10(04
(404) J47-J13*
(111) 31)-]OTt
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fftll Ooalte, Chief
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MB rraacloae, CA »41M
(411)
111 tellly, Chief (104) 443-1413
O.I. B>& - teflon I
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1100 llXtH Avenoe
Mettle. KA M101
-------
Notes
-------
Notes
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The Harvard/MIT
Mediation
-IX-
-------
The Harvard/MIT Mediation/Negotiation Process "Getting to Yes"
Lawrence Susskind
IX-l
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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?
Tier Two
EMERGENCY
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CHEMICAL
INVENTORY
Spteifit
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Chemical Description
*
, *:/: *',#' '
Physical
andmalth
Hazards
Inventory
Storage Codas and Locations
(Non-Cftirflctonttol)
Sttimge Locations
CAS |
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-------
Tier Two
EMERGENCY
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HAZARDOUS
CHEMICAL
INVENTORY
Information
Important: Kec
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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
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o
o
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*** 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
-------
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
-------
WHAT ARE PCBs
MANUFACTURED TO HAVE SPECIFIC PROPERTIES
1. LOW FLAMMABILITY
2. HIGH VISCOSITY
3. HIGH HEAT CAPACITY
4. STRUCTURAL STABILITY
-------
WHY TAKE PRECAUTIONS?
SPECIFIC HUMAN HEALTH EFFECTS:
1. HUMAN CARCINOGEN
2. LIVER DISORDERS
3. CHLORACNE
4. POTENTIAL REPRODUCTIVE EFFECTS
-------
WHY TAKE PRECAUTIONS?
PERVASIVE ENVIRONMENTAL CONTAMINANT:
1. EXTREMELY STABLE
2. BIO-ACCUMULATION
3. CAN BE TOXIC AT LOW LEVELS
4. CAN FORM FURANS & DIOXINS
-------
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
-------
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
-------
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
-------
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
-------
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
-------
USER FRIENDLY GUIDE TO THE
TSCA PCB SPILL CLEANUP POLICY
-------
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.
-------
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.
-------
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 ***
-------
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.
-------
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.
-------
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.
-------
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.
-------
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
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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
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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.
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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.
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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
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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
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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
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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.
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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
-------
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
-------
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
-------
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
-------
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.
-------
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.
-------
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
-------
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.
-------
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*
-------
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.
-------
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
-------
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
-------
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.
-------
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.
-------
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
-------
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.
-------
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 wellall 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.
-------
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.
-------
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.
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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
-------
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
-------
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 BUsti
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
1U FR 4001: March It. 1967.
2-35 FT 16047: October 13. 1070.
935 FR 8495. June i 1970.
4-35 PR 16320: Dcctmber 11970.
5-97 FR 6476. Much 30.1072.
6X FR 14671, June 4.1073.
730 FR 44991: December 30.1974.
840 FR 29864 July 16.1975.
840 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.
1541 FR 17740: April 26.1976.
1441 FR 22044: June 1.1076.
1541 FR 24054: June 14.1076.
16-41 FR 45993: October 19.1076.
1741 FR 51021: November 10.1076.
1641 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.
2312 re 26137. (line 2.1077.
24-42 re 26545. June 3.1077.
2542 re 37373. July 21.1077
2642 re 40665. Auguit 11.1077.
2742 re 42353. Auguit 23.1077.
2642 re 4552& September 9.1077.
2942 re 56755. November 11.1077.
3042 re 60743. November 29.1977.
31-43 re 3715: January 27.1976
3243 re 4028. January 31.1976.
3943 re 4621. February 3.1076.
3443 re 6233. February 14.1978.
3543 re 9612. March 9.1076.
3643 re 12601. March V. 1078.
3743 re 15420: Apnl 13.1078.
3643 re 16345. April 18.1078.
40-43 re 20504. May 12.1978.
4143 re 28932. July 3.1978.
42-43 re 32808. July 28.1978.
4343 re 34479: Auguit 4.1976.
4544 re 21289: Apnl 10.1979.
46-44 re 23064. Apnl 17.1070.
46 44 FR 29*80: May 21.1979
5044 re 37126. (line 25.1079.
5144 re 37131 June 25.1070.
5244 re 42911. July 20.1979.
5444 re 4922ft Auguit 21.1979.
5544 re 54007. September 17.1079.
6044 re 59084 October 12.1979.
6544 re 69208. November 30.1079.
6644 re 70877. December 7.1070.
