Safety, Health and
Environmental Management
Guidelines
Prepared by:
U.S. Environmental Protection Agency
Safety, Health and Environmental
Management Division
June 1997
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Safety, Health, and Environmental November 1997
Management Program (SHEMP) Guidelines
Section 01-01
Table of Contents
INT 01-01 Table of Contents
INT 01-02 Introduction
Purposes of Guidelines . 01-2
Objectives of Guidelines . . 01-2
Introduction . . . . 01-2
Authority . 01-2
SHEMP Mandates and EPA Orders . . . . 01-2
How SHEMP Guidelines are Organized . . 01-2
How to Recommend Changes in SHEMP Guidelines . 01-3
How to Recommend a New Chapter or Topic for SHEMP Guidelines . 01-3
Keeping SHEMP Guidelines Up-to-Date . . 01-3
INT 01-03 Safety, Health and Environmental Management Division (SHEMD)
SHEMD . 01-4
Accountability for SHEMP at EPA Field Locations . 01-4
SHEMP Management Systems .... . . . 01-4
Management Responsibilities . ... . . .01-4
Program Responsibilities ... . . ... .01-4
SHEMP-Related Program Areas Not Covered in SHEMD's Delegations of Authority 01 -5
Mission, Values, and Guiding Principles . 01-6
SHEMD's Roles, Responsibilities, and Activities -- Defined in Detail 01-7
Common Characteristics and Best Practices for SHEMPs .. 01-12
Appendix A
Federal Statutes, Executive Orders, and Regulatory Mandates 01-14
Appendix B
EPA Policies and Orders ... . .... 01-23
Introduction 01-1
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Section 01-02
Introduction
PURPOSES OF SHEMP
GUIDELINES
OBJECTIVES OF
SHEMP GUIDELINES
INTRODUCTION
AUTHORITY
SHEMP MANDATES
AND EPA ORDERS
HOW SHEMP
GUIDELINES ARE
ORGANIZED
Safety, Health and Environmental Management Program Guidelines
(hereafter referred to as SHEMP Guidelines)
a provide management officials, union officials, Safety, Health
and Environmental Management Program (SHEMP) Managers,
and other Agency employees with interpretations of Federal
statutes, Executive Orders, and regulatory mandates (hereafter
referred to as mandates),
b. explain their application to EPA's mission-oriented activities;
and
c provide strategies, procedures, and management tools that can
be used in complying with these mandates
The objectives of the guidelines are to
a trim administrative requirements and burdens on EPA's field
units, by providing flexibility to Regional and Program Office
Designated Safety, Health, and Environmental Management
Program Officials in designing their programs;
b. convert mandates and EPA Orders into a series of technical
interpretations of the statutory and regulatory requirements and
explanations of their application to EPA's mission-related
activities, and
c provide up-to-date content and program materials that can be
integrated into audit criteria and protocols, and to establish
additional technical resources, self-assessment guides, and
program tools.
The Introduction explains'
a. the structure of Guidelines and how to request changes or
additional content areas or chapters and
b. SHEMD's functions and business processes in detail
Contained in EPA Order 1440.1, Section 5
Federal mandates are contained in Appendix A.
EPA Orders are located in Appendix B.
Guidelines are divided into technical content chapters, which
address specific mandates and EPA Orders. Additional chapters are
devoted to technical and administrative topics not specifically
covered in a single mandate and Order (e.g, ergonomics, accident
Introduction
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HOW TO
RECOMMEND
CHANGES IN SHEMP
GUIDELINES
HOW TO
RECOMMEND A NEW
CHAPTER OR TOPIC
FOR SHEMP
GUIDELINES
KEEPING SHEMP
GUIDELINES
UP-TO-DATE
investigation and reports, and mandatory/refresher training for field,
office, and laboratory employees) Implementation tools, usually in
the form of guidelines, forms, and checklists, are normally found in
exhibits Italicized text identifies EPA guidance EPA managers
are encouraged to follow these non-man-latory guidelines
Each Chapter begins with a two-page summar \v ilch serves as a
quick reference guide for the scope, regulatory requirements,
authorities, references, implementation activities, and
implementation implications of the Chapter's content
Management officials, union officials, and other employees should
feel free to recommend changes in Guidelines To recommend a
change, send a memo to the Director, SHEMD, Mail Code 3207,
Washington DC 20460. The memo should identify the content to
be changed, why the change is beneficial, the impact the change
would have on working conditions and management processes, and
the proposed content (e.g., a marked up copy of the page and/or a
draft of the proposed change being offered) The Director will
respond within 30 days
Management officials, union officials, and other employees should
feel free to recommend new chapters or topics for Guidelines To
recommend a new chapter or topic, send a memo to the Director,
SHEMD, Mail Code 3207, Washington DC 20460. The memo
should identify the Federal mandate that is to be interpreted, why
this interpretation is needed, the impact that the new chapter or
topic would have on working conditions and management
processes, and recommend who should peer-review the technical
content. The Director will respond within 30 days
Officials with hard copies of Guidelines are responsible for ensuring
that they are kept current. Updated copies of Guidelines are
located on OA/SHEMD's Intranet Home Page
(dc_www. wic.epa.gov/oa).
Introduction
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Section 01-03
SHEMD Program
SHEMD The Safety, Health, and Environmental Management Division
(SHEMD) is the Agency's national program office, with assigned
responsibility for providing Agency-wide leadership for the EPA's
internal Safety, Health, and Environmental Management Program
(SHEMP) SHEMD is located in the Office of Administration,
Office of Administration and Resources Management.
RAs and AAs appoint Regional and Program Office Designated
Safety, Health, and Environmental Management Officials to
represent them in the implementation of SHEMPs; those officials
are accountable for managing SHEMPs in compliance with Federal
mandates and EPA Orders
SHEMD has adopted the Code of Environmental Management
Principles (CEMP) as its guidepost for designing its management
systems and as its handbook for developing Agency policies and
program tools A detailed discussion of CEMP and SHEMP
management systems can be found in Chapter 2.
SHEMD is the principal management advisor to the Agency's
Designated SHEMP Officials and senior managers. SHEMD's
Responsibilities are listed in EPA Order 1440.1, Section 4c. It is
organized into a National Programs Branch, Technical Support and
Evaluation Branch, and Multimedia Laboratory.
Develops policy, interprets mandates, and manages national and
headquarters SHEMP programs.
Conducts program evaluations, property transfer audits, and
accident/incident investigations; develops design specifications and
technical guidelines; provides technical support services for new
construction and renovation projects, prepares safety and
environmental audit and technical assistance reports.
Develops technology-based Learning, Information, and
Performance Support (LIPS) systems for SHEMP implementation.
Program responsibilities include.
a. occupational safety and health;
b biological safety and health,
c. life-safety,
d. indoor environments;
ACCOUNTABILITY
FOR SHEMP AT EPA
FIELD LOCATIONS
SHEMP
MANAGEMENT
SYSTEMS
SHEMD'S
MANAGEMENT
RESPONSIBILITIES
National Programs
Branch
Technical Support and
Evaluation Branch
Multimedia Laboratory
PROGRAM
RESPONSIBILITIES
SHEMD Program
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SHEMP-RELATED
PROGRAM AREAS
NOT COVERED BY
SHEMD's
DELEGATIONS OF
AUTHORITY
FMSD
OAM
OHROS
e underwater diving,
f management of lead/asbestos and other specific toxicants,
g medical surveillance, preventative health, and wellness,
h radiation safety and health protection, and
1 environmental management, including pollution prevention and
disposal/recycling of hazardous waste (with the exception of
those environmental management matters listed below)
There are some SHEMP-related program matters that are the
responsibility of other national program offices In those areas,
SHEMD establishes close working relationships and partnerships to
assure that there is coordination and cooperation They include
a workers' compensation,
b hazardous duty pay,
c energy conservation,
d recycling of non-hazardous solid waste,
e affirmative procurement,
f. NEPA assessments;
g facility closures and property transfers;
h facility design and construction;
I occupant emergency planning, and
j investigations of employment discrimination or reprisal
Facilities Management and Services Division (FMSD) addresses the
requirements of the National Environmental Policy Act (NEPA),
and the incorporation of SHEMP requirements into lease
agreements, facility design, occupant emergency planning, and
construction. FMSD manages
a. energy conservation;
b recycling of non-hazardous waste;
c. management of the B&F processes, including decisions that
address SHEMP corrective actions; and
d. the real property transfer, including implementation of the
Comprehensive Environmental Due Diligence Process
Office of Acquisition Management (OAM) provides leadership for
the implementation of mandates and Executive Orders related to
affirmative procurement in the areas of pollution prevention.
Office of Human Resources and Organizational Services (OHROS)
administers:
a workers' compensation and reasonable accommodation; and
b hazardous duty pay programs and processes.
SHEMD Program
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OCR
SHEMD's MISSION.
VALUES. AND
GUIDING PRINCIPLES
Mission Statement
Values
Office of Civil Rights (OCR) investigates complaints of reprisal
related to employees who exercise their rights under the OSH Act
of 1970 and 29 CFR Part 1960
SHEMD has formulated a mission statement, adopted a set of
values, and established a set of guiding principles for the conduct of
its business.
To address the Agency's need to identify, assess, control, and
communicate environmental and occupational risks to managers,
supervisors and employees.
To address the Agency's need to develop management strategies
which assure that EPA's activities and workplaces comply with
Federal, state, and local statutory and regulatory mandates related
to safety, occupational health, and environmental protection
To help managers preserve, protect, sustain, and enhance their
employees, material and financial assets, and the environment
Quality To achieve customer satisfaction, the quality of SHEMP
products and services is its number one priority
Customer focus Work products and services are customer-
focused, and customers are given opportunities to evaluate SHEMP
products and services.
Employee involvement Work (both within SHEMD and
throughout the Agency) is organized to promote employee
involvement, labor/management processes, and team effort.
Professional and personal development. SHEMD employees and
SHEMP managers are provided with opportunities for both
personal and professional improvement and certification Semi-
annual technical workshops are held to update managerial and
technical skills.
Regional, laboratory, and program officials. SHEMD develops and
maintains mutually beneficial relationships with its regional,
laboratory, and program office SHEMP managers. "Centers of
Excellence" provide SHEMP managers with the opportunity to
assume national leadership.
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SHEMD's ROLES.
RESPONSIBILITIES.
AND ACTIVITIES -
DEFINED IN DETAIL
Monitoring Regulatory
Activities and Analyzing
Their Impact
Integrity Business processes are managed in an ethical and
responsible manner which provides positive contributions to the
Agency's overall mission.
Guiding Principles Program Documentation. Policies, guidance, and instructions are
written and communicated in a clear and concise manner
Program Responsibilities. Authorities, and Accountability for
SHEMPs Program responsibilities, authorities, and accountability
are assigned in writing and are clear to all employees
Technology Where practical, information and learning technology
is applied to all aspects of SHEMP.
As the Agency's focal point, SHEMD is responsible for performing
numerous management and technical support functions SHEMD's
primary roles and responsibilities are identified in EPA Order
1440 1, Section 4c, and are explained in detail below.
Due to the diversity and complexity of regulatory mandates and
their application to EPA's mission-related activities, determining
how to comply and how to finance compliance matters is a
significant management challenge. For example, research and
scientific programs conducted at EPA facilities often fall outside the
industry-focused environmental and occupational safety/health
statutes In response to this challenge, SHEMD
a interprets mandates,
b explains how mandates apply to EPA's mission-related activities;
and
c. issues SHEMP Guidelines.
Designated SHEMP Officials have flexibility in applying these
guidelines.
As unique or specialized regulatory compliance issues arise,
working with EPA Program Offices, OSHA, NRC, and state/local
officials often results in development of program guidance,
compliance arrangements, and prudent management practices. For
example, work with the Office of Toxic Substances resulted in
special regulatory consideration for PCB management at research
and development facilities.
Alerts are used to heighten awareness, provide direction, and
outline suggestions for managing special compliance and risk
prevention matters
Regulatory Impact
Analyses
Alerts
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Workload Analyses and
Financial Support
Issuing EPA Orders
Developing SHEMP
Guidelines
Managing National
Programs
Operations Manuals for
Specific SHEMP
Challenges
Working with regional and program office managers, budget and
OARM officials, and B&F managers is often necessary to conduct
workload and risk analyses, benchmarking studies, and management
reviews to address resource needs For example, a Regional
Support Account was established to enhance technical support for
regional programs, initiate program improvement activities, and
expand their use of technology-based products. A similar support
system has been established by ORD senior management officials
In response to administrative reform and streamlining initiatives,
directives and program resources are reengineered EPA Order
1440.1 defines authorities, responsibilities, and accountability for
SHEMP and abolishes all previous 1440 requirements, except those
related to employee training
Guidelines replace previous 1440 requirements (except those stated
above) The length and scope of chapters are based on the
seriousness and potential recurrence of historical audit findings,
complexity of the mandate, and customer requirements Guidelines
provide suggestions which are based on prudent management
practices and bench-marking, and management tools and strategies
which address unique compliance issues
By developing partnerships and leveraging resources with regional
and program office officials (through lAGs and contracts), several
national programs have been established. They are designed to
achieve administrative efficiencies and employ competent and
qualified professionals in the following areas
a. medical surveillance;
b. laboratory employee exposure assessments; and
c radiation exposure monitoring
When common needs and opportunities are identified and the
technical expertise is not available at local units, partnerships and
leveraged resources (with regional and program office officials) are
used to develop Operations Manuals which address specific
technical challenges. Some examples of Operations Manuals
include1
a. safe vessel specifications and operations,
b. radiation safety and health protection program,
c managing lead-containing building materials;
d asbestos-containing building materials;
e. chemical hygiene planning;
f. spill prevention control and countermeasures;
g. management and inventories for chemicals and hazardous waste,
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SHEMP Operations
Manuals for specific
employee populations
On-site technical
assistance for complex
SHEMP-related matters
Design and Engineering
Reviews for SHEMP-
related matters.
h pollution prevention planning, and
i risk-based training assessments
When common needs and opportunities are identified and the
technical expertise is not available at local units, partnerships and
leveraged resources (with regional and program office officials) are
used to contract for the development of Operations Manuals for
specific employee groups As examples
a operations manual for field employees,
b operations manual for office employees,
c operations manual for laboratory employees, and
d operations manual for underwater divers.
When common needs and opportunities are identified and the
technical expertise is not available at local units, partnerships and
leveraged resources (with regional and program office officials) are
used to contract for the delivery of on-site technical services. They
include
a providing turn-key chemical inventory services to improve
chemical management practices at EPA laboratories by
automating and bar-coding of chemical and hazardous waste
inventories.
b reviewing, developing, and/or updating hazard assessments and
compliance plans and documentation for, among other things,
SPCC, chemical hygiene, and personal protective equipment
c characterizing employee exposure to chemical, physical, and
biological agents in laboratories ((Laboratory Exposure
Assessment Program (LEAP)) by an integrated team of highly
qualified professionals using rigorous QA and QC processes and
following professional practices Results of the assessments are
used for QA processes, development, and/or updating chemical
hygiene plans, identifying chemical management improvements,
providing guidance on PPE use, and determining opportunities
for pollution prevention and risk management.
d. responding to requests for specialized technical assistance
support for planned technical requirements, complex situations
unique to a particular facility, and ad hoc assistance in the event
of an emergency.
Helps FMSD conduct design and engineering reviews for new
facilities and existing facility modification to ensure that SHEMP
requirements are being met. QA audits and compliance reviews are
conducted during all phases of project planning, design, and
construction.
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Property Transfer
Reviews
Learning, Information,
and Performance Support
Program Evaluations
Technical and engineering support is necessary for the real property
transfer activities. Helps FMSD conduct environmental due
diligence reviews to determine potential contamination and
associated long-term liabilities
A state-of-the-art multimedia laboratory (the agency's first
reinvention laboratory) which was awarded the Vice President's
Hammer Award is staffed by a multi-disciplinary team of
instructional designers, communication specialists, computer
. systems, and technology professionals The laboratory is a one-
stop-shop for the creation of technology-based Learning,
Information, and Performance Support (LIPS) systems and
program tools used to address the complex challenges facing
SHEMP managers Tools, products and services include
a equipping field offices with multi-media learning and information
centers in order to
(1) deliver technology-based products,
(2) improve productivity, and
(3) trim program delivery costs,
b providing field offices with technology-based tools and an
integrated system for delivering "just-in-time" employee training
and access to technical information explaining mandates and job-
related occupational and environmental risks and hazards
(employee right-to-know),
c creating electronic forms and performance support tools to help
in the implementation of compliance requirements and to
construct compliance plans (e.g., pollution prevention plans,
chemical hygiene plans, etc ),
d. placing SHEMP products, technical manuals, and technical data
bases on CD-ROM with search engines to expand easy-to-use
technical resources; and
e. housing multimedia products on the OA/SHEMD Intranet Home
Page to keep up-to-date material available
A formal process for conducting program evaluations has been
established. The evaluations address regulatory compliance, risk
management, and management system factors, and the review team
uses detailed audit criteria and protocol. The evaluation process
includes:
a. collecting pre-evaluation data through the distribution of a
standardized pre-visit questionnaire, examination of historical
information, and the review of previous audits and corrective
action plans. Before an evaluation is conducted, a review
strategy is developed and appropriate technical resources are
identified;
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SHEMD Partnerships
with other Federal
agencies
b conducting an entrance-briefing to explain the evaluation process
to local management and union officials,
c collecting information and data through interviews, observations
of physical facilities, and document reviews,
d. conducting an out-briefing to explain and discuss preliminary
findings, observations, and recommendations to local
management and union officials,
e providing a written preliminary report of findings, which assigns
them a significance rating, to officials after out-briefing,
f issuing a draft report of findings and observations which is sent
to the Designated SHEMP Official for comment,
g incorporating comments of Designated SHEMP Officials into a
final report, requesting action plans for each outstanding finding,
h. tracking, in an automated management information system, to
monitor corrective actions and to validate requests for B&F
funds;
i conducting follow-up reviews to confirm the status of corrective
actions and offering technical assistance in order to address any
outstanding findings, and
j preparing an annual report to
(1) summarize accomplishments,
(2) analyze compliance vulnerabilities,
(3) document the need for new Guidelines;
(4) justify the need for additional technical information or
learning modules;
(5) set audit follow-up schedules; and
(6) justify additional resources.
Public Health Service - The U.S Public Health Service (PHS) plays
an important role in providing national support services for the
Agency's occupational safety and health program Through a
national interagency agreement with the Division of Occupational
Health, PHS, in the areas of occupational medical support, medical
surveillance program assistance, and specialized technical support,
such as lead in drinking water monitoring, indoor air quality
assessments, or laboratory exposure assessments.
Other Federal Agencies - Partnership agreements are established
with other Federal agencies in order to leverage resources for the
development of technology-based products and to establish cross-
servicing agreements Partnership agreements have been
established with the Federal Aviation Administration (FAA),
Department of Interior (DOI), Department of the Army, Food and
Drug Administration, Occupational Safety and Health
Administration (OSHA), Coast Guard, and several EPA Program
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COMMON
CHARACTERISTICS
AND BEST-
PRACTICES FOR
IMPs
Offices SHEMD is now discussing additional partnership
opportunities with other Federal agencies, state/local governments,
foreign governments, private sector organizations, and professional
societies, in order to leverage resources and transfer technology
Through years of audits and program evaluations, SHEMD has
identified common characteristics and best-practices for SHEMPs
a establishing an organization-wide SHEMP to cover
programmatic matters, and appointing a Designated SHEMP
Official to oversee and monitor performance of SHEMP,
b establishing and issuing a management policy statement to
explain priorities and commitment to SHEMP and defining
performance and accountability measures for managers and
employees;
c formulating, at least annually, strategies and plans of operation
which document injury/illness experiences, results of inspections
and self-assessments, potential vulnerabilities for violations of
mandates and EPA Orders, resource needs, and
accomplishments;
d developing program specifications, techniques, and QA/QC
procedures for the conduct of regular internal inspections,
industrial hygiene surveys, exposure/risk assessments, and self
assessments in regional and program office workplaces,
e maintaining SHEMP management systems, including
injury/illness logs and records for training, medical surveillance,
PPE use, inspection results, chemical inventories, and MSDSs,
f. operating wellness programs;
g. providing (or arranging for through SHEMD) technical
assistance and expert counsel to regional, program, or laboratory
officials to resolve SHEMP-related issues;
h. reviewing engineering plans for construction, renovations, and
abatement projects under $75,000 and helping SHEMD with
projects over $75,000;
i. performing special investigations and studies of fatalities,
injuries, illnesses, losses, and complaints and sensitive
environmental compliance issues;
j. conducting feasibility studies of engineering and administrative
controls for environmental and occupational risks;
k. developing emergency preparedness and chemical hygiene plans;
1. working with SHEMD to arrange for the certification of the
adequacy and use of personal protective equipment and devices;
m. working with SHEMD to arrange for and finance the
documentation of toxic emissions for facilities and transmitting
the documents to state/local authorities,
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n working with SHEMD to arrange for and finance assessments of
employee exposure to chemical, physical, and biological agents
and safety hazards,
o developing applications for facility discharge permits and
monitoring strategies,
p developing aggressive Pollution Prevention Plans which establish
timetables and techniques for reducing the volume and toxicity
of chemicals used and waste generated at EPA facilities,
q working with SHEMD to arrange for and finance the automation
of chemical and hazardous waste inventories in laboratories,
r implementing systems for identifying, classifying, labeling, and
hi ranging for the disposal of hazardous waste,
s working with landlords and facility managers to develop lead
and asbestos O&M plans;
t developing and delivering education and training programs for
management and union officials, supervisors, employees, and
high-risk activities,
u when necessary, developing handbooks and manuals for
managers, supervisors, and employees on SHEMP-related
matters,
v designing special emphasis and promotional programs to
counteract potential or actual risks to and losses of resources
and assets, and
w working with SHEMD to arrange for and finance professional
development and certification programs for SHEMP managers
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Appendix A
SHEMD
Program Authorities and Statutes
Executive Orders
Occupational Safety and Health
• Executive Order 12196, Occupational Safety and Health Programs for Federal Employees.
February 28, 1980, effective October 1, 1980
• Executive Order 13043, Increasing Seat Belt Use in the United States. April 16, 1997
• Executive Order 13058, Protecting Federal Employees and the Public from Exposure to
Tobacco Smoke in the Federal Workplace. August 9, 1997
Environmental Compliance
• Executive Order 11593, Protection and Enhancement of Cultural Environment. May 13, 1971
• Executive Order 11738, Providing for Administration of the Clean Air Act and the Federal
Water Pollution Control Act with Respect to Federal Contracts. Grants, or Loans. September
10, 1973
• Executive Order 11987, Exotic Organisms. May 24, 1977
• Executive Order 11990, Protection of Wetlands. May 24, 1977
• Executive Order 12088, Federal Compliance with Pollution Control Standards. October 13,
1978
• Executive Order 12843, Procurement Requirements and Policies for Federal Agencies for
Ozone-Depleting Substances. April 21, 1993
• Executive Order 12856, Federal Compliance with Right-to-Know Laws and Pollution
Prevention Requirements. August 3, 1993
• Executive Order 12873, Federal Acquisition. Recycling, and Waste Prevention. October 20,
1993
• Executive Order 12902, Energy Efficiency and Water Conservation. March 8, 1994
• Executive Order 12844, Alternative Fuel Vehicles. April 21, 1993
• Executive Order 12845, Purchasing Energy-Efficient Computer Equipment. April 21, 1993
Statutes
Occupational Safety and Health
• Section 19 of the Occupational Safety and Health Act of 1970, PL 91-596, December 29,
1970 - establishes requirements for federal facilities to implement occupational safety and
health programs
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General Environmental
• National Environmental Policy Act, PL 91-190, January 1, 1990 - requires federal facilities to
consider the environmental consequences of intramural and extramural research activities as
well as facility modification and construction
• Environmental Quality Improvement Act of 1970, PL 91-224, April 3, 1970 - establishes a
broad policy mandate to support the enhancement of environmental quality
Air Pollution Control
• Clean Air Act, PL 90-148, as amended, November 21, 1967 - establishes standards for the
protection and enhancement of the Nation's air quality
• National Energy Conservation Policy Act Relating to the Clean Air Act, PL 95-619,
• November 9, 1978 - establishes provisions to promote energy conservation as a means for
reducing fossil fuel emissions to the atmosphere
• Radon Gas and Indoor Air Quality Research Act of 1986, PL 99-499, October 17, 1986
(passed as Title IV of the Superfund Amendments and Reauthorization Act of 1986) -
requires federal facilities to conduct monitoring of federal workplaces for radon
Water Pollution Control
• Federal Waste Pollution Control Act of 1972, as amended by the Clean Water Act of 1977,
PL 92-500, October 18, 1972 - establishes standards to promote the protection and
improvement of water quality within navigable waters of the United States
• Oil Pollution Act of 1990, PL 101-380, August 18, 1990 - amended the Clean Water Act to
incorporate new requirements for double-hulled vessels, facility response plans, and
strengthened liability provisions
• Marine Protection, Research, and Sanctuaries Act of 1972, PL 92-532, October 23, 1972 -
establishes provisions for the protection of the marine environment from pollution
• Coastal Zone Management Act of 1972, PL 92-583, October 27, 1972 - creates management
planning requirements to foster protection of coastal zones
• Wild and Scenic Rivers Act, PL 90-542, October 2, 1986 - establishes provisions to ensure
that wild and scenic rivers are safeguarded against harm from development and water quality
degradation.
• National Ocean Pollution Planning Act, PL 95-273, May 8, 1978 - defines planning provisions
for protection of oceans.
Drinking Water Management
• Safe Drinking Water Act, PL 93-523, December 16, 1974 - creates a detailed framework of
technical standards and monitoring requirements to ensure the quality of drinking water
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Past Disposal Practices
• Comprehensive Environmental Response, Compensation, and Liability Act of 1980, PL 96-
510, as Amended, December 11, 1980 - establishes a national program for the management of
abandoned hazardous waste sites and created the Hazardous Substance Trust Fund
Solid and Hazardous Waste Management
• Resource Conservation and Recovery Act of 1976, PL 94-580, October 31, 1976 - establishes
a comprehensive cradle-to-grave framework for managing hazardous wastes
• Hazardous and Solid Waste Amendments of 1984, PL 98-616, November 8, 1984 - amended
the Resource Conservation and Recovery Act to incorporate provisions for land disposal
restrictions, new technical standards, and incorporated a new regulatory program for
underground storage tanks
• Solid Waste Disposal Act of 1975, Title II of PL 89-272, establishes a comprehensive system
of hazardous waste management
Radioactive Materials Management
• Atomic Energy Act of 1954, PL 83-703 - created requirements for the management of certain
types of radioactive materials.
Toxic Substances
• Toxic Substances Control Act, PL 94-469, October 11, 1976 - establishes life-cycle
management standards for designated toxic substances, including PCBs and asbestos
Pesticides
• Federal Insecticide, Fungicide, and Rodenticide Act, PL 92-516, October 21, 1976 - creates a
comprehensive program for the registration and management of pesticides
Emergency Planning and Community Right-To-Know
• Emergency Planning and Community Right-To-Know Act of 1986, PL 99-499, October 17,
1986 (passed as Title III of the Superfund Amendments and Reauthorization Act of 1986) -
devised notification and chemical inventory reporting requirements to support emergency
planning and community awareness.
Transportation
• Hazardous Materials Transportation Act - contains provisions to safeguard against
environmental, property, and individual risks during the transportation of hazardous materials.
SHEMD Program 01-16
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Safety, Health, and Environmental November 1997
Management Program (SHEMP) Guidelines
Natural Resources Protection
• Endangered Species Act, PL 93-205, December 28, 1973 - establishes a national program for
listing and protecting designated threatened and endangered species
• Noise Control Act, PL 92-574, October 18, 1972 - establishes provisions for limiting noise
pollution
• National Historic Preservation Act of 1966, PL 89-665 - provides a detailed inventory and
consultation process for protecting sensitive historic resources
Regulations
Occupational Safety and Health
• 10 CFR Part 20, Standards for Protection Against Radiation
• 10 CFR Part 820, Procedural Rules for Department of Energy Nuclear Activities
• 10 CFR Part 835, Occupational Radiation Protection
• 29 CFR Part 1910, General Industry Standards
• 29 CFR Part 1926, Construction Standards
• 29 CFR Part 1960, Basic Program Elements for Federal Employee Occupational Safety and
Health Program and Related Matters Service
• 40 CFR Part 311, EPA Worker Protection Rules
General Environmental
• 40 CFR Part 6, EPA National Environmental Policy Act Procedures
• 40 CFR Part 25, EPA Regulations on Public Participation in Programs Under the Resource
Conservation and Recovery Act, the Safe Drinking Water Act, and the Clean Water Act
• 40 CFR Part 124, EPA Decisionmaking (Permitting) Procedures
• 40 CFR Part 311, EPA Worker Protection Rules
• 40 CFR Part 1500, Council of Environmental Quality (CEQ) Policy Regulations
• 40 CFR Part 1501, National Environmental Policy Act and Agency Planning Regulations
• 40 CFR Part 1502, CEQ Regulations on Environmental Impact Statements
• 40 CFR Part 1503, CEQ Commenting Regulations
• 40 CFR Part 1504, CEQ Regulations on Predecision Referrals of Proposed Federal Actions to
be Environmentally Unsatisfactory
• 40 CFR Part 1505, CEQ National Environmental Policy Act and Agency Decisionmaking
Regulations
• 40 CFR Part 1506, CEQ Regulations on National Environmental Policy Act Requirements
• 40 CFR Part 1507, CEQ Agency Compliance Regulations
• 40 CFR Part 1508, CEQ Regulations on Terminology and Index
• 40 CFR Part 1517, CEQ Public Meeting Procedures
SHEMD Program 01-17
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Safety, Health, and Environmental Notember 1997
Management Program (SHEMP) Guidelines
Air Pollution Control
• 40 CFR Part 50, EPA Regulations on National Primary and Secondary Ambient Air Quality
Standards
• 40 CFR Part 51, EPA Regulations on Preparation of State Implementation Plans
• 40 CFR Part 52, EPA Regulations on Approval and Promulgation of Implementation Plans
• 40 CFR Part 53, EPA Regulations on Ambient Air Monitoring Reference and Equivalent
Methods
• 40 CFR Part 58, EPA Ambient Air Quality Surveillance Regulations
• 40 CFR Part 60, EPA Regulations on Standards for Performance of New Stationary Sources
• 40 CFR Part 61, EPA Regulations on National Emission Standards for Hazardous Air
Pollutants
• 40 CFR Part 63, EPA Regulations on National Emission Standards for Hazardous Air
Pollutants for Source Categories
• 40 CFR Part 68, EPA Provisions for Chemical Accident Prevention
• 40 CFR Part 69, EPA Special Exemptions From Requirements of the Clean Air Act
• 40 CFR Part 70, EPA Regulations on State Operating Permit Programs
• 40 CFR Part 72, EPA Regulations on Permits
• 40 CFR Part 75, EPA Regulations on Continuous Emissions Monitoring Systems
• 40 CFR Part 76, EPA Regulations on Acid Rain Nitrogen Oxides Emission Reduction
Program
• 40 CFR Part 79, EPA Regulations on Registration of Fuels and Fuel Additives
• 40 CFR Part 80, EPA Regulations on Fuels and Fuel Additives
• 40 CFR Part 82, EPA Stratospheric Ozone Protection Regulations
• 40 CFR Part 85, EPA Regulations on Control of Air Pollution from Motor Vehicles and
Motor Vehicle Engines
• 40 CFR Part 86, EPA Regulations on Control of Air Pollution from New and In-Use Motor
Vehicles and New and In-Use Motor Vehicle Engines
• 40 CFR Part 87, EPA Regulations on Control of Air Pollution from Aircraft and Aircraft
Engines
• 40 CFR Part 88, EPA Regulations on Clean-Fuel Vehicles
Water Pollution Control
• 33 CFR Part 151, Coast Guard Oil, Noxious Substances, and Municipal or Commercial Waste
Regulations
• 33 CFR Part 153, Coast Guard Control of Pollution by Oil and Hazardous Substances,
Discharge Removal
• 33 CFR Part 154, Coast Guard Regulation for Facilities Transferring Oil or Hazardous
Materials in Bulk
• 33 CFR Part 155, Coast Guard Oil or Hazardous Material Pollution Prevention Regulations
for Vessels
• 33 CFR Part 156, Coast Guard Regulations on Oil and Hazardous Material Transfer
Operations
• 33 CFR Part 159, Coast Guard Regulations on Marine Sanitation Devices
SHEMD Program 01-18
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Safety, Health, and Environmental November 1997
Management Program (SHEMP) Guidelines
• 33 CFR Part 323, Coast Guard Regulations for Dredged Materials
• 40 CFR Part 110, EPA Regulations on Discharge of Oil
• 40 CFR Part 112, EPA Regulations on Oil Pollution Prevention
• 40 CFR Part 113, EPA Regulations on Liability Limits for Small Onshore Oil Storage
Facilities
• 40 CFR Part 114, EPA Interim Rules on Civil Penalties for Violations of Oil Pollution
Prevention Regulations
• 40 CFR Part 116, EPA Regulations on Designation of Hazardous Substances under the
Federal Water Pollution Control Act
• 40 CFR Part 117, EPA Regulations on Determination of Reportable Quantities for Hazardous
Substances
• 40 CFR Part 122, EPA National Pollutant Discharge Elimination System (NPDES) Permit
• 40 CFR Part 125, EPA Criteria and Standards for the National Pollutant Discharge
Elimination System
• 40 CFR Part 129, Toxic Pollutant Effluent Standards
• 40 CFR Part 130, EPA Requirements for Water Quality Planning and Management
• 40 CFR Part 131, Water Quality Standards
• 40 CFR Part 133, EPA Secondary Treatment Regulations
• 40 CFR Part 136, EPA Guidelines Establishing Test Procedures for the Analysis of Pollutants
• 40 CFR Part 140, Marine Sanitation Device Standard
• 40 CFR Part 220, EPA General Ocean Dumping Regulations
• 40 CFR Parts 221 -222, EPA Ocean Dumping Permit Regulations
• 40 CFR Part 225, EPA Dredged Material Permit Regulations
• 40 CFR Part 230, EPA Interim Regulations on Discharge of Dredged or Fill Material into
Navigable Waters
• 40 CFR Part 232, EPA Rule on Activities Exempt from Dredge or Fill (Section 404) Permit
Program Requirements
• 40 CFR Part 401, General Provisions for Effluent Guidelines and Standards
• 40 CFR Part 403, General Pretreatment Regulations for Existing and New Sources of
Pollution
• 40 CFR Parts 405-471, Categorical Industrial Effluent Guidelines and Standards
• 40 CFR Part 503, EPA Standards for the Use or Disposal of Sewage Sludge
Drinking Water Management
• 40 CFR Part 141, EPA National Primary Drinking Water Regulations
• 40 CFR Part 143, EPA National Secondary Drinking Water Regulations
• 40 CFR Part 144, EPA Underground Injection Control Program
• 40 CFR Part 146, EPA Underground Injection Control Program. Criteria and Standards
• 40 CFR Part 148, EPA Hazardous Waste Injection Restrictions
• 40 CFR Part 149, EPA Regulations for Sole Source Aquifers
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Safety, Health, and Environmental No\ember 1997
Management Program (SHEMP) Guidelines
Past Disposal Practices
• 40 CFR Part 300, EPA National Oil and Hazardous Substances Pollution Contingency Plan
under the Comprehensive Environmental Response, Compensation, and Recovery Act
(CERCLA)
• 40 CFR Part 302, EPA Designation, Reportable Quantities, and Notification Requirements for
Hazardous Substances under CERCLA
• 40 CFR Part 303, EPA Regulations Governing Citizen Awards for Information on Criminal
Violations Under Superfund
• 40 CFR Part 304, EPA Arbitration Procedures for Small Superfund Cost Recovery Claims
• 40 CFR Part 307, CERCLA Claims Procedures
• 40 CFR Part 310, EPA Rules for Reimbursing Local Governments for Emergency Response
to Hazardous Substance Releases
• 40 CFR Part 373, Hazardous Substance Reporting Requirements for Selling or Transferring
Federal Real Property
Solid and Hazardous Waste Management
• 40 CFR Part 240, Guidelines for the Thermal Processing of Solid Wastes
• 40 CFR Part 241, Guidelines for Land Disposal of Solid Wastes
• 40 CFR Part 243, Guidelines for Solid Waste Storage and Collection
• 40 CFR Part 244, Guidelines for Beverage Containers
• 40 CFR Part 245, Guidelines for Resource Recovery Facilities
• 40 CFR Part 246, Guidelines for Source Separation and Materials Recovery
• 40 CFR Part 247, Guidelines for Products That Contain Recycled Material
• 40 CFR Part 248, Guidelines for Federal Procurement of Building Insulation Products
Containing Recovered Materials
• 40 CFR Part 249, Guidelines for Federal Procurement of Cement and Concrete Containing
Fly Ash
• 40 CFR Part 250, Guidelines for Federal Procurement of Paper and Paper Products
Containing Recovered Materials
• 40 CFR Part 252, Guidelines for Federal Procurement of Lubricating Oils Containing Re-
Refined Oil
• 40 CFR Part 253, Guidelines for Federal Procurement of Retread Tires
• 40 CFR Part 257, EPA Regulations on Criteria and Classification of Solid Waste Disposal
Facilities and Practices
• 40 CFR Part 258, EPA Criteria for Municipal Solid Waste Landfills
• 40 CFR Part 260, EPA Hazardous Waste Management System. General
• 40 CFR Part 261, EPA Regulations for Identifying Hazardous Waste
• 40 CFR Part 262, EPA Regulations for Hazardous Waste Generators
• 40 CFR Part 263, EPA Regulations for Transporters of Hazardous Waste
• 40 CFR Part 264, EPA Regulations for Owners or Operators of Hazardous Waste Facilities
• 40 CFR Part 265, EPA Interim Status Standards for Owners and Operators of Hazardous
Waste Facilities
• 40 CFR Part 266, EPA Standards for Management of Specific Types of Facilities
SHEMD Program 01-20
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Safety, Health, and Environmental November 1997
Management Program (SHEMP) Guidelines
• 40 CFR Part 268, EPA Regulations on Land Disposal Restrictions
• 40 CFR Part 270, EPA Regulations for Federally Administered Hazardous Waste Permit
Programs
• 40 CFR Part 271, EPA Requirements for Authorization of State Hazardous Programs
• 40 CFR Part 279, EPA Standards for Managing Used Oil
• 40 CFR Part 280, EPA Technical Standards and Corrective Action Requirements for Owners
and Operators of Underground Storage Tanks
Radioactive Materials Management
• 10 CFR Part 19, Notices, Instructions, and Reports to Workers: Inspection and Investigations
• 10 CFR Part 20, Standards for Protection Against Radiation
• 10 CFR Part 21, Reporting of Defects and Noncompliance
• 10 CFR Part 25, Access Authorization for Licensee Personnel
• 10 CFR Part 26, Fitness for Duty Programs
• 10 CFR Part 30, Rules of General Applicability to Domestic Licensing of By-product Material
• 10 CFR Part 31, General Domestic Licensing of Byproduct Material
• 10 CFR Part 33, Specific Domestic Licenses of Broad Scope for By-Product Material
• 10 CFR Part 36, Licenses and Radiation Safety Requirements for Irradiators
• 10 CFR Part 40, Domestic Licensing of Source Material
Toxic Substances
• 40 CFR Part 747, Metalworking Fluids
• 40 CFR Part 749, Water Treatment Chemicals
• 40 CFR Part 761, Polychlorinated Biphenyls (PCBs) Manufacturing, Processing, Distribution
in Commerce, and Use Prohibitions
• 40 CFR Part 762, Fully Halogenated Chlorofluoroalkanes
• 40 CFR Part 763, Asbestos
• 40 CFR Part 766, Dibenzo-Para-Dioxins/Dibenzofurans
Pesticides
• 40 CFR Part 152, Pesticide Registration and Classification Procedures
• 40 CFR Part 155, Registration Standards
• 40 CFR Part 156, Labeling Requirements for Pesticides and Devices
• 40 CFR Part 157, Packaging Requirements for Pesticides and Devices
• 40 CFR Part 158, Data Requirements for Registration
• 40 CFR Part 160, Good Laboratory Practice Standards
• 40 CFR Part 165, Regulations for the Acceptance of Certain Pesticides and Recommended
Procedures for the Disposal and Storage of Pesticides and Pesticides Containers
• 40 CFR Part 166, Exemption of Federal and State Agencies for Use of Pesticides Under
Emergency Conditions
• 40 CFR Part 170, Worker Protection Standard
• 40 CFR Part 172, Experimental Use Permits
SHEMD Program 01-21
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Safety, Health, and Environmental November 1997
Management Program (SHEMP) Guidelines
Emergency Planning and Community Right-To-Know
• 40 CFR Part 355, Regulations for Emergency Planning and Notification
• 40 CFR Part 370, Hazardous Chemical Reporting and Community Right-To-Know
Requirements
• 40 CFR Part 372, Toxic Chemical Release Reporting Regulations
Transportation
• 49 CFR Parts 100-178, Transportation of Hazardous Materials
SHEMD Program 01-22
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Safety, Health, and Environmental November 1997
Management Program (SHEMP) Guidelines
Appendix B
SHEMD Program References
EPA Orders
• EPA Order 1440 1, Safety. Health and Environmental Management Division. 1997
• EPA Order 144j| 2, Health and Safety Requirement for Employees Engaged in Field Activities
• EPA Order 1440 4, Health and Safety Training Requirements for Mine Safety
• EPA Order 1440 6, Occupant Restraint Systems
• EPA Order ypQ£P9, Policy on Smoking in EPA-Occupied Buildings
• EPA Order TOOO 18, Transportation of Hazardous Materials
• EPA Order 3100 1, Uniforms. Protective Clothing and Protective Equipment
• EPA Order 3100 3. Authorization of Performance of Hazardous Duty
• EPA Order 3120 1, Conduct and Discipline
• EPA Order 3140, Training and Development Manual
• EPA Order 3180 1, Federal Employees Compensation Program
• EPA Order 1480 1, EPA Facility Compliance with the Emergency Planning and Community
Right-To-Know Act
DOE Orders
U S Department of Energy (DOE) Order 1324.2A, Records Disposition
DOE Order 5000 3B, Occurrence Reporting and Processing of Operations Information
DOE Order 5480 11, Radiation Protection for Occupational Workers
DOE Order 5480 4, Environmental. Safety, and Health Protection Standards
DOE Order 5480 6, Radiological Controls
DOE Order 5484.1, Environmental. Protection. Safety, and Health Protection Information
Reporting Requirements
GSA Directive
GSA Directive PBS-PQ100.1, Facilities Standards for the Public Building Service
Appendix B 01-23
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Safety, Health and Environmental May 1998
Management Guidelines
Management Systems
Section 2-01
Table of Contents
MGM 2-01 Table of Contents
MGM 2-02 Introduction
Purpose and Scope 2-2
Overview of Safety, Health and Environmental Management Systems 2-2
O\ .rviev/ of ISO 14001 Voluntary Standard for
Environmental Management Systems 2-3
Overview of EPA's Code of Environmental Management Principles (CEMP) 2-4
References 2-6
MGM 2-03 The Role of ES&HMSs at Federal Faculties
Safety, Health and Environmental Management for Federal Agencies 2-9
Importance of EPA Demonstrating Stewardship 2-9
EMS Approach to SHEMP Management 2-9
Agency Approach to Achieve Continuous SHEMP Improvement 2-12
EMS and CEMP Relevance to the SHEM Guidelines 2-12
Exhibits
1 CEMP Principles 2-5
2 How Various Functions Can Support Your EMS 2-11
3 EMS and CEMP Relevance to the SHEMP Guidelines 2-14
Table of Contents 2-1
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Safety, Health and Environmental
Management Guidelines
May 1998
PURPOSE AND
SCOPE
OVERVIEW OF
SAFETY. HEALTH
AND
ENVIRONMENTAL
MANAGEMENT
SYSTEMS
Management Systems
Section 2-02
Introduction
This Safety, Health, and Environmental Management Guidelines
(SHEMG) chapter provides an introduction to Environmental
management systems (EMSs), as well as the environmental
Protection Agency's (EPA's) Code of Environmental Management
Principles (CEMP). Additionally, it describes the increasingly
important role of EMSs at federal facilities.