6744 re 75076. December 18.1079.
66-45 re 18010: March 20. I960.
0045 re 21633. April 11960.
01-45 re 24090: Apnl 8. I960.
9243 re 27713. April 23. I960.
93-43 re 28722. April 30.1980.
9445 re 35621: May 26. I960.
0545 re 44935. July 2. I960.
96-45 re 44939: July 2,1960.
0745 re 47352: July 14, I960.
9845 re 47355. July 14.1990.
99-45 re 52803: AufUil 8. 1980.
100-45 re 52807. AufUtt 6. I960.
10245 re 54676. Auguit 15. I960.
10345 re 55654. Aufuit 20. I960.
10545 re 63812: September 25. I960.
106-45 re 65132: October 1.1960.
10846 re 3178: January 13.1961.
111-46 re 11685. February 10.1961.
11246 re 40025. AufUII 6.1961.
11346 re 40684. Aufuat 10.1961.
114-47 re 4204. January 26.1962.
11547 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.
12447 re 43962: October 5.1062.
125-47 re 46093: October 15.1082.
127-48 re 611 January 5.1963.
12648 re 1726. January 111069.
12945 re 26464: June 22.1083.
13048 re 40184. September 2.1083.
13146 re 43043. September 21.1983.
13248 re 46057: October 11.1083.
13448 re 46336: October 12.1983.
13546 re 46341: October 12.1063.
196-48 re 49240: October 25.1063.
137-40 re 1056:
196-49 re 1094.
19049 re 2783;
142-49 re 7395:
anuary 9.1964.
anuary 17.1084.
anuary 29.1084.
'ebniaiy2at9M.
14349 re 7394: February 20.1964.
144-49 re 7398. February 29.1964.
145-49 re 10526: March 20.1964.
14619 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.
15749 re 94494. Auguit 91.1064.
15949 re 34504: Auguit 31.1964.
16049 re 34510: Auguit 31.1964.
161-49 re 35954. September 19.1984.
16949 re 49060: October 26.1964.
16449 re 49089: November 1.1964.
166-49 re 45163: November 15.1064,
16649 re 49639: December 21.1064.
16950 re 1056. January 9.1065.
170SO re 4226. January 30.1985.
171-50 re 4945: February 4.1985.
17950 re 12902: March 28.1085.
17450 re 12905: March 26.1965.
18150 re 20785. May 20.1065.
182-50 re 21702: May 28.1085.
189-50 TO 23864:
16450 re 2453ft
16550 re 24653:
16650 re 25678:
16650 re 26575:
169-40 TO 27002:
10350 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.
19650 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.
21050 re 50308. December 10.1085.
21150 re 50733. December 11.1065.
212-50 re 51252: December 16.1085.
21651 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.
22751 re 16047. April 30.1906.
22681 re 16482: May 2.1068.
23381 re 17980: May 16,1966.
29681 re 23761: July 1.1986.
23981 re 2749S: July 91.1960.
24151 re 31422. September 3.1968.
24251 re 34412: September 96.1968.
24651 re 34425. September 26. I960.
24781 re 99476. October 28.1066.
24651 re 41705: November 19.1086.
25051 re 4501ft December 29.1066.
25162 re 288: January 6.1907.
236-52 FR 5302. February 20.1967.
28152 re 10802, April 6.1997.
26262 re 11169: April 7.1087.
26982 FR 11172: April 7.1967.
26552 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,
CaryophylaoaaaPink 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.
raceaeLaurel 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
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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
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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
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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
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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
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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
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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]
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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.
-------
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.
-------
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.
-------
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
-------
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.
-------
Mobile Source Program
Fleet Vehicle Inspection and Maintenance
Stage II Vapor Recovery
Peter Hagerty
x-7
-------
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
-------
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
-------
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
-------
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
-------
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
-------
Connecticut
Statewide
Centralized Testing (Contractor Operated)
Stickers Required on Federal Vehicles
1968 and Newer Vehicles Covered
Carbon Monoxide and Hydrocarbons
Tested
-------
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
-------
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
-------
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.
-------
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
-------
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
-------
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
-------
FIGURE 3
ASPIRATOR-ASSIST VAPOR RECOVERY SYSTEM
TYROL INSTALLATION
MODULATING VALVE
SAFTTY SYSTEM
PRESSURE TAP
2" RETURN UNE
-------
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 »
-------
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):
-------
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.
-------
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
-------
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.
-------
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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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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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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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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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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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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