Although the management systems discussed in this chapter
primarily are derived from environmentally focused standards, the
systems and principles discussed throughout this chapter also are
applicable to managing the Agency's occupational safety and health
(OSH) program. In fact, regulators have begun to incorporate
management system concepts into regulatory programs to promote
performance-based compliance approaches (e.g., the Occupational
Safety and Health Administration's (OSHA's) Process Safety
Management Standard). Accordingly, this chapter presents an
integrated discussion of environmental, safety, and health
management systems (ES&HMSs) and their relevance to EPA's
Safety, Health and Environmental Management Division Program
(SHEMP).
There are many ways of describing management systems. Typically
the different management system models are alternate ways of
trying to explain ES&HMS concepts. The Agency believes that
ES&HMSs are essential for directing EPA operations toward
achieving desired safety, health, and environmental management
performance on a sustained basis. An EMS provides order and
consistency for organizations to address environmental concerns by
allocating resources, assigning responsibilities, and performing
ongoing evaluations of practices, procedures, and processes. The
EMS is best viewed as an organizing framework that should be
continually monitored and periodically reviewed to provide
effective direction for an organization's environmental activities.
This framework ensures that safety, health, and environmental
programs can be adjusted to reflect changing internal and external
requirements.
Every individual in an organization is responsible for ES&H
improvements to foster peak and sustained compliance. ES&HMSs
include both formal and informal actions and typically comprise
four basic management functions: (1) planning,
Introduction
2-2
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Safety, Health and Environmental
Management Guidelines
May 1998
Management Systems
OVERVIEW OF ISO
14001 VOLUNTARY
STANDARD FOR
ENVIRONMENTAL
MANAGEMENT
SYSTEMS
(2) implementing, (3)checking/corrective action (monitoring), and
(4) continuous improvement. Whereas the planning function
establishes the overall direction for an organization or agency, the
implementation function creates the basis for effectively directing
and coordinating resources toward achieving SHEMP objectives.
Critical at the facility level, the monitoring function determines the
organization's ES&H implementation results, while the continuous
function keeps the organization on track relative to its SHEMP
goals and objectives.
Most importantly for SHEMP Managers, is the concept that
ES&HMSs provide a framework for managing operations and
compliance requirements, including compliance with relevant
regulatory requirements. ES&HMSs can also help SHEMP
Managers identify opportunities for improving their performance
beyond compliance and to make greater use of pollution prevention
practices. Pollution prevention is a key tool for managing
compliance issues and achieving environmental excellence. For
detailed implementation guidance on this topic, SHEMP Managers
should refer to a document developed by EPA's Office of Water,
entitled, Environmental Management Systems - An Implementation
Guide For Small and Medium-Sized Organizations (EPA 832-B-
96-007, November 1996). This guide is intended to support and
facilitate the development of EMS's and is broadly applicable to
implementation of EMSs for larger organizations.
The International Organization for Standardization (ISO) 14001
Voluntary Standard for Environmental Management Systems was
published in September 1996, and is a widely accepted official
national standard for EMSs. Presently organizations around the
world are putting EMSs in place based on ISO 14001 and preparing
for third-party certification by outside auditors. The ISO 14001
Standard supports environmental compliance through its
requirements for organizations to:
• Develop an environmental policy with a commitment to
compliance
• Set management objectives and targets that are in line with its
environmental policy
• Have a procedure for identifying and having access to
environmental laws and regulations
Introduction
2-3
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Safety, Health and Environmental
Management Guidelines
May 1998
OVERVIEW OF
EPA's CODE OF
ENVIRONMENTAL
MANAGEMENT
PRINCIPLES
(CEMP^
Management Systems
• Establish operational control, communication, and
documentation procedures
• Establish procedures for emergency preparedness and response
• Checking/corrective action (i.e., monitoring and measurement)
• Establish a procedure for periodically evaluating compliance
• Continuous improvement.
An EMS based on the ISO 14001 Standard can complement and
improve an organization's compliance management and help the
organization meet objectives and targets that go beyond compliance
in a cost-effective manner. Additional ISO 14000 standards
address: environmental performance evaluations, environmental
auditing, life cycle assessment, and environmental labeling.
The Code of Environmental Management Principles for Federal
Agencies, developed by EPA in response to Executive Order
12856, Federal Compliance with Right-to-Knaw Laws ami
Pollution Prevention Requirements, is a collection of five broad
principles and underlying performance objectives that provide a
basis for federal agencies and SHEMP Managers to move toward
responsible environmental management. The principles and
supporting performance objectives, shown in Exhibit 1 on the next
page, are meant to serve as guideposts for organizations intending
to implement environmental management programs or improve
existing programs. It is expected that each of the five principles
and supporting performance objectives will receive careful review
by SHEMP Manager for incorporation into SHEMPs. The degree
to which each is emphasized will depend largely on the specific
activities of the implementing organization. An initial review of the
existing programs will help an organization determine where it
stands and how best to proceed. Adherence to the five principles
will help ensure environmental performance that is proactive, cost-
effective, integrated, and sustainable.
Introduction
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Safety, Health and Environmental
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May 1998
Management Systems
Exhibit 1.
CEMP Principles
Principle and Statement of Expectation
Supporting Performance Objectives
1. Management Commitment
The agency makes a written top-management
commitment to unproved environmental performance
by establishing policies that emphasize pollution
prevention and the need to ensure compliance with
environmental requirements.
• A T/svcy communicates its policy externally, to
regulatory authorities and other stakeholders
• Agency decisions consider environmental criteria
when appropriate; program throughly integrated
• All agency decisions include appropriate
environmental criteria to minimize impact
2. Compliance Assurance and Pollution Prevention
The agency implements proactive programs that
aggressively identify and address potential compliance
problem areas and utilize pollution prevention
approaches to correct deficiencies and improve
environmental performance.
• Full agency compliance is sustainable; contractors
are included within the compliance program
• All agency personnel are trained in emergency
response procedures
• Program maintained throughout the agency;
significant reductions in waste achieved
3. Enabling Systems
The agency develops and implements the necessary
measures to enable personnel to perform their
functions consistent with regulatory requirements,
agency environmental policies, and its overall
missioa
100% of agency is fully trained, refresher training
is provided, computer-based and distance learning
are employed, and programs are continually
evaluated
Procedures are fully implemented and reviewed
periodically
Agency maintains effective communications,
applies environmental information to decision-
making, and maintain^ thorough records
4. Performance and Accountability
The agency develops measures to address employee
environmental performance, and to ensure full
accountability of environmental functions.
Assignment of environmental responsibilities is
reviewed periodically in light of performance
Agency develops a program to recognize and
reward personnel that cany out environmental
responsibilities with disciplinary systems in place
5. Measurement and Improvement
The agency develops and implements a program
toward meeting its environmental goals and uses the
results to improve environmental performance.
• Data-gathering is a continuous process; gaps in
performance are identified and analyses conducted
to identify root causes
• Agency maintains ongoing hgnelnnariring cycles;
agency becomes a target for benchmarking by
others
• Agency shows significant improvement in
addressing substandard performance situations and
aggressively seeks to compare its performance to
others
In developing the CEMP, EPA examined a number of
Introduction
2-5
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Safety, Health and Environmental
Management Guidelines
May 1998
REFERENCES
Management Systems
environmental management systems standards to identify common
elements and areas that needed to be addressed. The CEMP
reflects its EMS origin in its structure and format; however, it is
not a technical management specification standard like ISO 14001.
Rather than focus on strict evaluations of conformance, EPA
developed the principles to emphasize the aspects of improved
management (leading to enhanced performance) and continuous
improvement. The CEMP also differs from most EMS standards in
its emphasis on regulatory compliance and its target of federal
agencies.
EPA is seeking endorsement of the CEMP on an agency-wide basis,
with flexibility as to how the Principles themselves are implemented
at the facility level. For example, facilities can use the ISO 14001
Environmental Management Standard or some alternative
environmental management system to achieve the CEMP
performance objectives. This flexible approach recognizes that
individual federal facilities and installations may already have EMSs
in place or are considering adoption of the ISO 14001
Environmental Management Standard. SHEMP realizes that there
is a logical but not strictly structured progression of activities in the
growth of a EMS-based program. Therefore, SHEMP Managers
are encouraged to adapt the principles to their existing programs.
While some of the above CEMP performance objectives are clear,
others are more subjective (i.e., open to interpretation). For more
detailed CEMP implementation guidance, SHEMP Managers
should review EPA's document entitled, Implementation Guide for
the Code of Environmental Principles for Federal Agencies, EPA-
315-B-97-001, March 1997.
These references provide additional information on EMSs and
EPA's CEMP.
• Implementation Guide for the Code of Environmental
Management Principles for Federal Agencies (CEMP) (Report
Number - EPA-315-B-97-001, March 1997)
• Environmental Management System Benchmark Report: A
Review of Federal Agencies and Selected Private Corporations
(Report Number - EPA-300R-94-009, December 1994)
• NSF International Standard for Environmental Management
Systems-Guiding Principles and Generic Requirements for
Environmental Management Systems. (NSF 110-1994)
Introduction
2-6
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Safety, Health and Environmental May 1998
Management Guidelines
Management Systems
• Managing in the Environmental Era: Lessons from
Environmental Leaders, Booz, Allen & Hamilton Inc.,
(Columbia Journal of World Business, Vol XXVn, Nos. m and
IV, 1992)
• Environmental Management Systems: An Implementation Guide
for Small and Medium-sized Organizations (Report Number -
EPA 832-B-96-007, November 1996)
• Code of Environmental Management Principles (61 Federal
Register 54062; October 1996)
• ISO 14001 Environmental Management System - Specification
with Guidance for Use (including March 1996 changes)
• ISO 14001 Environmental Management System - General
Guidelines on Principles, Systems and Supporting Techniques
(including March 1996 changes)
• Occupational Health and Safety Management Systems,
American Industrial Hygiene Association (1997)
• Guidance for Incorporating the Code of Environmental
Management Principles in Office Functions at Federal Agencies
(Draft), 1997
Introduction 2-7
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Safety, Health and Environmental
Management Guidelines
May 1998
Manaeement Systems
ENVIRONMENTAL
MANAGEMENT
FOR:
AGENCIES
IMPORTANCE OF
DEMONSTRATING
STEWARDSHIP
Section 2-03
The Role of ES&HMSs at Federal Facilities
SAFETY. HEALTH Over the years, Presidents have issued a series of executive orders
which extend certain safety, health, and environmental protections
to federal employees, workplaces, and activities. These protections
are provided under various federal laws and regulations.
Historically, some of these regulations applied to elements of the
private sector, but they were not applicable within the federal
sector. The President directed heads of federal departments and
agencies to establish SHEMPs which ensure that federal employees
are provided with safe and healthful workplaces and working
conditions, and that federal activities comply with applicable
federal, state, and local ES&H mandates.
EPA's safety, health and environmental management programs are
at a critical transition point The Agency has set a goal of moving
these programs from reactive compliance-orientated activities to a
more proactive, risk-management focus. Like its counterparts in
industry and other government agencies, EPA must develop the
policies, programs, and procedures to achieve these SHEMP goals.
The Agency faces a challenge, however, that none of its industry
and government counterparts face. As a regulatory enforcement
Agency, EPA's compliance with its own regulations must be
beyond reproach. Executive Order 12088 makes the Agency
responsible for providing technical assistance and guidance to all
federal agencies to help them comply with environmental
regulations and statutes.
SHEMP Managers are challenged with the responsibility for
integrating the broad spectrum of statutes, executive orders, rules,
regulations, nationally recognized consensus standards, and relevant
standards of care into one comprehensive regional, program office,
and/or laboratory and field-based SHEMP. Therefore, a SHEMP
founded on strong ES&HMS principles and standards provides
confidence that:
• A management effort exists to meet the provisions of its policy
and objectives
• Emphasis is placed on prevention rather than corrective action
• Evidence of reasonable care and regulatory compliance can be
provided
EMS APPROACH
TO SHEMP
MANAGEMENT
The Role of ES&HMSs at Federal Facilities
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Safety, Health and Environmental May 1998
Management Guidelines
. Management Systems
• The systems design incorporates the process of continual
improvement.
In addition, SHEMP Managers should seek to exploit the links
between safety, health, and environmental management and other
aspects of the organization. Exhibit 2, below, identifies how
various operational functions can support the Agency's ES&HMS.
Achieving effective integration of EMSs with other support
functions is an ongoing and interactive process.
The Role of ES&HMSs at Federal Facilities 2-10
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Safety, Health and Environmental
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Management Systems
Exhibit 2.
How Various Functions Can Support Your EMS
Functions
How They Can Help (Possible Roles)
1 Top Management
Communicate imp >itance of ES&HMSs throughout
organisation
Provide necessary resources
Track and review ES&HMS performance
2. Purchasing
Develop and implement controls for chemical and
other material purchases
Integrate pollution prevention and overall
acquisition maoagemenet
Establish processes for affirmative procurement
Comply with common requirements of executive
orders
3. Human Resources
Define competency requirements and job
descriptions for various ES&HMS roles
Develop and implement training and awareness
programs
Integrate environmental management reward,
discipline, and appraisal systems
4. Maintenance
Implement preventive maintenance programs for
key equipment to ensure proper operations and risk
avoidance
5. Finance
Track data on ES&H management costs
Prepare budgets for ES&H management programs
Evaluate economic feasibility of environmental
project
6. Engineering
Consider ES&H impacts of new or modified
processes
Identify pollution prevention opportunities
7. Line Workers
Provide first-hand knowledge of ES&H aspects of
their operations
Participate in orientation and continuing training
activities
The Role of ES&HMSs at Federal Facilities
2-11
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Safety, Health and Environmental
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Management Systems
AGENCY
APPROACH TO
CONTINUOUS
IMPROVEMENT
EMS ANDCEMP
RELEVANCE TO
THE SHEM
GUIDELINES
The Agency has implemented an approach toward continuous
SHEMP improvement that includes preventive and corrective
actions, as well as exploring new opportunities for programmatic
improvements. ES&HMS provide a structured process for the
achievement of continual feedback and refinement. However, the
establishment and operation of an ES&HMS will not in itself,
necessarily result in an immediate reduction of adverse impacts.
Although some improvement can be expected due to the adoption
of a systematic approach, the ES&HMS is primarily a tool which
enables the organization to achieve and systematically develop the
level of ES&H performance that it sets for itself.
Continuous improvement is achieved by continually evaluating the
performance of the ES&HMS against environmental, safety and
health policies, objectives, and goals for the purpose of identifying
opportunities for advancement. This continual improvement
process should:
• Identify opportunities for improving the ES&HMS
• Determine the root cause or causes of nonconformance or
deficiencies
• Develop and implement a plan of corrective and preventive
action to address root causes
• Verify the effectiveness of the corrective and preventive actions
• Document any changes in procedures resulting from process
improvement
• Make comparisons with goals and objectives.
In summary, continuous improvement may be demonstrated
through the use of lessons learned and employee involvement
programs that provide the opportunity to learn from past
performance and incorporate constructive suggestions.
The Safety, Health, and Environmental Management Guidelines
were designed to provide EPA facilities with practical
implementation guidance and tools to assist SHEMP Managers in
effectively executing their program responsibilities. The SHEMG
provides descriptive information on regulatory requirements,
guidance, recommended procedures, and management tools to
The Role of ES&HMSs at Federal Facilities
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Safety, Health and Environmental May 1998
Management Guidelines
Management Systems
assist EPA facilities in complying with applicable safety, health, and
environmental standards in mitigating risks to human health and
environmental quality. Through the establishment of the SHEMG,
EPA has addressed a number of key performance objectives for
EMSs that are contained in both ISO 14001 and EPA's CEMP. As
illustrated in Exhibit 3, below, there is a strong
connection between ISO and CEMP in the "Implementation" and
"Enabling Systems" areas. When viewed against the objectives and
focus of EPA's SHEMG, it is evident that the guidelines provide an
important ES&HMS that aligns the SHEMP with EMS principles.
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Safety, Health and Environmc
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ital
May 1998
Management Systems
Exhibit 3.
EMS and CEMF Relevance to the SHEMP Guidelines
EMS Principles and Selected Performance Objectives
Safety, Health and Environmental Management
Guidelines Objectives and Focus
CEMP - Principle 3, Enabling Systems
The agency develops and implements the necessary
measures to eimhle personnel to perform their
functions consistent with regulatory requirements,
agency environmental policies, and its overall
missioa
• Clear procedures, standards, systems, programs.
and short- and long-term objectives in place
• A streamlined set of procedures.
systems, programs, and goals describe
organization's commitment to responsible
environmental management
ISO 14001 Principle 3, Implementation
For effective implementation, an organization should
develop the capabilities and support mechanisms
necessary to achieve its environmental policy,
objectives and targets.
• Operational pmresses and procedures should be
defined and appropriately documented fl*v1 undated
as necessary
• The existence of EMS documentation supports
employee awareness of what is required to achieve
organizations' environmental obiectives
Example SHEMG - Chapter 23, "Chemical Handling
and Storage Program"
Document Intent; The intent of this guideline is to
outline specific procedures and reoi|'remcnts. as well
as requirements of relevant, existing Agency policies
by reference.
Guideline Focus:
• Purpose and Scope
• Authorities - sources of legal authority, including
laws and regulations
• References - documents and other sources of
information to assist in implementation
• Program Administration and Responsibilities
• Program Requirements
• implementation Activities
• Program Evaluation
• Appendices
The Role of ES&HMSs at Federal Faculties
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SAFETY, HEALTH, AND
ENVIRONMENTAL MANAGEMENT
PROGRAM GUIDE
Guide No. O */
Issued 0&I98
Revised
NATIONAL ENVIRONMENTAL POLICY ACT (NEPA) PROGRAM
SCOPE OF THE PROGRAM
This Program Guide provides an overview of the
requirements EPA facilities must fulfill to
comply with the regulations, guidance, and
procedures associated with the National
Environmental Policy Act (NEPA) of 1969.
NEPA established national environmental policy
and goals for the protection, maintenance, and
enhancement of the environment and requires
all federal agencies to evaluate the potential
environmental impacts from major federal
actions and to follow a procedural decision-
making process that includes public input. The
NEPA evaluation process must be undertaken by
all federal agencies when executing major
actions with potential environmental impacts.
Major federal actions include promulgating
regulations, issuing permits, or building or
modifying a federal facility. Specific examples
of EPA actions that require NEPA involvement
include designing and constructing new
facilities, engaging in major new research
projects involving highly toxic substances, or
performing bioengineering studies with
potential to introduce genetically engineered
microbes into sensitive habitats. The level of
NEPA analysis and review is commensurate
with the project complexity and impact
potential, ranging from categorical exclusions
(CX's), where no impacts are anticipated,
through environmental assessments (EAS) and
environmental impact statements (EISs), where
significant environmental consequences are
possible.
REGULATORY REQUIREMENTS
The key or basic elements of the NEPA Program
required by law and/or EPA policy are to:
Determine the appropriate level of NEPA
review for a given project
Define the significant issues to be analyzed
through information gathering and the
public participation process
Evaluate project alternatives, including the
proposed action and possible mitigation
measures to determine whether or not
potential environmental impacts are
significant
AUTHORITIES
The following documents are the sources of the
legal authority that establish the applicability
and requirements of this program.
• 42 United States Code (USC) 4321, which
also established the President's Council on
Environmental Quality (CEQ)
• Title 40 Code of Federal Regulations
(CFR), Parts 1500-1517 (CEQ NEPA
regulations)
• Title 40 CFR Part 6 (EPA NEPA
regulations)
• EPA Safety, Health, and Environmental
Management Guidelines
• EPA Facility Safety, Health, and
Environmental Management Manual
REFERENCES
The first five documents listed below can help
-------
you implement the NEPA program and
specifically are intended for design and
construction activities. The last document, and
other outside sources of information, also will
assist you in implementing NEPA.
EPA, Architecture, Engineering, and Real
Estate Branch (AEREB), The NEPA
Review Procedures for EPA Facilities
• EPA, AEREB, Understanding the National
Environmental Policy Act: A Self-Study
Training Booklet
EPA, AEREB, The NEPA General
Information Pamphlet
• EPA, AEREB, The NEPA General
Information. Regulatory Cross-Cutters, and
Project Level Compliance Worksheet
Booklet
• EPA, AEREB, The NEPA Categorical
Exclusion. Environmental Assessment, and
Finding of No Significant Impact
Preparation Assistance Booklet.
IMPLEMENTATION ACTIVITIES
The following list gives an overview of the
activities that this program will require. To
implement and operate this program, you must:
Identify and document construction and
research projects eligible for a CX under
EPA NEPA regulations
Integrate NEPA review activities into
Agency project planning activities
For construction and research projects,
ensure that potential environmental impacts
and mitigation alternatives are
systematically identified during project
planning
Provide technical direction and input to
support the preparation of EISs for r.ajor
construction and research actions
undertaken to support the Agency's mission
Participate in Agency-sponsored training
forums and reviewing other training
materials
Maintain an archive of NEPA-related
information that can be made available for
public review.
IMPLEMENTATION IMPLICATIONS
The management systems and internal controls
required to implement this program include:
• A system to track construction and research
projects during planning phases that may be
subject to NEPA environmental review
requirements
• Procedures to ensure that CX's, EAs, and
EISs are prepared correctly in response to
initiating major EPA-sponsored actions
Verification processes to ensure NEPA
reviews are performed in accordance with
Agency policy and guidance, including
required checklists and forms.
A centralized NEPA documentation archive
• NEPA training to promote and ensure staff
awareness and educate staff on specific
implementation procedures.
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Section 04-01
Table of Contents
NEP 04-01 Table of Contents
NEP 04-02 Introduction
Purpose 04-3
Authority 04-4
Responsible Officers 04-4
References 04-5
NEP 04-03 Overview of the NEPA Process
Introduction 04-7
Preparing the Appropriate NEPA Documentation 04-7
Tier 1: Categorical Exclusion 04-7
Tier 2: Environmental Assessment 04-10
Tier 3: Environmental Impact Statement 04-14
NEP 04-04 NEPA Implementation
Introduction 04-19
Facility Construction Projects 04-19
Regional Environmental Services 04-19
Program Offices 04-20
Incorporating NEPA in Project Planning 04-20
Project-Level Compliance 04-23
EXHIBITS
Exhibit 1 Overview of the NEPA Process 04-8
Exhibit 2 Project Planning Flowchart for a Categorical Exclusion 04-9
Exhibit 3 Categorical Exclusion Overview 04-9
Exhibit 4 Environmental Assessment Overview 04-10
Exhibit 5 Project Planning Flowchart for Environmental Assessments 04-12
Exhibit 6 Finding of No Significant Impact Overview 04-13
Exhibit 7 Environmental Impact Statement Overview 04-15
Exhibit 8 Public Participation During the EIS Process 04-16
Exhibit 9 Record of Decision Overview 04-17
Exhibit 10 Project Planning Flowchart for Environmental Impact Statements 04-18
Exhibit 11 Timelines for a CX, EA, and EIS 04-21
Exhibit 12 Summary of Regulatory Requirements for NEPA Documentation 04-22
Table of Contents 04-1
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APPENDICES
Appendix A List of Acronyms and Glossary
Appendix B NEPA Review Form for Facility Alteration or Construction Project
(EPA Form 3300-16 (5-92))
Appendix C ORD Procedures Worksheet
Appendix D Overview of Environmental Cross-Cutting Environmental Legislation and
Executive Orders Applicable to NEPA
Appendix E NEPA Coordinators or NEPA Compliance Officers
Appendix F Project-Level Compliance Worksheet
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Section 04-02
Introduction
PURPOSE
The National Environmental Policy Act (NEPA) is a general statute
that was signed into law on January 1, 1970. NEPA establishes
national environmental policy and goals for the protection,
maintenance, and enhancement of the environment. The enactment
of NEPA triggered the beginning of an era of environmental
legislation and land use regulation, as NEPA was the first federal
legislation to promote environmental values and consideration into
the federal administrative decisionmaking process.
The requirements of NEPA are essentially procedural in nature.
The NEPA evaluation process must be undertaken by all federal
agencies when executing major actions with potential
environmental impacts. Major federal actions include promulgating
regulations, issuing permits, or building or modifying a federal
facility. Specific examples of EPA actions which require NEPA
involvement include designing and constructing new facilities,
rehabilitating an existing facility, engaging in major new research
projects involving highly toxic substances, or performing
bioengineering studies with potential to introduce genetically
engineered microbes into sensitive habitats. This chapter of the
Safety, Health and Environmental Management (SHEM) Guidelines
provides descriptive information, guidance, recommended
procedures, and management tools to assist Environmental
Protection Agency (EPA) facilities in complying with NEPA and to
prevent negative environmental impacts resulting from major
facility actions.
NEPA requires federal agencies to use a multidisciplinary process
to provide environmental impact information to federal, state, local,
and Indian Tribal officials as well as citizens before making
decisions on major federal actions that may significantly affect the
environment. Federal agencies are required to obtain public input
and to study, develop, and describe impacts, alternatives, and
mitigation measures on decisions that may impact the environment.
The NEPA process is all-inclusive, incorporating socioeconomic,
historic, and a broad spectrum of environmental values into its
review criteria. For EPA and other federal agencies, the NEPA
process should be an integral part of the business and project
planning process.
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AUTHORITY
The authority of the NEPA statute, 42 United States Code (USC)
4321, also established the President's Council on Environmental
Quality (CEQ), which reviews and appraises federal government
activities to ensure compliance with the NEPA statute and
implementing regulations. The CEQ promulgated regulations to
implement NEPA in Title 40 Code of Federal Regulations (CFR),
Parts 1500-1517. NEPA requires all federal agencies to evaluate
the consequences of major federal actions associated with the
implementation of agency activities. In addition, all federal
agencies are encouraged to develop their own implementing
regulations. EPA's NEPA regulations are located at 40 CFR Part
6.
RESPONSIBLE
OFFICERS
If a project at an EPA facility is considered to be a major federal
action, a responsible official will be assigned to the project to
ensure that NEPA procedures are appropriately executed. If the
design and construction funding is managed by EPA's Architecture,
Engineering, and Real Estate Branch (AEREB), the chief of
AEREB will be the responsible official. If the funding is received
and managed by one of EPA's regional offices, the Regional
Administrator (RA) will be the responsible official. If the funding is
received and managed by one of EPA's program offices, the
Assistant Administrator (AA) or another individual at that program
office is the responsible official. When the Office of Administration
and Resources Management (OARM), Research Triangle Park
(RTF), or Cincinnati is responsible for design and construction
funding, the director of the respective organization is the
responsible official. Where the EPA is working with the General
Services Administration (GSA) to construct new space, the GSA is
the lead agency and will prepare the environmental documentation
with the cooperation of EPA.
EPA's NEPA responsibilities will be effectively executed by the
responsible official by following these procedures, which are
discussed more fully later in this chapter:
1. Determining the appropriate level of NEPA review for a project
2. Defining the significant issues to be analyzed through
information gathering and the public participation process
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3. Evaluating project alternatives, including the proposed action
and possible mitigation measures, to determine whether
potential environmental impacts are significant or not significant
4. Developing documentation to assist the public and decision-
makers in evaluating the proposed action and alternatives.
The Safety, Health and Environmental Management Program
(SHEMP) Manager should assist the responsible official for the
proposed action by providing technical input, regulatory guidance,
and documentation of current facility environmental program
activities to facilitate the NEPA review process. The SHEMP
Manager should also ensure that NEPA documentation (or copies
of originals) developed during environmental review procedures
conducted pursuant to NEPA are maintained in the facility's
permanent environmental records file. This information should be
managed to allow for ease of access and review in the event of a
public inquiry.
REFERENCES
Statutory and regulatory references that establish NEPA
requirements include:
5. National Environmental Policy Act of 1969, 42 USC 4321
6. CEQ NEPA regulations, 40 CFR Parts 1500-1517
7. EPA NEPA regulations, 40 CFR Part 6.
In addition, AEREB has developed materials to assist in the
implementation of NEPA, specifically geared for design and
construction activities. These materials, which can be obtained by
contacting AEREB at 202-260-2160, include.
8. The NEPA Review Procedures for EPA Facilities, an easy-to-
use comprehensive guide that presents the requirements of EPA
NEPA regulations, located at 40 CFR Part 6, as well as specific
EPA implementation procedures. It also contains NEPA review
procedures to assist the EPA project managers in integrating
NEPA into facility management priorities
9. Understanding the National Environmental Policy Act: A Self-
Study Training Booklet, which provides training on
understanding and implementing the NEPA process and
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Safety, Health, and Environmental May 1998
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National Environmental Policy Act
includes information on completing the NEPA Review Form for
Facility Alteration or Construction Project (EPA Form 3300-
16)
10. The NEPA General Information Pamphlet, which provides
a overview on the NEPA process and general background
information
11. The NEPA General Information, Regulatory Cross-Cutters,
and Project Level Compliance Worksheet Booklet, which
summarizes related legislation and provides a compliance
worksheet to assist in preparing NEPA documentation
12. The NEPA Categorical Exclusion, Environmental
Assessment, and Finding of No Significant Impact
Preparation Assistance Booklet, which provides a broad
overview of the NEPA process and copies of the NEPA
Review Form for Facility Alteration or Construction Project
(EPA Form 3300-16) and assists in correctly completing
NEPA documentation.
A list of acronyms and a glossary are provided as Appendix A to
assist in understanding the terminology used in this chapter.
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Section 04-03
Overview of the NEPA Process
INTRODUCTION
This section of the NEPA SHEM Guidelines explains the three tiers
of the NEPA review process and the methodology associated with
determining what documentation is appropriate. Several
documents are referenced for additional information.
PREPARING THE
APPROPRIATE NEPA
DOCUMENTATION
EPA and other federal agencies follow a three-tiered procedural
review process when an action that could affect the environmental
is proposed. Exhibit 1 on the next page depicts an overview of the
NEPA process. The three tiers of NEPA review are the categorical
exclusion (CX), environmental assessment (EA), and environmental
impact statement (EIS). Each tier has documentation associated
with it, which will be prepared depending on the environmental
impacts of a proposed action. The NEPA review process should
begin concurrently with an action's planning and conceptualization
stages to promote proactive environmental compliance and
resource efficiency.
TIER 1:
CATEGORICAL
EXCLUSION
A categorical exclusion, the first tier in the NEPA process, is a type
of action that does not significantly impact the environment.
Actions eligible for a CX have minimal or no effect on
environmental quality and pose no significant change to the existing
environment. Examples of actions qualifying for a CX are minor
rehabilitations to an existing structure or functional replacement of
equipment. Actions that qualify for a CX usually do not cause
public controversy and are cost effective.
The responsible official should determine whether the action
qualifies for a CX as described in 40 CFR 6.107. If the action is a
facility alteration or construction project, the form provided in
Appendix B can be used to determine whether a CX is appropriate
and also can serve as required documentation for a CX in the
project file. The documentation associated with a CX is typically a
one-page form or report explaining why the proposed action will
not have a major impact on the environment. CXs do not have to
be published for public review or comment, but they may be
obtained through a Freedom of Information Act (FOIA) request.
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Exhibit 1.
Overview of the NEPA Process
Tier 1 Analysis
Categorical
Exclusion
(CX)
Tier 2 Analysis
Environmental
Assessment
(EA)
Tier 3 Analysis
Environmental
Impact Statement
(EIS)
Record of Decision
(ROD)
Proposed Action
Is action
eligible lor •
categorical delusion
In accordance with
40 CFR §4.107
H»lh>
•ponslbU Ollle
tor Iho action •pprovad
lit disposition is •
cstogorlcal
•IClUftlOII?
Ensure that the
documentation
In 40 CFR §6.107
is prepared
Is the action
likely to have
significant
environmental
impacts?
Perform an EA for the
proposed action
Issue FNSI for the
action
Prepare and publish
Notice of Intent
Conduct scoping
Initiate selected action
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Guidance: Documentation (or copies of originals) developed
during the environmental review process conducted pursuant to
NEPA should be maintained in the facility's permanent
environmental records file. Such information should be
maintained to allow for ease of access and review in the event of a
public inquiry.
Exhibit 2, Project Planning Flowchart for a Categorical Exclusion,
depicts the planning process for an action eligible for a CX.
Exhibit 2.
Project Planning Flowchart for a Categorical Exclusion
EPA initiates
preparation of
documentation
for categorical
exclusion
Responsible
Official reviews
categorical
exclusion
application
•>
Responsible
Official issues
categorical
exclusion
determination
•>
Proceed with
selected
action if
categorical
exclusion Is
upheld
Exhibit 3 gives an overview of the purpose, scope, and contents of
a CX. For more information on completing a CX, refer to the
NEPA Categorical Exclusion, Environmental Assessment, and
Finding of No Significant Impact Preparation Assistance Booklet.
Exhibit 3.
Categorical Exclusion Overview
Purpose
Scope
Content
Public
Participation
Typical
Number of
Pages
Determines potential impacts of proposed
action.
Reviews criteria to determine whether the
project qualifies for a CX.
Provides a checklist to determine
reasonableness of a CX.
Project-specific CXs are available for public
review or comment. They may be obtained
through a FOIA request.
Usually a one page form or report.
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TIER 2:
ENVIRONMENTAL
ASSESSMENT
If an action does not qualify for a CX, tiers 2 and 3 of the NEPA
review process must be addressed. An EA should be prepared if it
is uncertain whether a proposed action will have a major impact on
the environment. An EA is a concise document that provides data
to determine whether environmental impacts resulting from the
proposed action are significant enough to warrant the preparation
of an EIS. An overview of the EA is provided as Exhibit 4.
Exhibit 4.
Environmental Assessment Overview
Purpose
Scope
Content
Public
Participation
Typical
Number of
Pages
Summarizes the environmental impacts to
determine needs for
13. Further study
14. Mitigation measures.
Reviews all environmental impacts (e.g., natural
and human impacts).
Describes and identifies:
IS. Purpose and need for the proposed action
16. Proposed action
17. Alternatives considered (including the no
action alternative)
18. Affected environment (baseline
conditions)
19. Environmental consequences of the
proposed action and alternatives
20. List of preparers and agencies consulted.
The EA is provided for review by making a FOIA
request or as an attachment to the FNSI.
The EA typically will be 10 to 50 pages of text and
exhibits.
If a preliminary review of an action reveals obvious significant
environmental impacts, the review process should omit a formal EA
and proceed directly to an EIS. In determining whether to conduct
an EA or EIS, important issues to consider include cost,
controversy surrounding the project, cumulative impacts, and
mitigation measures.
Guidance: Documentation of an EA (and FNSI if applicable) (or
copies of originals) developed the during environmental review
process conducted pursuant to NEPA should be maintained in the
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Cumulative Impacts
Mitigation Measures
Other EA Components
National Environmental Policy Act
facility's permanent environmental records file. Such information
should be maintained to allow for ease of access and review in the
event of a public inquiry.
Cumulative impacts can result from individually minor, but
collectively significant, actions taking place over time. The initial
impact of a project may not be considered to be significant, but the
long-term, cumulative effects of a project may create severe
impacts, which may not be mitigated easily. Past, present, and
potential future actions should be considered when analyzing the
proposed action's cumulative impacts. One example of a
cumulative impact would be research that involves the application
of pesticides with a fixed half life. Repeated applications of these
materials to test plots may result in increased levels of pesticide
residuals that represent potential impacts to neighboring flora and
fauna through food chain uptake processes.
Mitigation measures are techniques designed to minimize the
impacts of a proposed action on the environment. According to
CEQ regulations, mitigation measures include avoiding impacts by
not executing an action, minimizing impacts by limiting the degree
or magnitude of the action, and repairing, rehabilitating or restoring
the affected environment. Examples of mitigation measures are
applying best available control technology to hazardous waste
treatment processes to minimize cross-media pollutant transfers, or
using silt fences or vegetation filters to minimize impacts to local
receiving waters from parking lot runoff.
The identification of mitigation measures for a proposed action is
an important component of an EA. Mitigation measures can make
the preparation of an EIS and ROD unnecessary — allowing for a
significant savings in time and dollars — if the mitigation measures
can compensate for or avoid anticipated impacts.
In addition to a description of mitigation measures, the EA should
contain a brief discussion of the purpose and need for the proposed
action, alternatives to the prosed action,, baseline conditions,
environmental impacts stemming from the proposed action, and a
list of agencies and persons consulted. An EA typically is
approximately 10 to SO pages in length, depending on the size of
the project and the number of potential impacts. Three alternatives
and their potential impacts are usually considered, including the "no
action" alternative. The "no action" alternative discusses the
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impacts of not implementing the proposed action. For example, if
EPA proposes to build a laboratory, the no action alternative would
assess the impact of not building that laboratory, such as not having
the capability to perform certain important laboratory experiments.
Other alternatives that may be considered in the proposal to build a
new laboratory would be to consider different sites on which to
construct the laboratory or, if feasible, consideration could be given
to leasing laboratory space. It is important to evaluate alternatives
that meet the purpose and need for die proposed action, or they will
not be considered viable.
Exhibit 5, Project Planning Flowchart for Environmental
Assessments, depicts the basic review process for completing an
EA. An EA should be done concurrently with other initial activities
early in the planning stages to be most resource efficient. For
example, environmental permits will most likely be required for
construction projects. Because much of the data developed in
support of permit applications will be useful in the NEPA review
process, it is critical that these activities be coordinated closely.
Exhibit 5.
Project Planning Flowchart for Environmental Assessments
Evaluate potential impacts
associated with the
proposed action,
alternatives, and
mitigation measures, and
prepare draft and final EA
Finding of No Significant
Impact (FNSD
For more information on completing an EA, refer to the NEPA
Categorical Exclusion, Environmental Assessment, and Finding of
No Significant Impact Preparation Assistance Booklet and the
National Environmental Policy Act: A Self-Study Training
Booklet. These booklets provide assistance in completing the
NEPA Review Form for Facility Alteration or Construction Project
[EPA Form 3300-16 (5-92)]. Page 3 of the form contains an
outline or template of criteria necessary to complete an EA. This
form is especially applicable to perform a NEPA review for
construction-related activities.
The EA will result in either a FNSI or, if significant impacts are
identified, a decision to prepare an EIS. A FNSI is generally one or
two pages long and provides succinct evidence of why a proposed
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action will not have a significant impact on the environment. The
FNSI also explains any mitigation measures necessary to
compensate for environmental impacts and to justify selecting the
alternative. An accepted FNSI nullifies the requirement for
preparing an EIS.
Once a FNSI has been completed, the availability of the FNSI, EA,
and supporting information should be announced in a newspaper of
general circulation. If an action has national significance, it should
also be published in the Federal Register. A fact sheet could also
be prepared and distributed to alert the public. The FNSI, with the
attached EA and any supporting information, should be made
available for review at local libraries, at the EPA Headquarters,
regional office, or laboratory, and at another public establishment
that is open during evening hours and is equipped with copying
machines. This approach to making information available to the
public ensures information exchange, allows timely review of the
document, and encourages feedback to EPA. There must be a
minimum of 30 days between the release of a FNSI and moving
forward with a proposed action.
An overview of the FNSI is provided as Exhibit 6.
Exhibit 6.
Finding of No Significant Impact (FNSI) Overview
Purpose
Scope
Content
Public
Participation
Typical
Number of
Pages
Notifies the public of EA result and mitigation plans.
Explains why an acton will not have a significant effect
on the natural or human environment
Describes:
21. Why an action will not have significant effect on the
environment
22. Mitigation measures necessary to make the
alternative environmentally acceptable.
A 30-day public comment period is necessary before
proceeding with the action.
An announcement about the FNSI's availability usually
is published in a newspaper of general circulation and
in fact sheets. When an action has national
significance, the availability of the EA/FNSI should be
published in the Federal Register.
A FNSI typically will be one or two pages.
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TIER 3:
ENVIRONMENTAL
IMPACT STATEMENT
Notice of Intent
Draft EIS
If the responsible official determines that a proposed action will
have significant environmental impacts, an EIS must be prepared.
An EIS, the third tier in the NEPA review process, is the most
extensive level of environmental review, as it anticipates that the
project will significantly impact the environment. The EIS can be
immediately prepared if significant impacts are obvious, or as a
result of an EA, if the EA did not result in a FNSI. If an EIS is
prepared after an EA, then significant impacts would be discovered
in the EA process which would not allow the EA to qualify for a
FNSI. Several documents must be issued as part of the EIS
process, including a notice of intent (NOI), draft EIS (DEIS), final
EIS (FEIS), and a record of decision (ROD). These documents are
described below. Because public participation in the decision-
making process is a major goal of NEPA, requirements and
suggestions for involving the public are incorporated into the
discussion.
Guidance: Documentation (or copies of originals) developed
during environmental impact statement procedures conducted
pursuant to NEPA are maintained in the facility's permanent
environmental records file. This information should be maintained
to allow for ease of access and review in the event of a public
inquiry.
The first step in preparing an EIS for a proposed action is to issue a
notice of intent (NOI) in the Federal Register. The NOI announces
that an EIS will be prepared and gives the scope of the proposed
action, reasonable alternatives to the proposed action, and potential
impacts as a result of executing the proposed action. The NOI
begins the EIS scoping process. The scope, as defined in the CEQ
regulations, consists of the range of actions, alternatives, and
impacts to be considered in the EIS. A scoping meeting is required
to announce the NOI to encourage public participation. The EPA
project manager or responsible official publishes the NOI in the
Federal Register.
After the scope of the project and any related activities have been
identified, the EPA project manager prepares a draft EIS. EPA
regulations call for EIS preparers to conform to the content
requirements detailed in 40 CFR Part 1502 and in 40 CFR 6.203.
These requirements are summarized in Exhibit 7.
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Exhibit 7.
Environmental Impact Statement Overview
Purpose
Scope
Content
Public
Participation
Typical
Number of
Pages
23.
24.
Provides detailed environmental information
to the public for input in EPA's decision-
making process.
Examines alternatives and potential for
mitigating impacts.
Provides a comprehensive review of all impacts
of the proposed action and alternatives.
25.
26.
27.
28.
29.
30.
31.
The
Provides for a 45-day public comment on the
DEIS
Requires a public hearing on the DEIS not
earlier than 30 days after issuance
Provides for a 30-day review period on the
FEIS prior to the agency's decision, which is
documented in a ROD.
Unless the responsible official determines
that there is a compelling reason to change
the standard format, the EIS text includes
- Cover sheet
- Executive summary
- Table of contents
- Purpose and need for action
- Alternatives considered, including
proposed action
- Affected environment (baseline
conditions)
- Environmental and socioeconomic
consequences of altematies
- A list of agencies, organizations, and
persons to whom copies of the EIS are
sent
- List of preparers
Index
- Appendices.
Requires a public hearing on the DEIS not
earlier than 30 days after issuance
Provides for a 45-day public comment period
between the DEIS and FEIS
Provides for a 30-day review period on the
FEIS prior to issuance of the ROD.
EIS typically will be 150 to 300 pages,
including text and exhibits.
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When the DEIS is complete, EPA must seek comments from other
relevant federal, state, and local agencies and other stakeholders.
Inviting public comment satisfies one of the primary purposes of the
NEPA process — to ensure that the public is involved in federal
decisionmaking for actions that affect the environment. Public
response to the DEIS will depend on issues such as size, scope,
anticipated controversy, and timing of the proposed action. At a
minimum, facilities should refer to the requirements in 40 CFR
1506.6 and 40 CFR 6.104 on public involvement to ensure that
they are adhering to the letter and spirit of NEPA. For example,
the public should be informed of meetings and be provided with
project-related environmental documentation in a timely manner.
Exhibit 8 shows a flowchart for incorporating public participation
into the EIS process.
Exhibit 8.
Public Participation Flowchart During the EIS Process
Final EIS
Record of Decision
Develop
Plan
Prepare,
distribute,
and publish
Notice of
Intent
u
Prepare
DEIS and
malrA
available to
public
•i
Prepare
FEIS and
make
available to
public
fe.
Issue
Final Rule/
ROD
The availability of the DEIS to the public should be announced in
the Federal Register or a newspaper of general circulation.
After a 45-day public review and comment period on the DEIS 30
days prior to a public hearing and 15 days following a final EIS
may be issued. If desired, the responsible official may choose to
extend the public comment period. The responsible official or EPA
project manager must consider and respond to public input. Where
feasible and appropriate, the FEIS will incorporate public concerns
and issues raised by other stakeholders during the DEIS comment
period. The availability of the FEIS should be announced using the
same methods as in the DEIS for consistency in responses. The
FEIS must be available for comment for at least 30 days before
EPA can reach its official decision on the action.
After the public comment period on the FEIS, the Agency can issue
its record of decision (ROD). It summarizes the EIS analysis, states
EPA's official decision, and identifies alternatives considered by
EPA. If appropriate, it also identifies applicable mitigation
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measures and monitoring programs that will be implemented. An
overview of the ROD is provided in Exhibit 9.
Exhibit 9.
Record of Decision Overview
Purpose
Scope
Content
Public
Participation
Typical
Number of
Pages
Announces the Agency's decision regarding the
proposed major EPA action.
32. States EPA's decision and the basis for the
decision
33. Summarizes the EIS analyses and selected
mitigation measures.
34. Documents EPA's decision, based on the
DEIS, FEIS, and all comments received
35. States EPA's preferred alternative
36. Identifies alternatives considered by EPA
37. States whether all precautions to avoid or
minimize harm to the environment were
considered, and if not, explains why
environmental precautions were not taken
38. Explains, when appropriate, the mitigation
monitoring programs.
39. Provides a notice to announce the decision to
the public
40. ROD is distributed to all persons responding
to the DEIS or FEIS and those requesting it.
The ROD typically will be one to five pages.
The ROD should be provided to all parties who submitted
comments on the DEIS or FEIS and to other parties requesting a
copy. Exhibit 10 shows a flowchart for planning an EIS.
For more information on completing the documentation associated
with an EIS, refer to the NEPA Review Procedures for EPA
Facilities.
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Exhibit 10.
Project Planning Flowchart for EISs
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-Jh.
Prepare and
distribute
Notice of Intent
>
Conduct
scoping
activities
-*>
Identify and
evaluate impacts
and alternatives
and prepare and
file draft EIS
Public review.
Incorporating
_fti
Mandatory waiting
oeriod. followed
.•h
Proceed with
comments and
filing of final EIS
by Issuance of the
ROD
selected action
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Section 04-04
NEPA Implementation
INTRODUCTION
This section of the NEPA SHEM Guidelines addresses how to
incorporate NEPA review procedures into potential facility
activities.
FACILITY
CONSTRUCTION
PROJECTS
One of the most common facility actions that requires NEPA
documentation is a construction project. Project managers or the
responsible official can determine the appropriate level of NEPA
documentation by completing EPA Form 3300-16, the NEPA
Review Form for Facility Alteration or Construction Project, The
form, provided in its entirety in Appendix B, is four pages long and
can be obtained electronically by contacting AEREB.
Page 1 of the form helps determine whether the project qualifies for
a CX under NEPA. The completed form, signed by the responsible
official and maintained as part of the project file, serves as
appropriate documentation for a CX. Page 2 of the form provides
guidance and criteria for deciding whether an EA or EIS is the
appropriate NEPA documentation for the project. Pages 3 and 4 of
the form provide suggested outlines for an EA and FNSI.
The NEPA Categorical Exclusion, Environmental Assessment, and
Finding of No Significant Impact Preparation Assistance Booklet
and the Understanding the National Environmental Policy Act: A
Self-Study Training Booklet provide detailed instructions on
completing the NEPA Review Form for Facility Alteration or
Construction Project. Also, for more information on complying
with NEPA for design and construction projects, refer to the
National Environmental Policy Act Review Procedures for EPA
Facilities.
REGIONAL
ENVIRONMENTAL
SERVICES DIVISION
Periodically, the Environmental Services Division may commission
special studies or environmental monitoring projects that constitute
a major federal action. For example, special projects may involve
siting sampling equipment or conducting field activities in sensitive
natural habitats. Accordingly, these projects should be reviewed at
the earliest stages of planning (see related discussion later in this
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chapter) to determine potential environmental consequences and
the need for NEPA review.
PROGRAM OFFICES
Agency program offices conduct a wide variety of research and
development activities. Although these projects are intended to
advance scientific information and protect environmental quality,
the hazardous agents or industrial processes involved may represent
potential impacts to human health and the environment if not fully
controlled. Past activities, such as the mobile incineration of
tetrachlorodibenzo(p)dioxin and other toxic compounds, require
the development of an EIS to address fully those potential
consequences to both environmental and socioeconomic concerns
prior to commencing operations. Similarly, current agency research
activities include pollutant fate and transport and degradation
kinetics assessments that may warrant NEPA review during project
planning and conceptualization. Accordingly, program offices
should review their intramural and extramural project plans to
determine activities that may represent environmental consequences
triggering NEPA review requirements. In particular, the Office of
Research and Development (ORD) has devised its own regulatory
standards and internal review processes for considering the
potential impacts of extramural research activities. These ORD
procedures are found in 40 CFR Part 6, Subpart G. A standardized
worksheet (EPA Form 5300-23) and instructions for completing it
are presented in Appendix C and can be used to determine the
applicability of NEPA review parameters to ORD activities.
INCORPORATING
NEPA IN PROJECT
PLANNING
Timelines
As discussed, the NEPA environmental review process can take a
few weeks to more than a year to complete. Therefore, to reduce
or eliminate project delays, effective planning of a proposed project
should include the early initiation of die environmental review
process.
In many cases, the length of time devoted to the environmental
review is proportional to size of the proposed action. An action
qualifying as a CX, for example, may be relatively a small project.
A large project, such as the construction of a new laboratory, may
have potentially significant environmental effects and require a
mitigation and monitoring program. The time to complete an EIS
for this project can be lengthy, and planning will be complex. The
EPA project manager must allow for months of independent study,
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public meetings, and several public and agency comment periods
prior to developing detailed design documents. Thus, the EIS
process should begin as early as possible in the business and project
planning process. Environmental planning and integration
procedures may provide for more effective budgeting and resource
management and allow the project to continue on schedule. The
timelines below explain how the preparation of each document fits
in with overall project planning.
Exhibit 11.
Timelines for a CX, EA, and EIS
Conceptual and PieUmlnaiy Design Phase
Project Planning and
Categorical I s-eMenms-
Exclusion
Conceptual and PreUmlnary Design Phase
Project Planning and __^^^^^^^ ,_
an Environmental 1 «•« Months-
Assessment
Conceptual and PreUmlnary Design Phase
Prnfeet Planning nnrf ^^^^^^^^ __
an Environmental 1 e- 20 Months-
Impact Statement
Key B Prefect Planning Initiation A Start of Detailed Design ^ Start ol Construction
- Represent! average protect planning/design Hmehime. special dreumuances may ettecl perieda died herein
Detailed Design Phase
1 , , -
Detailed Design Phaae
Detailed Design Phaae
T
The NEPA regulations are located in 40 CFR Part 6. The mandated
procedures within the regulations are summarized in Exhibit 12 for
reference. These procedures should be considered to avoid
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unnecessary delays resulting from environmental issues in project
planning.
Exhibit 12.
Summary of Regulatory Requirements for NEPA Documentation
Tiers of
NEPA Review
Tierl:
Categorical Exclusion
41. Responsible official determines whether action will have a significant effect on
the environment
42. If CX is appropriate, a one-page report or form should be completed and
maintained as part of the action's project file.
43. See EPA NEPA regulations at 40 CFR 6.107.
Tier 2:
Environmental
Assessment
44. EA should be prepared if it is uncertain whether a proposed action will have
major impacts on the environment.
45. An EA will result in either a FNSI or a decision to prepare an EIS. The
availability of a FNSI, if appropriate, should be published in local media (e.g.,
newspaper) and distributed to stakeholders. When an action has national
significance, the availability of the EA/FNSI should be published in the Federal
Register. A 30-day public comment period is required on the FNSI before the
action is implemented.
46. See EPA NEPA regulations at 40 CFR 6.105(d).
Tier 3:
Environmental Impact
Statement
47. Responsible official ensures that a NOI is published in the Federal Register to
initiate the EIS scoping process.
48. DEIS is prepared and made available for at least a 45-day public comment
period.
49. FEIS is prepared and distributed to stakeholders.
50. After allowing at least 30 days for public comment on the FEIS, the ROD can
be issued.
51. The availability of the DEIS, FEIS, and ROD are published in the Federal
Register as they are completed
52. See EPA NEPA regulations at 40 CFR 6.108 and 40 CFR 6.200-6.205.
Cross-Cutters
A number of environmental laws address federal responsibility for
protecting and conserving special resources. These laws are
generally referred to as "cross-cutters" because the requirement to
comply with them cuts across, or overlaps, other federal programs.
The cross-cutters require federal agencies to consider the impact
that their programs and individual actions might have on particular
resources and to document such considerations as part of the
agency's decisionmaking process. Generally, the process involves
coordinating with the agencies administering the cross-cutters, and
providing an opportunity for public comment before making a
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decision on an action. The evaluation that is conducted under cross-
cutters is usually integrated with the environmental reviews
completed under NEPA to reduce paperwork and the potential for
delays. Appendix D contains a list of cross-cutters that are
especially applicable to EPA construction projects, as well as other
projects. If one or more of these cross-cutters appears to be
impacted, it should be addressed within the CX, EA, or EIS.
PROJECT-LEVEL
COMPLIANCE
The NEPA review process should not be viewed as an independent
activity, but rather as an integral component of a project. At the
onset of a project, the NEPA review facilitates the assessment of a
project-specific variables, including regulatory, environmental, and
socioeconomic factors. To assist in identifying relevant project
consideration, personnel overseeing the NEPA review activities
should consult with the appropriate Regional NEPA Coordinator as
provided in Appendix E. These individuals, who maintain access to
recent NEPA documentation, can provide valuable information on
NEPA-related activities.
To further ensure that NEPA review considerations are integrated
within the environmental management programs, a Project-Level
Compliance Worksheet provided in Appendix F can be used to
prepare an initial assessment of project specific variables, such as
regulatory, environmental, and socioeconomic factors. The
worksheet will assist in determining what level of NEPA review is
necessary for a proposed action.
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APPENDIX A
Acronyms and Glossary
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Acronyms
AA Assistant Administrator
AEREB Architecture, Engineering and Real Estate Branch
CEQ Council on Environmental Quality
CFR Code of Federal Regulations
CX Categorical Exclusion
DEIS Draft Environmental Impact Statement
EA Environmental Assessment
EIS Environmental Impact Statement
EPA Environmental Protection Agency
FEIS Final Environmental Impact Statement
FOIA Freedom of Information Act
GSA General Services Administration
NEPA National Environmental Policy Act
NOI Notice of Intent
OARM Office of Administration and Resources Management
RA Regional Administrator
ROD Record of Decision
RTP Research Triangle Park
SHEM Safety, Health and Environmental Management
SHEMD Safety, Health and Environmental Management Division
SHEMP Safety, Health and Environmental Management Program
USC United States Code
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Categorical
Exclusion (CX)
Glossary
Administrative A signed decision by a responsible official resulting in an award, approval,
Action notification, cancellation, termination of use, or commitment of federal funds
or property.
Categories of actions that do not individually, cumulatively over time, or in
conjunction with other Federal, State, local or private actions have a
significant effect on the quality of the human environment and which have
been identified as having no such effect based on the requirements in 40 CFR
§6.505. Environmental information documents, environmental assessments
(EAs) or environmental impact statements (EISs) will not be required for
excluded actions. A CX is prepared to document that a project will not
cause significant environmental impacts.
Created under the authority of the National Environmental Policy Act
(NEPA) of 1969, this Executive Office of the President exercises an
oversight function over the administration of NEPA; is responsible for issuing
regulations that implement the procedural provisions of NEPA; and advises
the President on environmental matters.
Laws or regulations for which compliance is required by all Federal programs
for protecting and conserving special environmental resources.
The impact on the environment that results from the incremental impact of
the action when added to other past, present and reasonably foreseeable
future actions regardless of what agency (federal and non-federal) or person
undertakes such actions. Cumulative impacts can result from individually
minor but collectively significant actions taking place over a period of time.
A concise document prepared to provide sufficient data, evidence, and
analysis to determine whether an environmental impact statement (EIS) or
finding of no significant impact (FNSI) is required for an action. Preparing a
formal EA is not necessary in cases where the EPA determines that a CX is
appropriate or when it is obvious that an EIS will be necessary.
A detailed, succinct document required if Federal actions are likely to have
significant impacts on the environment The document may be directly
prepared if the project is presumed to have a significant impact or if an
environmental assessment (EA) determines that an EIS should be prepared.
An EIS provides the public and decision-makers with clear, written
documentation of possible environmental effects.
Council on
Environmental
Quality (CEQ)
Cross-Cutter
Legislation
Cumulative
Impact
Environmental
Assessment
(EA)
Environmental
Impact
Statement
(EIS)
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Finding of No A document providing succinct evidence of why a proposed action will not
Significant have a significant impact on the environment. An accepted FNSI nullifies the
Impact (FNSI) requirement for submission of an environmental impact statement (EIS).
Major Federal
Action
Mitigation
Measures
National
Environmental
Policy Act
(NEPA)
Notice of Intent
(NOI)
Any undertaking by a Federal agency that potentially has a significant effect
or may be subject to Federal control or responsibility. Examples include
issuing regulations, granting permits, and executing construction activities.
The term "major" reinforces the degree of the impacts associated with an
action (see 40 CFR 1508.18 and 1508.27 for further explanation).
Techniques designed to minimize the impacts of development on the
environment. They may include: a) avoiding the impact altogether by not
taking a certain action or parts of an action; b) minimizing impacts by limiting
the degree or magnitude of the action and its implementation; c) rectifying
the impact by repairing, rehabilitating, or restoring the affected environment;
d) reducing or eliminating the impact over time by preservation and
maintenance operations during the life of the action; and e) compensating for
the impact by replacing or providing substitute resources or environments.
Signed into law in 1970, NEPA has two major functions:
53. To establish a government policy seeking to enhance the environment "by
all practical means" consistent with other national policies. An "action-
forcing" provision directs government agencies to prepare statements of
the potential environmental effect of any "major" action considered by
EPA and to study all practical alternatives.
54. To establish the President's Council on Environmental Quality (CEQ),
which enhances and encourages NEPA compliance and advises the
President on environmental affairs.
A brief notice placed in the Federal Register by EPA, notifying the public that
EPA is considering a major action and that an EIS will be prepared to
consider the consequences of a major Federal action. The NOI describes the
proposed action and possible alternatives, details the proposed scoping
process (e.g., location and time of meetings), and provides the name and
address of a point of contact within EPA to answer questions about the
proposed action and the EIS.
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Record of A concise public document required under 40 CFR §1505.2, stating the final
Decision decision on an action for which a final EIS has been prepared on a proposed
(ROD) major Federal action and the alternatives considered by EPA. A ROD states
whether all precautions to avoid or minimize impacts to the environment
were adopted, and if not, includes a statement explaining why precautions
were not taken. RODs must be made available to the public and
disseminated to parties that commented on the draft and final EIS.
Responsible The individual (e.g., project officer) officially designated as having
Official primary responsibility for the project.
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APPENDIX B
NEPA Review Form for Facility Alteration or Construction Project (EPA Form 3300-16)
-------
United States Environmental Protection Agency
Washington. DC 20460
National Environmental Policy Act (NEPA) Review Form
for
Facility Alteration or Construction Project
General Information
Title of Project
Project Number
Project Officer's Name
Title
Phone Number
Location (city/country/state)
Part of EPA Facility?
[] YES [] NO
Of yes, give name of Facility)
Responsible Official for NEPA Review
(Responsible Official must be the Chief. Architecture, Engineering and Real Estate Branch [AEREB], ifAEREB approval
is required; otherwise, Responsible Official will be whoever signs the administrative action on the project [Lab Director,
Regional Administrator, etc.])
Name
Title
Phone Number
Contact for Environmental Review on this Project (If different from Responsible Official)
Phone Number
IV. Categorical Exclusion (CX)
IV.A. Categorical Exclusion (CX) Criteria (Check YES or NO)
YES NO
a Project is directed solely toward minor rehabilitation of existing facility, consists of functional
replacement of equipment, or consists of construction of new ancillary facility, adjacent or appurtenant
to existing facility
b. Project does not directly or indirectly affect the following- cultural resource areas; endangered or
threatened species; environmentally important natural resource areas, wetlands or floodplains, etc.
(If the Responsible Official requires additional detail on this criterion, see 40 CFR §6.107)
c. Project does not cause significant public controversy and is cost effective.
E] Q] <* Planned operations to be carried out at facility will not significantly impact the human environment
If the answer to all of these questions is YES, the project qualifies for a categorical exclusion pursuant to 40 CFR §1508.4
and 40 CFR §6.107. This form, when Item IV.A. is completed and Item IV.B. is signed, will constitute a documented
categorical exclusion determination under NEPA, and no further environmental review is required.
["I
—
If the answer to any of these questions is NO, an environmental assessment (EA) is required. Proceed to Item V on next
page
IV.B. Categorical Exclusion Determination
/ have determined that this project is eligible tor a categorical exclusion per the substantive environmental review
requirements under EPA regulations at 40 CFR §6.107.
Signature of Responsible Official
Title
Date
EPA 3300-16 (5-92)
A COPY OF THIS SIGNED FORM SHOULD BE MAINTAINED AS PART OF THE PROJECT RLE
Pagel
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V. Environmental Assessment (EX)
V.A.
Environmental Assessment (EA) Process (Implement if proposed action did not quality for a CX)
Summary of the Purpose and Need for the Proposed Action and Reasonable Alternatives Considered
v.B. Criteria for Preparation of an Environmental Impact Statement (EIS)
Does the project meet any of the following criteria for preparation of an EIS? (Check YES or NO.) Documentation to support Items a through k
should be included in an environmental assessment or In an environmental Impact statement.
The Responsible Official may mark NO to any of the criteria where altemaSves or mitigation measures will be Implemented to avoid significant
environmental impacts. This form begins the environmental assessment process and mitigation measures must be documented In an
environment assessment.
YES NO
D D
D D
D D
D D
D
D
D
a. The project may significantly affect the pattern and type of land use or growth and dstributton of human population.
Environmental justice criteria should be considered (I.e., disproportionately high and adverse human health and
environmental effects of programs, policies, and activities on minority populations and tow-income populations should be
appropriately identified and mitigated).
b. The effects resulting from any structure or facility constructed or operated with respect to the proposed action may conflict
with local, regional, or State land use plans or policies.
c. The project may have significant adverse effects on wetlands, including indirect and cumulative effects, or any major part of
a structure or facility constructed or operated under the proposed action may be located in wetlands.
d. The project may significantly affect threatened and endangered species or their habitat identified by the Department of the
Interiors list in accordance with 40 CFR §6.302 or a State's list, or may Involve a structure or a facility located in an
endangered/threatened species habitat
e. The project may directly cause or induce changes that significantly (a) displace human populations, (b) alter the character of
the existing residential areas, (c) adversely affect a floodplain or wetland, (d) adversely affect significant amounts of
important farmlands or agricultural operations on this land.
f. The project may directly, or through Induced development, have a significant adverse effect upon local ambient air quality,
noise levels, surface water or ground water quality or quantity, water supply, fish, shellfish, wildlife and their natural habitats
g. The project may directly, indirectly, or cumulatively have significant adverse effects on paridands, preserves, other public
lands or areas of recognized scenic, recreational, archaeological, or historic value.
The project may significantly affect the environment through the release of organisms, or radioactive, hazardous, or toxic
substances.
h.
D
D
~\ I. The project involves effects upon the environment that may be highly controversial.
a
j
The project Involves cumulative Impacts, meaning environmental effects may accumulate overtime or combine with effects
of other actions to create significant impacts.
I | k. The project Involves uncertain environmental effects or unique environmental risks that may be significant
If the answer is NO to all of the criteria listed above, the Responsible Official should prepare an EA pursuant to 40 CFR §1501.3. §1501.4 and
40 CFR §6.105(d). The EA should include a description of any reasonable alternatives and the environmental Impacts of each alternative, and
mitigation measures considered in the environmental review. If the EA warrants a FNSI, the Responsible Official should prepare a FNSI
pursuant to 40 CFR §1508.13 and 40 CFR §6.105(f). The NEPA Review Procedures tar EPA Fatttttes provides guidance on how to prepare
an EA and FNSI. To assist in the EA and FNSI preparation process, the EA and FNSI formats may be obtained electronically from AEREB at
(202) 260-2160. The Responsible Official should allow for sufficient public review of the EA and FNSI before it becomes effective and should
not take administrative action for at least 30 days after release of the FNSI.
If the answer is YES to any of the criteria above, an EIS should be prepared pursuant to 40 CFR §1508.11 and 40 CFR §6.903. A Notice of
Intent announcing the preparation of an EIS should be published in the Federal Register The NEPA Review Procedures tor EPA Facilities
provides guidance on how to prepare an EIS.
V.C. Determination of EA or EIS (Check the appropriate box)
Dl have determined that this project is eligible for an EA per the substantive environmental review requirements under EPA
regulations at 40 CFR §6.105(d).
Dl have determined that this project is eligible for an EIS per the substantive environmental review requirements under EPA
regulations at 40 CFR §6.903.
Signature of Responsible Official
Title
Date
EPA 3300-16 (5-82)
A COPY OF THIS SIGNED FORM SHOULD BE MAINTAINED AS PART OF THE PROJECT RLE
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VI. Suggested Outline for an Environmental Assessment
If the answers to all of the questions in Item V.B. of the NEPA Review Form for Facility Alteration or Construction Project
are NO. an EA should be prepared pursuant to 40 CFR §1501.3, §1501 4 and 40 CFR §6.105(d). If the answer to any of
the questions is YES. an EIS should be prepared pursuant to 40 CFR §1508.11 and 40 CFR 6.903. See the NEPA Review
Procedures for EPA Facilities for further information on preparing an EA or EIS.
EAs are typically 10 to 50 pages in length, but it is not mandatory that an EA be a specific number of pages. It is,
however, important that an EA contain the correct information to property evaluate all impacts associated with the
proposed action The following is a suggested outline to be used as a sample format or guide in the EA preparation
process. Attach additional documentation to this form if necessary. The EA format is also available electronically from
AEREB.
VI.A. Purpose and Need for the Proposed Action
VLB. Proposed Action
VI.C. Alternatives to the Proposed Action, Including the "No Action" Alternative
(It is standard to consider three alternatives, including the 'no action' alternative.)
c.
VI.D. Baseline Conditions and the Environmental Consequences of Each Alternative
a. Environmental consequences of the proposed action or preferred alternative
b Environmental consequences of alternative #2
c Environmental consequences of alternative #3 (the 'no action" alternative)
In evaluating the baseline
conditions and each alternative, it
is standard to consider these
potential impacts:
Sffe Characteristics - topography,
geology, soils, ground water, surface
water, HoodplalnAmOands. biological
resources, threatened/endangered
species, historical/cultural resources.
hazardous waste, meteorology
CommunMysfftegJona/Charecterisffcs
- sodoeconomlcs; demographics;
environmental JusSce; housing; land
use/zoning; water supply; wastawater
collection, treatment and disposal;
waste management; utUtio&f
telecommunications; transportation
and parking; air quality; noise
I/I.E. List of Preparers and Agencies Contributing to the EA
EPA 3300-16 (£82)
TO ASSIST YOU IN THE EA AND FNSI PREPARATION PROCESS, THE EA AND FNSI
FORMATS MAY BE OBTAINED ELECTRONICALLY FROM AEREB AT (202) 260-2160
Page 3
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VI. Suggested Outline for a Finding of No Significant Impact
If an EA is prepared and it is determined that the proposed action will not have a significant effect on the environment
then a FNSI must be issued. The announcement of the FNSI is typically published in a local newspaper of general
circulation. EPA's NEPA regulations at 40 CFR §6.400(d) require that a FNSI be made available to the public in
accordance with 40 CFR §1506.6 which lists mandatory and recommended methods to inform suggested audiences. The
purpose of a FNSI is to explain why a proposed action will not have a significant impact on the environment and, if
necessary, state the mitigation measures. See the NEPA Review Procedures for EPA Facilities for further information on
preparing a FNSI
The following information should be contained within a FNSI. Attach additional documentation to this form if necessary
The EA format is also available electronically from AEREB.
VILA. Project Location and Description
VII.B. Purpose and Need for the Proposed Action
VII.C. Environmental Consequences and Conditions
VII.D. Mitigation Measures
VILE. Preliminary Finding (explains why the proposed action will not have a significant effect on the environment)
EPA 3300-16 (W2)
TO ASSIST YOU IN THE EA AND FNSI PREPARATION PROCESS, THE EA AND FNSI
FORMATS MAY BE OBTAINED ELECTRONICALLY FROM AEREB AT (202) 26W160
Page 4
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APPENDIX C
ORD Procedures Form
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lease read instructors on faveree before comptotna form.
unaeo states Environmental Protection Agency
Office of Research and Development
Washington. DC 20460
Environmental Review for Extramural Projects
1 Descriptive Title
Grant/Contract/Cooperative Agreement No
| | New Project II Renewal
2. Geographic Location (City/County. State)
Mechansm
Grant
Interagency Agreement [~| Sole-Source Contract
Cooperative Agreement Competitive Contract
Contractor/Grantee
Laboratory Study
Field Study
Ubrary/Uerature Search
Pibt Plant Construction/Operation
Bench Scale Operat
Monitoring Study/Sample Collection
A. Attach
Yes No
n n
an
n n
n n
nn
an
nn
DD
ID
ID
3.
documentation to support the findings In Items 1-12, as appropriate.
1. The project te conducted completely wBhin a laboratory or other facility, and external environmental effects have been eliminated
by methods for disposal of laboratory wastes and safeguards to prevent hazardous material entering the environment accidentally.
If the answer is •yes- you do not need to proceed further with the environmental review. If the answer te -no" proceed by
completing item 2 betow. '
2. The project te e relatively small experiment or investigation that to part of a non-FederaDy funded activity of the private sector, and H
makes no significant new or additional contribution to existing pollution.
The project may significantly affect the pattern and type of land use (industrial, commercial, agricultural, recreational. residenta!)
or growth and demolition of population
The project may have significant adverse effects on wetlands, including indirect and cumulative effects, or any major part of a
structure or facflity constructed or operated under the proposed action may be located In wetlands.
The project may significantly affect threatened and endangered species or their habitats Identified In the Department of Interior's
fist, bi accordance wdh 40 CFR §6302 or a State's lot. or a structure or a facility constructed or operated under the proposed
action may be located in the habitat.
The project may directly cause or induce changes that significantly (a) displace human populations, (b) alter the character of the
existing residential areas, (c) adversely affect a ftoodptain. or (d) adversely affect significant amounts of important farmlands as
defined in EPA's Policy to Prated Environmentally Significant AgricuRural Land.
The project may directly, indirectly, or cumulatively have significant adverse effects on partdands. preserves, other public lands or
areas of recognized scenic, recreational, archaeological, or historic value.
The project may directly, or through induced development, have a skjnKcant adverse effect upon local ambient air quafily. notee
levels, surface water or groundwater quafity or quantity, water supply, fish. sheHteh. vddEfe and their natural habitats.
The project consists of field tests involving the introduction of significant quantities of toxic or polluting agricultural chemicals
animal wastes, pesticides, radnactrve materials, or other hazardous substances into the environment by ORD, its grantees, or te
contractors.
10. The project may invoke the introduction of species or subspecies not indigenous to the area.
11. There to a high probabBiry of an action ultimately being implemented on a targe scale and this ImplementaUon may resuR In
significant environment impacts.
12. There te a high probabliy of an action ultimately being Implemented on a targe scale and this implementauon may resuR in
significant environment impacts.
7.
8.
9.
B. Attach a list and description of any alternatives and mitigation measures considered In the environmental review.
Completion and dstributnn of this form and supporting documentation constitutes a FNSI under 40 CFR §6.704(b)(2). If the environmental
review resulted In a -yes' answer to either item 1 or 2 only; or the environmental revnw resuRed hi a "no-answer to Kerns 3-12.
I""] An EISwQI be warrarrted if the errvironnieTrtal review result ^ If the Agency decides to pursue Into
*•"* project, a notice of the Agency's Intent to prepare an EIS wBI be pubBshed In the Federal Register.
Project Officer
Responsible Offioal (usually Lab Director)
Date
-------
Instructions for Undertaking the Environmental Review
for EPA Extramural Research and Development Projects
and Completing EPA Form 5300-23
I Fonn 5300-23 a to be used for the environmental review of EPA extramural
research Old development project! undertaken by the Office of Research md
Development (ORD> Thii review is conducted pursuant to EPA's National
Environmental Policy Act (NEPA) regulations n 40 CFR Part 6, Subpart G
2 This foim and supporting documentation will constitute the environmental
assessment (EA) and finding of no significant impact (FNSI) when it is
determined that a project sausfies certain cntena luted in the form. Section
IV This form is intended only to assist the ORD project officer in
complying with Ac requirements of NEPA Completion of the form in no
way obviates the need to obtain project permits or approvals that may be
required under statutes administered by EPA. or by other local, state and
federal agencies
3 The EPA project officer conducts the environmental review by completing
the form but the responsibility for the findings belongs to a higher level EPA
official, usually the laboratory director
4 Documentation to support the findings for each of the Hems (1-12) in the
Enviiuiuueiital Review Section must be attached to the form, as appropriate,
unless the nems are clearly not applicable to the research activity
5 If a project meets the cntena listed in item I of the Environmental Review
Section (i e. a "yes* answer), then the project officer does not need to
complete items 2-12 or subsection "B * The Environmental Review Section
is then considered completed and the form may be issued as an EA/FNSL
6 Item 1 of the form refers to projects which are conducted ma •contained"
structure In general a contained structure u designed to physically confine
and control agents such as hazardous and tone substances and organisms
Containment is achieved through the observation and implementation of good
laboratory practices, installation of properly designed laboratory equipment
and inclusion of special design features to minimize or prevent, as
appropriate, escapeoftheagentstotheenvironment If the answer to item I
is "no.* the project officer must proceed to Hem 2
7 In responding to item 2. the project officer must consider whether the EPA
research activity has a causal relationship with the larger non-Federal project
i c. B the EPA activity needed or required to undertake the larger project?
Where there a no causal relationship, the scope of the environmental review
may be limited to only the EPA action and the project officer may mark "yes"
as the answer, as long as the EPA activity would not result in any significant
impacts In determining whether the impacts are significant, (he project
officer must respond to items 3-12 Where a causal relationship does exist.
the environmental review must be broadened to address the environmental
effects of me larger project as well as the Agency action. In ma case, the
project officer would respond "no* to item 2 and proceed to answer
items 3-12, responding to the questions in terms of the impacts resulting
from the overall project
8 The cntena listed in items 3 and 6(a) of the Environmental Review Section
icfci to human populations
9 NEPA requires the preparation of an environmental impact statement for a
major federal section having a significant impact on the environment
Accordingly, in responding to Hem 10 of the form, the project officer should
mark "yes" only if the introduction of a nonmdigeoous species or subspeciei
may have significant environmental effects including those effects identified
in items 3-9 The project officer may also consider the environmental
release of imergenenc organisms and pathogens under item 10 For
additional guidance on how to address nonindigenous species and these other
organisms, the project officer should consult EPA's June 26.1986 Policy
Statement on Biotechnology (SI FR 23335).
10 In addressing item 12 of the form, the project officer should check "yes* if
the project represents a significant EPA commitment to a new technology.
and that commitment could serve to limit the viability of alternative
technologies Generally, a project should be considered to involve a
significant EPA commitment under item 12 n* the Agency's financial
investment m the project will be substantial and the project could result in
the widespread adoption of a new technology
11 The project officer may mark "DO" to any of the items 3-12 of the
Environmental Review Section when there are alternatives or measures
which will be undertaken to avoid significant environmental impacts. These
measures must be documented and the project officer must explain how they
would alter the significance of the impacts The Agency then may issue the
form as an EA/FNSL
12 If a decision is made in Section IV to prepare an EIS, the project officer will
be responsible for preparing a "Notice of blent" to inform the public of the
Agency's decision and to solicit input into the EIS The Notice of Intent will
be prepared in accordance with the Council on Environmental Quality's
NEPAregulationin40CFR$1508 22 for publication in the Federal Register
EPA Form 5300-23 (7-87) Reverse
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APPENDIX D
Overview of Environmental Cross-Cutting Environmental Legislation
and Executive Orders Applicable to NEPA
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Safety, Health, and Environmental
Management Guidelines
May 1998
National Environmental Policv Act
Overview of Environmental Cross-Cutting Environmental Legislation
and Executive Orders Applicable to NEPA
Legislation/
Executive Order
Endangered Species
Act, 16U.SC. 1531,
etseq
The National Historic
Preservation Act, 16
U.S.C. 470, etseo
Archeological and
Historic Preservation
Act, as amended, 16
U.S.C. 469-469C
The Wild and Scenic
Rivers Act, 16
U S.C. 271 etseu
The Fish and Wildlife
Coordination Act. 16
U.S C. 661 etseq
Executive Order
12898 Environmental
Justice
Description and Intent
• Ensures that Federal agencies protect and conserve endangered
and threatened species.
• Prevents or requires modification of projects that could
jeopardize endangered/threatened species and/or destroy or
adversely modify critical habitat of such species.
• Requires Federal agencies to provide the Advisory Council on
Historic Preservation an opportunity for comment on undertaking,
affecting properties listed or eligible for listings on the National
Register for Historic Places
• Provides for recovery or preservation of cultural resources that
may be damaged by Federal construction activities
• Requires notification to (he Secretary of Interior when
unanticipated archeological materials are discovered in
construction.
• Prohibits Federal agencies from assisting in the construction of
water resource projects having direct, adverse effects on rivers
listed in the National Wild Scenic River System or rivers under
study for inclusion in the system.
• Protects fish and wildlife when Federal actions result in the
control or modification of a natural stream or body of water
• Requires Federal agencies to consider the effect that water-related
projects would have on fish and wildlife resources, take action to
prevent loss or damage to these resources, and provide for the
development or improvement of these resources.
• Requires Federal agencies to adopt strategies to address
environmental justice concerns within the context of agency
operations.
Administering
Agencies
• U.S. Fish and
Wildlife Service
• National Marine
Fisheries Service
• National Park
Service
• Advisory Council
on Historic
Preservation
• State Historic
Preservation
Offices
• Departmental
Consulting
Archeologist,
National Park
Service
• National Park
Service
• Bureau of Land
Management
• U.S. Fish and
Wildlife Service
• Forest Service
• US. Fish and
Wildlife Service
• National Marine
Fisheries Service
• Each Federal
agency must
prepare its own
tin piemen tinff
DFOCfiQiires
50 CFR Part 402
SO CFR Parts 450,
45 1.452, and 453
36 CFR Parts 60,
61, 63, 68. 79. and
800
48 FR 190. Part IV
53 FR 4727-46
36 CFR Part 800
36 CFR Part 297,
SubpartA
None
None
D-l
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Safety, Health, and Environmental
Management Guidelines
May 1998
National Environmental Policy Act
Legislation/
Executive Order
Coastal Zone
Management Act, 16
U.S.C. Section 1451
etseq.
Coastal Barrier
Resources Act, 16
U.S.C. 3501 etseo.
The Wilderness Act,
16U.S.C. 1131et
sea.
Fannl&nd Protection
Policy Act, 7 U.S.C.
4201 et sea.
Executive Order
11990 -Protection of
Wetlands
Executive Order
11988-Floodplain
Management
Description and Intent
• Requires Federal agencies conducting or supporting activities
affecting the coastal zone to conduct/support those activities to
the maximum extent possible in a manner consistent witfi
approved state coastal management programs.
• Protects ecologically sensitive coastal barriers along the U.S
coasts.
• Prohibits new Federal expenditures or financial assistance for
development within the established Coastal Barrier Resources
System.
• Establishes a system of National Wilderness Areas.
• Prohibits motorized equipment, structures, installations, roads.
commercial enterprises, aircraft landings, and mechanical
transport in the National Wilderness Areas.
• Requires Federal agencies to consider the adverse effects of their
program on farmland preservation, including the extent to which
programs contribute to unnecessary and irreversible conversion of
farmland to non-agricultural uses.
• Minimizes destruction, loss, degradation of wetlands.
• Preserves and enhances natural and beneficial values of wetlands.
• Requires Federal agencies to consider alternatives to wetlands
sites and limit potential damage if an activity affecting a wetland
cannot be avoided.
• Requires Federal agencies to avoid to the extent passible the
long- and short-term adverse impacts associated with occupancy
and modification of floodplains.
Administering
Agencies
• Office of Ocean
and Coastal
Resource
Management
• National Oceanic
and Atmospheric
Administration
• U.S. Fish and
Wildlife Service
• U.S. Fish and
Wildlife Service
• Bureau of Land
Management
• National Park
Service
• Forest Service
• Soil Conservation
Service
• Each Federal
agency must
prepare its own
implementing
procedures
• Each Federal
agency must
prepare its own
implementing
procedures
Implementing
Regulations
IS CFR Part 930,
SubpartD
15 CFR Part 923
U.S. Department of
Interior Coastal
Barrier Act
Advisory
Guidelines
43 CFR Parts 19
and 8560
SO CFR Parts 35,
219, 261 and 293
7 CFR 658
40 CFR Part 6,
Appendix A
40 CFR Part 6.
Appendix A
D-2
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.APPENDIX E
NEPA Facility Management Compliance Coordinators
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Safety, Health, and Environmental
Management Guidelines
May 1998
National Environmental Policy Act
NEPA Facility Management Compliance Coordinators
EPA Headquarters
Luther Mellen, HI
Chief, Architecture, Engineering
and Real Estate Branch
EPA Headquarters
401M Street SW
Washington, DC 20460
(202)260-2160
Joe Montgomery
Office of Federal Activities
EPA Headquarters
Mail Stop 22S2A
401 M Street SW
Washington, DC 20460
(202)564-7157
Regional Coordinators
Betsy Higgins-Congram
Environmental Review Coordinator
EPA Region 1
John F. Kennedy Federal Building
One Congress Street
Boston, MA 02203
(617)565-3422
Robert Hargrove
Environmental Review Coordinator
EPA Region 2
290 Broadway
New York, NY 10007-1866
(212)637-3495
Roy Denmark
Environmental Review Coordinator
EPA Region 3
841 Chestnut Building
Philadelphia, PA 19107
(215)597-1177
Heinz Mueller
Environmental Review Coordinator
EPA Region 4
345 Courtland Street, NE
Atlanta, GA 30365
(404) 347-3776
Mike McMullen
Environmental Review Coordinator
EPA Region 5
77 West Jackson Boulevard
Chicago, IL 60604-3507
(312)886-7342
Mike Jansky
Environmental Review Coordinator
EPA Region 6
First Interstate Bank Tower at Fountain PI.
1445 Ross Avenue, 12th Floor, Suite 1200
Dallas, TX 75202-2733
(214)665-7451
LynnKring
Environmental Review Coordinator
EPA Region 7
726 Minnesota Avenue
Kansas City, KS 66101
(913)551-7456
BillGeise
Environmental Review Coordinator
EPA Region 8
999 18th Street, Suite 500
Denver, CO 80202-2466
(303)312-6388
Dave Parrel
Environmental Review Coordinator
EPA Region 9
75 Hawthorne Street
San Francisco, C A 94105
(415)744-1584
Ruth Siguenza
Environmental Review Coordinator
EPA Region 10
1200 Sixth Avenue
Seattle, WA 98101
(206)533-2143
E-l
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Appendix F
Project-Level Compliance Worksheet
-------
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Safety, Health, and Environmental
Management Guidelines
May 1998
National Environmental Poll
ASSESSMENT FACTORS
Mitigation
Required
I. REGULATORY
DRS
A. Air Pollution Control (inducing 1C PCs)
B. unfixing water Management
c. water Pollution control
u. Hazardous waste Management
c. soin waste Management
r. PCB Management
G. underground storage Tank Management
H. Radioactive Matenate Management
Light Emissions
II. ENVIRONMENTAL FACTORS
A. Natural Factors
1. Fish and Wildlife
z. vegetation
3. Endangered Species
4 water and Hydrology
5. Air and Noise
6. Physiography
7. Soils and Erosion
8. Historical, Archaeological, Paleontological Resources
9. Prime Farmlands
10. Wetlands
II.Ftoodpbins
12 Wild and Scenic Rivers
13 Coastal Zone Areas
14. Coastal Barriers Resources
15. National Wlldnemess
B Human Factors
1. Demography
2. Housing
3. Utilities
4 Police, Fire, and Schools
5. Social Services
6. Recreation and Aesthetics
7. Land Use
8. Traffic and Transportation
9. Quality of Lire
10 Environmental Justice
A. Residential Dwellings
B. Local Employment
C. Public Health and WelkBeing
D Relocation of Public Utilities
E. Traffic Congestion
F. Safety
G Effect on Population Trends
H. Adverse Community Reaction to the Project
F-l
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SAFETY, HEALTH, AND
ENVIRONMENTAL MANAGEMENT
PROGRAM GUIDE
Guide No..
Issued _
Revised
o5
CLEAN AIR ACT (CAA) PROGRAM
SCOPE OF THE PROGRAM
This Program Guide provides an overview of
the requirements EPA facilities must fulfill to
comply with the regulations, guidance, and
procedures associated with the Clean Air Act
(CAA) of 1970 and the Clean Air Act
Amendments (CAAA) of 1990. The CAA
established National Ambient Air Quality
Standards (NAAQS) and State
Implementation Plan (SIP) requirements to
ensure that attainment areas are protected
and nonattamment areas reach attainment
goals within established SIP time frames.
Attainment areas are defined as those areas
which meet the NAAQS for the six criteria
pollutants (i.e., carbon monoxide, ozone,
participate matter, sulfur dioxide, nitrogen
oxides, and lead). Nonattainment areas are
defined as those areas not meeting the
NAAQS for any of the six priority pollutants.
SIP requirements include protection of air
quality, adherence to construction and
operational permits, compliance with air
pollution performance standards for new or
modified stationary sources, adherence to
hazardous and toxig air pollutant standards,
and the phase out of stratospheric ozone
depleting chemicals.
The CAA also provided requirements for
new air pollution sources and facilities
emitting hazardous air pollutants. The
CAAA provided supplemental and revised
requirements to the CAA including
nonattainment areas (Title I), mobile sources
(Title II), air toxics including hazardous air
pollutants(Trtle III), acid deposition control
(Title IV), operational permits (Title V),
stratospheric ozone protection (Title VI).
enforcement (Title VII), miscellaneous
provisions (Title VIII), and clean air research
(Title IX). For the purposes of this Program
Guide, the most significant impact to EPA
facilities is meeting the requirements
identified in the SIP; new source
performance standards; and Titles I, III, V,
and VI of the CAAA.
REGULATORY REQUIREMENTS.
The key or basic elements of the CAA
Program required by law and/or EPA policy
are to:
Determine the new air pollution source
requirements and emission standards
for hazardous air pollutants
Develop and maintain air operating
permits for facility operations associated
with air sources, air emissions, air
control devices, and air compliance
plans
Phase out Class I and II ozone depleting
substances prior to the deadlines
established by the statute.
AUTHORITIES
The following documents are the sources of
the legal authority that establishes the
applicability and requirements of this
program.
Clean Air Act (CAA), 42 United States
Code (USC) 7401 et seq.
Title 40 Code of Federal Regulations
(CFR), Parts 50 through 99 (CAA and
CAAA regulations)
Executive Order 12088. Federal ,
Compliance with Pollution Control
Standards. October 13.1978 i
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EPA Safety. Health, and Environmental
Management Guidelines
EPA Facility Safety, Health, and
Environmental Management Manual
REFERENCES
The document listed below can help you
implement the CAA Program and specifically
are intended for facility operations.
Profiles Of State Title V Prngra.^
developed by Stateside Associates on
April 22, 1994
IMPLEMENTATION ACTIVITIES
The following list gives an overview of the
activities that this program will require. To
implement and operate this program, you
must:
Identify and incorporate the SIP
requirements into facility operations
Identify the state nonattainment areas
and develop a plan to reduce the
pollutant emissions directly impacting
those areas, if applicable
Be familiar with EPA's new source
performance standards to determine if
they apply to your operations
Identify the hazardous air pollutants
used at your facility and ensure they are
managed in accordance with federal
and/or state requirements
Comply with the facility air operating
permit(s)
Develop a plan to phase out Class I and
II ozone-depleting substances (ODSs)
Follow technical and procedural
standards for the management of
chlorofluorocarbons (CFCs), halons, and
other ODSs.
IMPLEMENTATION IMPLICATIONS
The management systems and internal
controls required to implement this program
include:
Procedures to ensure compliance with
SIP requirements, state nonattainment
areas, new source performance
standards, and air operating permits
A system to monitor and manage
hazardous air pollutants in an
environmentally sound manner '
A system to track changes to CAA
regulations that may impact your
operations
A system to track the phase out of Class
I and II ozone-depleting substances
A system for tracking the technical and
procedural requirements for the
management of CFCs, halons, and other
ODSs
CAA training to promote staff awareness
and educate staff on specific
implementation procedures.
-------
Safety, Health, & Environmental October 1997
Management Guidelines
Clean Air Act
Section 05-01
Table of Contents
CAA 05-01 Table of Contents
CAA 05-02 Introduction
Purpose 05-5
Scope 05-5
Authority 05-6
Objectives 05-6
Responsible Officers 05-7
References 05-7
CAA 05-03 National Ambient Air Quality Standards - 40 CFR Part 50
Introduction 05-9
National Primary and Secondary Ambient Air Quality Standards 05-9
CAA 05-04 State Implementation Plans - 40 CFR Parts 51-52
Introduction 05-11
Preparation, Adoption and Submittal of Implementation Plans 05-11
Approval and Promulgation of Implementation Plan 05-11
SIP Permitting 05-11
CAA 05-05 Standards of Performance for New Stationary Sources -
40 CFR Part 60
Introduction 05-15
Examples 05-15
NSPS/Permitting Interface 05-16
CAA 05-06 National Emission Standards for Hazardous Air Pollutants -
40 CFR Part 61
Introduction 05-19
Examples 05-19
NESHAP/Permitting Interface 05-20
Table of Contents
05-1
-------
Safety, Health, & Environmental October 1997
Management Guidelines
Clean Air Act
CAA 05-07 Tide I of the Clean Air Act Amendments of 1990 - Nonattainment
National Ambient Air Quality Standards 05-21
Title I/Permitting Interface 05-21
CAA 05-08 Title OI of the Clean Air Act Amendments of 1990 - Air Toxics -
40 CFR Part 63
Introduction 05-25
Potential Impacts 05-26
Residual Risk 05-27
Tide m/Permitting Interface 05-25
CAA 05-09 Section 112(r) of the Clean Air Act Amendments of 1990 -
Release Prevention -40 CFR Part 68
Introduction 05-29
Potential Impacts 05-29
112(r)/Permitting Interface 05-30
CAA 05-10 Title V of the Clean Air Act Amendments of 1990 -
Operating Permits - 40 CFR Part 70
Introduction 05-31
Operation Permit Application 05-31
Other Potential Impacts 05-32
CAA 05-11 Title VI of the Clean Air Act Amendments of 1990 - Prevention -
40 CFR Part 82
Ozone-Depleting Substances 05-33
CAA 05-12 Exhibits
Exhibit 05-1 189 Hazardous Air Pollutants 05-37
Exhibit 05-2 Categories of Sources of Hazardous Air Pollutants
and Regulation Promulgation Schedule 05-42
Exhibit 05-3 List of Ozone-Depleting Substances -
Appendices from 40 CRF Part 8 05-48
Exhibit 05-4 List of Acronyms 05-55
Table of Contents
05-2
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Safety, Health, & Environmental October 1997
Management Guidelines
Clean Air Act
Appendix
Clean Air Act Management Tools 05-56
Tables
Table 1 Major Sources in Nonattainment Areas 05-20
Table 2 Sources Required to Obtain a Title V Operating Permit 05-29
Table 3 ODS Class I Phase-Out Dates 05-32
Table of Contents
05-3
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Safety, Health, & Environmental October 1997
Management Guidelines
Clean Air Act
The page left intentionally blank.
Introduction
05-4
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Safety, Health, & Environmental
Management Guidelines
October 1997
Clean Air Act
Section 05-02
Introduction
PURPOSE
SCOPE
This chapter provides policy, guidance and information to ensure
that EPA facilities and operations are in compliance with applicable
technical and procedural requirements of federal, state, and local air
pollution control standards.
The Clean Air Act (CAA) and the Clean Air Act Amendments of
1990 give the U.S. Environmental Protection Agency (EPA) the
responsibility to regulate the control of air pollution within the
United States. The provisions of the CAA, as amended by the
CAA Amendments of 1990, address a range of topics relating to
the mitigation of air pollution. Those most relevant to EPA
facilities include State Implementation Plan (SIP) requirements to
protect air quality, construction and operating permit requirements,
performance standards for new or modified stationary sources of air
pollution standards, standards for hazardous and toxic air
pollutants, and the phase out of stratospheric ozone-depleting
chemicals.
This chapter of the Safety, Health, and Environmental Management
Guidelines (SHEMG) emphasizes the air quality programs of the
CAA as promulgated under Tide 40 of the Code of Federal
Regulations (CFR). Many activities at EPA facilities are affected
by these regulations, which address the use, control, and release of
a wide variety of air contaminants.
This chapter provides descriptive information on regulatory
requirements, guidance, recommended procedures, and
management tools to assist EPA facilities in complying with the
CAA, as amended, and to minimize the risks from releases of air
pollutants.
The information in this chapter is intended to ensure that EPA
facility operations pose minimal risk to human health and the
environment as a result of releases of air pollutants.
The CAA of 1970 established National Ambient Air Quality
Standards (NAAQS) and SIP requirements to ensure that (1)
attainment areas remain attainment areas and (2) nonattainment
areas become attainment areas. Also included were regualtions for
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new air pollution sources and facilities emitting hazardous air
pollutants.
In the CAA Amendments of 1990, Congress supplemented and
revised existing requirements through the following pieces of
legislation:
• Tide I - Nonattainment
• Title H - Mobile Sources
• Title m - Air Toxics/Hazardous Air Pollutants
• Title IV - Acid Deposition Control
• Title V - Operating Permits
• Title VI - Stratospheric Ozone Protection
• Title VH - Enforcement
• Title Vm - Miscellaneous Provisions
• Title IX - Clean Air Research.
This chapter focuses on the CAA's legislative provisions most
significantly impacting EPA operations, such as SIP requirements,
new source performance standards, and Titles I, m, V, and VI.
AUTHORITY Section 118 of the Clean Air Act (CAA), as amended in 1990; 40
CFR Parts 50 through 99; Executive Order 12088.
OBJECTIVES
The objectives of this chapter are to:
• Ensure conformance with applicable federal, state, and local
air pollution regulations
• Enhance awareness of CAA requirements to facilitate the
implementation of effective management systems and
emission reduction strategies that minimize risks to EPA
employees, facilities, and the environment
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• Clarify selected aspects of the CAA regulations that are of
special relevance to EPA facilities
• Provide guidance and recommend procedures to assist EPA
Safety, Health and Environmental Management managers
(SHEM managers) in fulfilling their program administration
responsibilities in an efficient and highly informed manner.
RESPONSIBLE All persons managing hazardous substances and processes at EPA
OFFICERS facilities are responsible, to some degree, for proper management
and control of potential air pollutants. Compliance with CAA
regulations is primarily the responsibility of EPA facility
management, the SHEM manager, and the facilities engineering
staff.
REFERENCES Topics discussed in this chapter were developed from the following
sources:
CAA of 1970
• CAA Amendments of 1990
• Published notices, proposed regulations and promulgated
regulations under 40 CFR Parts 50-99
• Profiles of State Title V Programs, Stateside Associates,
April 22,1994.
• Facility Safety, Health and Environmental Management
Manual, April 1996.
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Section 05-03
National Ambient Air Quality Standards - 40 CFR Part 50
INTRODUCTION
The National Ambient Air Quality Standards define levels of
ambient air quality necessary to protect public health and welfare.
NATIONAL
PRIMARY AND
SECONDARY
AMBIENT AIR
QUALITY
STANDARDS
EPA established NAAQS which specify the allowable ambient
concentrations for six priority pollutants. These pollutants were the
subject of extensive evaluation by the National Institute of
Occupational Safety and Health, which resulted in the development
of "criteria documents," that outline the potential public health risks
for the following pollutants:
• Carbon monoxide (CO)
• Ozone (O,)
• Paniculate matter (PM-10)
Sulfur dioxide (SO,)
• Nitrogen oxides (NOx)
• Lead (Pb).
Aside from nitrogen oxides which are subject to a specific NAAQS,
emissions of volatile organic compounds (VOCs) also act as
precursors to the formation of ozone. Thus, VOCs are also
regulated frequently to control ambient ozone levels. The CAA
mandates that states develop SIPs to regulate emissions from
stationary and mobile sources to ensure attainment and maintenance
of the NAAQS. The NAAQS serve as the basis for emission
limitations established in SIPs. These SIP requirements are
applicable to EPA facilities for emissions of criteria pollutants and
VOCs.
Areas that are not in compliance with the NAAQS may be
designated as "nonattainment areas." SIPs for these areas contain
more stringent requirements for emissions of the pollutants which
exceed the NAAQS.
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Emission sources of criteria pollutants at EPA facilities most
commonly include the following:
• Fossil fuel-fired boilers
• Emergency power generators
• Internal combustion engines (for emergency power)
• Storage tanks (for fuels and VOCs)
• Painting operations.
Guidance: EPA facilities should inventory sources of criteria air
pollutants to determine the applicable permitting and regulatory
air pollution control standards. The emissions inventory tools and
references provided in Appendix 1 of this chapter can be used in
performing air pollution source assessments at your site.
Inventories should be updated periodically (e.g., annually) to
account for the installation of new sources or the commencement
of new project activities that -will increase air pollutant
contributions to the atmosphere.
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INTRODUCTION
APPROVAL AND
PROMULGATION
QE
IMPLEMENTATION
PLAN
Section 05-04
State Implementation Plans - 40 CFR Parts 51-52
The CAA delegates implementation and enforcement of the Act's
provisions to the states through SIPs The SIP is the mechanism
through which emission controls are imposed by the state on
stationary sources to ensure compliance with the NAAQS. EPA
has approved SIPs in all states.
PREPARATION. ACOPTION AND SUBMTTTAL OF
IMPLEMENTATION PLANSEPA has established minimum
substantive and procedural requirements for SIPs. States must
meet these requirements in order to obtain EPA approval of their
SIPs. These requirements include:
• Procedural requirements (Subpart F)
• Control strategy (Subpart G)
• Review of new sources and modifications (Subpart I)
• Legal authority (Subpart L)
Reports (Subpart Q).
SIPs developed by individual states are codified in 40 CFR Part 52.
Approval of a SIP by EPA makes itsprovisions enforceable by EPA,
the state, and citizen suits. These provisions are known as
"federally enforceable limits" and provide the basis for enforcing air
pollution control mandates. Thus, EPA facilities should be aware
of, and comply with, the regulatory requirements set by the SIP
developed for its individual state.
SIP PERMITTING
Review of new sources and modifications in SIPs is accomplished
through permitting programs. Since permitting requirements can be
complex and are a critical component of air pollution control
programs, a broad overview of permitting requirements typically
included under SIPs is described here. Permits for stationary
sources are a primary mechanism used by state regulatory agencies
to administer air pollution control programs. Permits are used as a
flexible tool to meet a range of objectives, including identifying and
registering air pollution sources, establishing operating limitations
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and technology requirements to minimize impacts on achieving the
NAAQS, establishing monitoring provisions to verify achievement
of permit limitations, and imposing self-reporting obligations for
noncompliance with established permit provisions.
Permit application reviews are intended to prevent emissions from
new sources and modifications of existing sources from causing or
contributing to violations of the NAAQS. Permit application
review usually consists of evaluating emissions, emissions control
mechanisms, and development of operating, monitoring and
reporting conditions to ensure compliance with the SIP.
The requirement to obtain a permit may be based on actual
emissions or potential emissions. Actual emissions are defined
typically as the emissions from a new or modified source after the
application of any emission controls. Potential emissions are
defined as the maximum capacity of a source to emit a pollutant
when it is operating at full capacity, 24 hours a day, 365 days a
year. Accordingly, even moderate capacity stationary sources may
trigger requirements where states base permit thresholds on
potential rather than actual emissions.
The distinction between actual and potential emissions is important
since it will determine whether stationary sources at EPA facilities
may be defined as major sources subject to increased permitting
requirements or minor sources with reduced permit and regulatory
considerations. A major source is defined under the CAA as any
stationary source (or group of sources on contiguous property) that
has the potential to emit 100 tons per year or more of a regulated
air pollutant. Minor sources typically encompass those smaller
contributors of air pollutants that do not meet the federal definition
of a major source.
As a result of the potential to emit provisions, EPA facilities with
combustion units, such as fossil fuel-fired boilers, may qualify as
major sources based on 24-hour a day, year-round operation.
However, SIPs sometimes provide for minor source permits that
dictate specific operating limitations to reduce air emissions. These
permit conditions represent federally enforceable limits that may
eliminate the applicability of more stringent major source regulatory
controls. Accordingly, EPA facilities should review the scope of
regulated emission types, regulatory source definitions that are
applicable to sources within their air quality control region. Specific
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design and operational considerations to be determined prior to
installing or modifying sources are identified in Chapter 8 of the
Facility Safety, Health and Environmental Management Manual.
Minor Source Permits
Prevention of
Significant
Deterioration (PSD
Permits)
Nonattainment Area
Permits
The majority of permits issued by a state under its SIP are for the
construction of new minor emission sources or emission increases
due to modifications of existing sources. These permits normally
are required for increases in actual emissions of pollutants over
threshold values specified in the specific state permit regulations.
SIPs may also contain provisions, such as "permit exemptions," or
"permit de minimis levels," for processes or activities which do not
require a permit. Permit de minimis levels are emission rates,
below which permits are not required. Permit exemptions typically
identify requirements for specific processes or activities which
facilities may qualify for if emissions remain below specified levels.
The PSD permit program is intended to prevent the deterioration of
air quality by controlling actual and potential emission increases
from new major sources or modifications. PSD permits are issued
for criteria pollutants for which an area is in compliance with the
NAAOS and other pollutants regulated under the CAA, including
the following "significance" pollutants:
• Fluorides
• Sulfuric acid mist
• Hydrogen sulfide (H,S)
• Total reduced sulfur (including H,S)
• Reduced sulfur compounds (including H,S).
SIP nonattainment area permit programs for major sources are
intended to prevent the further violations of the NAAQS in
nonattainment areas by controlling actual and potential emission
increases of the pollutants contributing NAAQS violations from
new major sources or modifications of existing sources. Major
sources typically include those stationary sources that have the
potential to emit more than 100 tons per year of any pollutant
regulated under the CAA. States may impose additional
requirements that supplement the definition of a major source or
lower emission thresholds for sources located in nonattainment
areas. These types of permits may contain requirements to
decrease emissions at other areas of the facility to offset any
emissions increases associated with the operation of a major source.
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Synthetic Minor
Permits
If a facility is a major source based on its potential to emit, but will
not actually emit the pollutants at levels over the major source
definition thresholds, the facility may be eligible to obtain a minor
source permit that provides operating conditions and restrictions
limiting its emissions below major source thresholds. This type of
permit is known as a synthetic minor permit. Any facility seeking
such a permit should carefully evaluate its willingness to accept and
comply with the necessary restrictions to obtain synthetic minor
status.
Guidance: EPA facilities should maintain a copy of the applicable
state and local air pollution control regulations and be aware of
the types of emissions, pollutants, and emission increases which
may require permits. EPA facilities also are advised to coordinate
SIP source and emissions inventory requirements with those in
other Clean Air Act programs under Titles I, III, Vand VI.
Appendix 1 of this chapter provides procedures for systematically
identifying emissions sources and associated permitting
requirements for air pollution sources located at EPA facilities.
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INTRODUCTION
Section 05-05
Standards of Performance for New Stationary Sources
40 CFR Part 60
EPA has developed new source performance standards (NSPS) for
approximately 75 specific industrial categories to provide a ceiling
for emissions of criteria pollutants from new sources. They are
based on application of the best demonstrated technology available
to reduce emissions. In addition to emission standards, NSPS
include requirements for notification, performance tests,
maintenance, monitoring, recordkeeping and reporting.
NSPS regulations are written in subparts for each source category.
While the specific applicability requirements may differ, all are
based on actual emissions from new or modified existing sources
where construction began after the effective date specified in the
subpart for that source category.
Laboratories are not among the industrial categories for which EPA
has established an NSPS, therefore laboratories do not have an
NSPS specifically applicable to them. EPA facilities, however, may
have specific units, such as fossil fuel-fired combustion units or
volatile liquid storage tanks that may have to comply with the
specific NSPS requirements under 40 CFR Part 60, Subparts DC
and Kb.
NSPS Subpart DC, Standards of Performance for Small Industrial,
Commercial, Institutional Steam Generating Units, applies to each
steam generating unit, such as a boiler, that has a maximum heat
input capacity of at least 10 million Btu per hour for which
construction, modification or reconstruction commenced after June
9, 1989. This subpart, found at 40 CFR 60.40c, contains emission
and performance standards, as well as performance tests,
monitoring, recordkeeping and reporting requirements for
paniculate matter and sulfur dioxide.
NSPS Subpart Kb, Standards of Performance for Volatile Organic
Liquid Storage Vessels (including Petroleum Liquid Storage
Vessels) for which Construction, Reconstruction or Modification
Commenced after July 23, 1984, is found at 40 CFR 60.110(b).
Subpart Kb applies to storage vessels with a storage capacity of
more than 40 cubic meters (approximately 10,000 gallons) and with
EXAMPLES
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NSPS/PERMTTTING
INTERFACE
SIP permitting
Title V Permitting
Clean Air Act
VOC emission controls that vary depending on the capacity of the
storaee vessel.
storage vessel
A facility which is subject to NSPS may also be subject to SIP
construction or Title V operating permit requirements.
NSPS requirements apply independently of any SIP
permittingrequirements, but may be referenced in permit conditions.
EPA facilities should evaluate both NSPS and permitting
applicability when a new source or modification may cause an
increase in actual emissions
Guidance: EPA facilities should institute a review process to
evaluate the permitting and NSPS implications associated "with
installing or modifying fossil fuel-fired boilers and volatile organic
liquid storage vessels. Particular attention should be given to
constructing or modifying fossil fuel-fired combustion units with a
maximum design heat capacity of JO million Btuper hour or more
and volatile organic liquid storage vessels with a minimum
internal volume of JO, 000 gallons.
Under the EPA final rule on State Operating Permit Programs (57
FR 32295; July 21, 1992) codified at 40 CFR Part 70, NSPS
sources are required to obtain a Title V operating permit. Thereare
provisions in Part 70, however, that allow deferral of, or exemption
from, the requirement to obtain an operating permit required solely
due to NSPS and NESHAPs in certain circumstances including:
• Sources subject to NSPS which do not emit 100 tons per year
of a regulated air pollutant, or
• Sources and source categories required to obtain a Title V
operating permit solely because they are subject to Part 61,
Subpart M NESHAPs for Asbestos (40 CFR 61.145).
EPA facilities should review the specific requirements relating to
NSPS in the applicable Part 70 operating permit programs for their
area.
Guidance: All EPA facilities must investigate whether any of the
source categories apply to their facilities and comply with the
applicable general and specific NSPS requirements for specific
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units such as combustion units and storage tanks. EPA facilities
should also identify SIP construction and Title V operating permit
program requirements that are applicable to sources regulated by
theNSPS.
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Section 05-06
National Emission Standards for Hazardous Air Pollutants
40 CFR Part 61
INTRODUCTION
EXAMPLES
NESHAP/
PERMITTING
INTERFACE
SIP permitting
EPA has developed health-based national emission standards for
hazardous air pollutants (NESHAP) for the following pollutants:
• Asbestos (Subpart M)
• Benzene (Subpart J, L, Y, BB, and FF)
• Beryllium (Subparts C and D)
• Fugitive emissions (Subpart V)
• Inorganic arsenic ( Subparts N, O, and P)
• Mercury (Subpart E)
• Radon (Subparts B, Q, R, T and W)
• Radionuclides (Subparts H, I, and K)
• Vinyl chloride (Subpart F).
NESHAP standards also include notification, emission testing,
monitoring, recordkeeping, and reporting requirements. Many of
these standards, however, only apply to specific processes and
industrial activities.
Subpart M, National Emission Standard for Asbestos, includes
various standards including requirements for demolition and
renovation of buildings containing asbestos as well as labeling
provisions for asbestos waste.
A facility which is subject to NESHAP may also be subject to SIP
construction or Title V operating permit requirements.
NESHAP requirements apply independently of any SIP permitting
requirements, but may be referenced in permit conditions. EPA
facilities should evaluate both NESHAP andpermitting applicability
any time a new source or modification may cause an increase in
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Tide V Permitting
Clean Air Act
actual emissions of NESHAP pollutants, since regulatory agencies
commonly conduct such evaluations.
Under the EPA final rule on State Operating Permit Programs (57
FR 32295; July 21, 1992) codified at 40 CFR Part 70, NESHAP
sources are required to obtain a Title V operating permit. There
are provisions in Part 70, however, that allows deferral of, or
exemption from, the requirement to obtain an operating permit
required strictly due to NESHAP in certain circumstances. EPA
facilities should review the specific requirements relating to
NESHAP in the applicable Part 70 operating permit programs for
their area.
Guidance: All EPA facilities must investigate whether they emit
any NESHAP pollutants, are subject to any NESHAP subparts,
and comply with the applicable general and specific NESHAP
requirements. EPA facilities should also identify the specific SIP
construction and Title V operating permit program requirements
regarding NESHAP.
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NATIONAL
AMBIENT AIR
QUALITY
STANDARDS
Section 05-07
Title I of the Clean Air Act Amendments of 1990
Nonattainment
The CAA, as amended, addresses nonattainment of the NAAQS by
applying administrative controls on states to correct long-standing
violations of the standards. For ozone, for example, Title I
establishes five nonattainment area designations (classifications)
from "marginal" to "extreme" with each nonattainment area ranked
according to the severity of the violation of the ozone standard.
Tide I provisions will vary depending on the type and designation
of nonattainment area, as well as the specific requirements in the
revised SIPs. The new nonattainment area designations may mean
new counties are included in designated nonattainment area. Tide I
requirements may include new or revised emissions inventories, SIP
conformity plans and certifications, emissions banking and trading
provisions, and more stringent emission controls.
TITLE
I/PERMITTING
INTERFACE
SIP permitting
A facility which is subject to Title I may also be subject to SIP
construction or Tide V operating permit requirements.
The major source thresholds in sulfur dioxide, nitrogen oxide, and
lead nonattainment area remain at potential emissions of 100 tons
per year (tpy). The major source thresholds in ozone, PM-10, and
carbon monoxide nonattainment areas, however, are variable
depending on the pollutants) of concern and the severity of the
nonattainment. Table I illustrates the new major source thresholds
in these areas as a result of Tide I.
Title I of the Clean Air Act Amendments of 1990
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Table 1
Major Sources In Nonattainment Areas
Nonattainment Area
Criteria Pollutant
ozone
PM-10
carbon monoxide (CO)
Nonattainment Area
Classification
marginal
moderate
serious
severe
extreme
ozone transport region
moderate
serious
moderate
serious
Major Source Threshold
(potential emissions)
100tpy(VOCsorNOx)
100tpy(VOCsorNOx)
50tpy(VOCsorNOx)
25tpy(VOCsorNOx)
10tpy(VOCsorNOx)
50 tpy VOCs
lOOtpy
70 tpy
100 tpy
50 tpy*
* If EPA determines stationary sources significantly contribute to the CO air quality problem, then
the regulating air pollution control agency may impose more stringent major source thresholds.
EPA facilities should note the decreases in major potential emission
source thresholds in certain ozone, PM-10 and carbon monoxide
nonattainment areas that could make them subject to major source
permitting requirements.
The inclusion of nitrogen oxides to the major source definition in
ozone nonattainment areas may also impact EPA facilities with
nitrogen oxides emission sources, such as combustion units.
Guidance: EPA facilities in ozone nonattainment areas or
"borderline " ozone nonattainment areas should be aware of and
plan for announcements of "ozone action or alert days" when
environmental conditions may contribute to a NAAQS violation.
Following the recommendations given by regulatory agencies on
these days not onty promotes EPA as a model citizen, but could
also help prevent NAAQS violations and nonattainment
designations.
Title I of the Clean Air Act Amendments of 1990
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Title V Permitting
Under the EPA final rule on State Operating Permit Programs (57
FR 32295; July 21,1992) codified at 40 CFR Part 70, Title I
regulated sources would be required to obtain a Title V operating
permit. EPA facilities should be aware of the attainment status of
their areas, their potential emissions of criteria pollutants and the
specific requirements in the revised SIPs and State Part 70
programs related to Title I.
Guidance: EPA facilities should consult -with state and local air
pollution control authorities to determine their attainment status
classification. Agency operations located in areas with
nonattainment status for one or more NAAQS should devise
systems to identify potential permitting and regulatory impacts
associated with facility changes, both operational and engineering,
that will increase emissions of these pollutants. Capital investment
and new project review processes should emphasize pre-
construction approval and permit considerations associated with
installing or modifying air pollution sources in nonattainment
areas.
Title I of the Clean Air Act Amendments of 1990
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Section 05-08
Title m of the Clean Air Act Amendments of 1990
Air Toxics - 40 CFR Part 63
INTRODUCTION Title m of the Clean Air Act Amendments of 1990 established a list
of 189 hazardous air pollutants (HAPs). The list includes 172
specific chemicals, including such common substances as chlorine,
methanol, methyl ethyl ketone and toluene. Seventeen compound
categories also are included, such as compounds of arsenic,
mercury and beryllium. The complete list of HAPs is provided in
Exhibit 05-1 at die end of this chapter.
EPA plans to regulate sources of HAPs by industrial source
category. EPA's current published list of HAP source categories
and their regulation promulgation schedule is included as Exhibit
05-2 at the end of this chapter. EPA facilities with sources
potentially regulated under Title m source categories include:
• Gasoline distribution facilities
• Solid and hazardous waste treatment, storage and
disposal facilities
• Hazardous waste incinerators
• Engine test facilities
• Institutional-commercial boilers.
Sources emitting these pollutants are to be regulated based on the
quantity of their potential emissions. A major source under Title HI
is defined to be any new or existing stationary source of HAPs,
which has the potential to emit 10 tons per year of any individual
HAP or 25 tons per year of any combination of HAPs. An area
source is defined as any stationary source of HAPs which is smaller
than a major source.
Technology-based emission standards will be required for any
major source based on Maximum Achievable Control Technology
(MACT) or any area source based on Generally Available Control
Technology Standards (GACT). Standards (which are scheduled to
be promulgated by EPA using a phased-in approach from 1990 to
2000) will be pollutant-specific standards for individual source
Title m of the Clean Air Act Amendments of 1990
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POTENTIAL
IMPACTS
RESIDUAL RISK
Clean Air Act
categories. To achieve emissions reduction, the standards may
require specific pollution control equipment, process changes raw
material substitutions, production control procedures, or a
combination of any or all of these.
EPA facilities should be aware that section 112(cX7) of the CAA,
as amended, requires EPA to specifically evaluate the need to
promulgate a separate source category for research and laboratory
institutions. Standards for other source categories, such as those
for fuel combustion and waste treatment and disposal, may also
impact specific units at EPA facilities.
Emission sources of HAPs at EPA facilities include:
• Laboratory fume hoods
• Fuel loading/unloading operations
• Maintenance operations
• Combustion devices emitting one or more HAPs
• Painting operations
• Special research studies (e.g., pilot, bench or full scale
hazardous waste treatment, storage or disposal).
Congress wanted to ensure that these technology-based standards
were implemented and included requirements in Title HI that may
require states or facilities to become involved in setting MACT
standards if EPA fails to promulgate all the standards on schedule.
EPA facilities may be required to set or participate in either source
category or site-specific MACT standards for their facilities or
specific units at their facilities.
Eight years after a MACT standard is established for a source
category, EPA must evaluate the residual risk after MACT is
applied. If this "residual risk" exceeds the risk standards, further
emissions reductions (i.e., beyond MACT) must be applied. States
or specific facilities may be required to participate in this evaluation
of residual risk and application of additional emission reductions.
Title ID of the Clean Air Act Amendments of 1990
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TITLE
HI/PERMITTING
INTERFACE
A facility that is subject to Title in may also be subject to SIP
construction or Tide V operating permit requirements.
SIP Permitting
Title V Permitting
Title m requirements will likely apply independently of any SIP
permitting requirements, but may be referenced in permit
conditions. EPA facilities should evaluate both Title HI and SIP
permitting applicability when a new source or modification may
cause an increase in actual emissions of HAPs pollutants, since
regulatory agencies will likely conduct such evaluations.
Under the EPA final rule on State Operating Permit Programs (57
FR 32295; July 21, 1992) codified at 40 CFR Part 70, Title HI
sources would be required to obtain a Title V operating permit.
EPA facilities should be aware of the their potential emissions of
HAPs and State Part 70 programs related to Title m.
Guidance: All EPA facilities should identify their potential
emissions of HAPs, investigate whether any of the Title HI source
categories apply to their facilities (see Exhibit 2), and investigate
and comply with the applicable general and specific MACT
requirements for their specific units contributing HAPs to the
atmosphere such as hazardous waste treatment, storage and
disposal units. EPA facilities should identify the specific SIP
construction and Title V operating permit program requirements
regarding Title III MACT or GACT standards. EPA facilities also
are advised to coordinate Title III source and emissions inventory
requirements with those in other Clean Air Act programs under
existing SIPs and Titles I, V and VI.
Title DI of the Clean Air Act Amendments of 1990
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Section 05-09
Section 112(r) of the Clean Air Act Amendments of 1990
Release Prevention
40 CFR Part 68
INTRODUCTION
POTENTIAL
IMPACTS
Clean Air Act Section 1 12(r), risk management planning for
accidental release prevention, is intended to ensure that facilities
reduce the possibility and impact of accidental chemical releases.
The requirements also ensure government agencies and citizens
receive information regarding a facility's potential hazards and
release prevention procedures.
The rule for risk management planning would apply to facilities
with more than threshold quantities of regulated substances in their
processes. Many of these thresholds exceed those likely to be found
in EPA research and analytical support functions.
Because Section 1 12(r) release prevention requirements are based
on quantities of listed substances on-site and not emissions, and
because this program likely will operate somewhat separately from
other Clean Air Act programs, a broad overview of Section 1 12(r)
requirements is included here. EPA facilities should be aware of
and comply with the specific federal, state, and local regulatory
requirements proposed and promulgated to implement Section
Section 112(r) requires facilities with listed hazardous substances
on-site to notify EPA and develop and implement risk management
plans. Risk management plan requirements include:
• A five-year site accident history
• Hazard assessment, including the effects on human health and
the environment from a worst-case accident
• Accident prevention program similar to the OSHA process
safety management standard
• Emergency response program.
The risk management plan is to be submitted to EPA, local
emergency planning committees and other appropriate
organizations, such as local fire departments. The document is
Standards of Performance for New Stationary Sources
05-29
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Safety, Health, & Environmental
Management Guidelines
October 1997
PERMITTING
INTERFACE
Clean Air Act
to be available to the public through these agencies and
organizations.
Section 112(r) release prevention requirements likely will apply
independently of any SIP or Title V permitting requirements
because Section 112(r) is based on quantities of listed substances
on-site and not emissions. EPA facilities should be aware of the
specific requirements in SIP and State Part 70 permitting programs
related to Section 112(r).
Guidance: All EPA facilities must identify substances at their sites
•which are on the list of regulated substances, determine if the
amount of these substances exceed threshold levels within a
process, and reduce the amount of these substances below
threshold level or comply with the specific federal, state, and local
regulatory requirements proposed and promulgated to implement
Section 112(r).
Standards of Performance for New Stationary Sources
05-30
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Safety, Health, & Environmental
Management Guidelines
October 1997
Clean Air Act
INTRODUCTION
Section 05-10
Title V of the Clean Air Act Amendments of 1990
Operating Permits
40 CFR Part 70
Title V of the Clean Air Act Amendments of 1990 requires some
facilities to obtain operating permits. These operating permits
essentially consist of all the applicable air pollution requirements for
the facilities.
EPA facilities should evaluate the specific requirements for Title V
in the Part 70 programs for their state. Table 2 illustrates sources
required to obtain a Title V operating permit.
Table 2
Sources Required to Obtain a Title V Operating Permit
Source
Type
Any source
Major Sources
Some Sources
Affected Sources
Clean Air Act
Program/Title
All
PSD
Title I
Title m
NSPS
Title IV
Applicability
Threshold
Potential emissions of 100 tpy or more of
any regulated pollutant
100 tpy or 250 tpy potential emissions
depending on nonattainment area status
potential emissions of 10 tpy of a HAP or 25
tpy of any combination of HAPs
All major sources. Tide V compliance for
some minor sources may be exempted or
deferred.
Tide IV acid rain provisions are not likely to
be applicable to EPA facilities
OPERATING
PERMIT
APPLICATION
Title V operating permit applications include source, emission,
control device, and operating information as well as a compliance
plan. The compliance plan consists of a description of all applicable
requirements, the facility's compliance status with respect to those
requirements, the methods used to determine a compliance schedule
for any units out of compliance and an annual compliance
certification by a responsible official.
Title V of the Clean Air Act Amendments of 1990
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Safety, Health, & Environmental
Management Guidelines
October 1997
OTHER
POTENTIAL
IMPACTS
Synthetic Minor
Permits
Clean Air Act
EPA facilities required to obtain a Title V operating permit are
advised to immediately prepare a complete application to obtain a
permit application "shield" from enforcement by the regulatory
agency. This will allow the facility to remain in compliance with the
requirement to obtain an operating permit while the Title V permit
application is under review.
Other aspects of the Title V operating permit program such as
enhanced monitoring requirements under 40 CFR Part 64, annual
compliance certifications, and permit fees could increase the burden
and cost of Title V compliance.
If a facility is a major source based on its potential to emit, but will
not actually emit the pollutants at levels over the major source
definition thresholds, the facility may be eligible for a minor source
permit which limits its emissions below Title V (or any other major
source definition based on potential to emit) thresholds. This type
of permit is known as a synthetic minor permit. Any facility
seeking such a permit should carefully evaluate its willingness to
accept and live with the necessary retractions to obtain "synthetic
minor" status.
All EPA facilities must identify their potential
emissions of regulated pollutants, applicability to Title V
requirements, including other Clean Air Act programs "which
trigger Title V requirements. EPA facilities must determine if the
amount of these emissions exceeds threshold levels and either
reduce the amount of these substances below threshold levels, or
comply with the specific federal, state, or local regulatory
requirements and proposed and promulgated regulations to
implement Title V. EPA facilities are also advised to coordinate
Title IV source and emissions inventory requirements with those in
other Clean Air Act programs under existing SIPs and Titles I, V,
and VI.
Title V of the Clean Air Act Amendments of 1990
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Safety, Health, & Environmental
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October 1997
Clean Air Act
Section 05-11
Title VI of the Clean Air Act Amendments of 1990
Stratospheric Ozone Protection
40 CFR Part 82
Ozone-depleting substances are divided into) two groups, Class I
and Class n. Class I substances have a higher ozone-depleting
potential and are considered more damaging to the earth's ozone
layer. They include all chlorofluorocarbons (CFCs), carbon
tetrachloride, methyl chloroform, halons,
hydrobromofluorocarbons, and methylbromide. Class I substances
are further classified into six groups. Class n substances comprise
all hydrochlorofluoro-carbons (HCFCs) and include some
substances originally designed as substitutes for CFCs. Class n
substances also threaten the ozone layer, but to a lesser degree than
the Class I substances. Exhibit 05-3 contains selections from 40
CFR Part 8, including Appendix A, a list of all Class I and Class n
regulated substances and their corresponding ozone-depleting
potential.
OZONE-
DEPLETING
SUBSTANCES
(QJQS5)
Accelerated Phaseout
ofODSs
Title VI mandates phaseouts of the production of products
containing ozone-depleting substances. Section 604 of the statute
imposes limits on the production and consumption of Class I and
Class n substances. Under an accelerated schedule required by
Section 606, production and consumption of most Class I
substances is prohibited after December 31, 1995 (40 CFR Part
82.7 ). Consumption is defined as the level of production
(including imports) and excludes exports of controlled substances
(other than transshipments, or recycled or used controlled
substances). Production means the manufacture of a controlled
substance from any raw material or feedstock chemical, but does
not include the following: (1) the manufacture of a controlled
substance that is subsequently changed into a non-regulated
substance (e.g., using CFC's to produce other consumer products),
(2) the reuse or recycling of a controlled substance, (3) amounts
that are destroyed by the approved technologies, and (4) amounts
that are spilled or vented unintentionally (40 Part CFR 82.3) Under
Section 605 of the statute, most class n substances are restricted as
of January 1, 2015, and banned after January 1, 2030. Table 3
shows the CFC phaseout schedule. The final rule publishing the
reduction of the baseline production and consumption allowances
for the Class n substances has not been promulgated.
Title VI of the Clean Air Act Amendments of 1990
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Safety, Health, & Environmental
Management Guidelines
October 1997
Clean Air Act
Release Prohibitions:
Section 608
Section 608 of the CAA, as amended, prohibits venting Class I or
substances during servicing, repair, or disposal of all appliances
(including motor vehicle air conditioners) and industrial process
refrigeration units as of July 1,1992 (40 CFR Part 82.154).
Table 3
ODS Class I Phase Out Dates
Control
Period
1994
1995
1996
1997
1998
1999
2000
2001
Class I
Sub-
stances in
groups n
and in
25
25
0
0
0
0
0
0
Class I
Substances
in group n
(percent)
0
0
0
0
0
0
0
0
Class I
sub-
stances in
group IV
50
15
0
0
0
0
o
0
0
Class I
substances
in group V
(percent)
50
30
0
0
0
0
0
0
Class I
substances
in group VI
(percent)
50
30
0
0
0
0
0
0
Class I
substance
in group
vn
(percent)
100
100
0
0
0
0
0
0
Mandatory Recycling
of Appliance and
Refrigeration CFCs
Section 608 also requires EPA to develop regulations that reduce
the use and emission of ODSs in air conditioning and refrigeration
equipment. It instructs EPA to promulgate requirements
maximizing the recapture and recycling of ODSs during servicing of
such equipment. EPA codified these provisions and established
certification requirements for both technicians and recovery and
recycling equipment (40 CFR Part 82.161).
All facilities must ensure that employees or contractors are certified
in accordance with EPA provisions concerning the recovery and
recycling of ODSs in air conditioning and refrigeration appliances.
Specifically, as of November 14, 1994, no person may open or
dispose of an appliance except for an MVAC or MVAC-like
appliance unless the person has been certified as a technician for
that type of appliance pursuant to 40 CFR 82.161. In addition,
technicians must certify to EPA that the recovery equipment used
to service the appliances is capable of meeting the required levels of
Title VI of the Clean Air Act Amendments of 1990
05-34
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Safety, Health, & Environmental
Management Guidelines
October 1997
Motor Vehicle Air
Conditioner (MVAC)
Servicing
Significant New
Alternative
Policy (SNAP):
Section 612
Clean Air Act
evacuation for appliances set forth in 40 CFR 82.158. The
regulations also restrict the sale of Class I and Class n refrigerants
to any persons unless the buyer is certified to 40 CFR Part 82,
Subpart B.
Maintenance, service, and repair operations on air conditioning and
refrigeration appliances must follow the required practices outlined
in 40 CFR Part 82.156. EPA has instituted a system for third party
referrals of violators to supplement existing CFC regulatory
compliance inspections and reporting requirements.
Section 609, which sets standards for equipment as well as
technician training, covers motor vehicle refrigerant. EPA codified
the requirements of this section in 40 CFR 82 Subpart B, Servicing
of Motor Vehicle Air Conditioners. This section requires the use of
certified recovery and recycling equipment, outlines training and
certification requirements for technicians, and restricts the sale of
small containers of refrigerant (40 CFR 82.36, 82.38, and 82.40).
In order to prevent inappropriate substitution of ODSs, EPA
generated a list of approved substitutes (40 CFR Part 82 Subpart
G, Appendix A). The list designates the approved substitutes
according to application (e.g., CFC-12 centrifugal chillers, precision
cleaning with CFC-113, and Hal on 1211 streaming agents). An
EPA rule issued on March 18, 1994 (59 FR 13043), prohibits large-
scale substitution of ODSs unless the replacement can be found on
the list.
Title VI of the Clean Air Act Amendments of 1990
05-35
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Safety, Health, & Environmental
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Clean Air Act
October 1997
189 Hazardous Air Pollutants
Chemical Name
Acetaldehyde
Acetamide
Acetonitrile
Acetophenone
2-Acetylammofluorene
Acrolein
Acrylamide
Acrylic acid
Acrylonitrile
Allyl chloride
4-Aminobiphenyl
Aniline
o-Anisidine
Asbestos
Benzene (including benzene from gasoline)
Benzidine
Benzotrichloride
Benzyl chloride
Biphenyl
Bis(2-ethylhexvl)phthalate (DEHP)
Bis(chloromethyl)ether
Bromoform
1.3-ButacGene
Calcium cyanamide
Caprolactam
Captan
Carbaryl
Carbon disulfide
Carbon tetrachloride
Case
Number
75070
60355
75058
98862
53963
107028
79061
79107
107131
107051
92671
62533
90040
1332214
71432
92875
98077
100447
92524
117817
542881
75252
106990
156627
105602
133062
63252
75150
56235
Title VI of the Clean Air Act Amendments of 1990
05-36
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Safety, Health, & Environmental
Management Guidelines
Clean Air Act
October 1997
189 Hazardous Air Pollutants
Chemfcai Name
i f
Carbonyl sulfide
Catechol
Chloramben
Chlordane
Chlorine
Chloroacetc acid
2-Chloroacetophenone
Chtorobenezene
Chlorobenzilate
Chloroform
Chloromethyl methyl ether
Chloroprene
Cresols/Cresylic aod (isomers and mixture)
Cresols/Cresylic acid (isomers and mixture)
Cresols/Cresylic acid (isomers and mixture)
Cresols/Cresylic acid (isomers and mixture)
Cumene
2,4-D. salts and esters
DDE
Diazomethane
Dibenzofurans
1 ,2-Dibromo-3-chloropropane
Dibutylphthalate
1 ,4-Dichlorobenzene(p)
3. 3-Dichlorobenzidene
Dichloroethyl ether (Bis(2-chloroethyl)ether)
1 ,3-Dichloropropene
Dichlorvos
Diethanolamine
Cas0
Number
463581
120809
133904
57749
7782505
79118
523374
108907
510156
67663
107302
126998
1319773
95487
108394
106445
98828
94757
3547044
334883
132649
96128
84742
106467
91941
111444
542756
62737
111422
Title VI of the Clean Air Act Amendments of 1990
05-37
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Safety, Health, & Environmental
Management Guidelines
Clean Air Act
October 1997
189 Hazardous Air Pollutants
Chemical Name
f
N.N-Diethyl aniline (N.N-Dimethylanilme)
Diethyl sulfate
3.3-Dimethyloxybenzidine
Dimethyl aminoazobenzene
3.3-Dimethyl benzidine
Dimethyl carbamoyl chloride
Dimethyl formamide
1,1-Dimethyl hydrazine
Dimethyl phthalate
Dimethyl sulfate
4.6-Dinitro-o-cresol. and salts
2,4-Dinrtrophenol
2.4-Dinitrotoluene
1.4-Dioxane (1.4-Diethyleneoxide)
1 ,2-Diphenyl hydrazine
Epichlorohydrin(1-Chloro-2,3-epoxy propane)
1.2-Epoxybutane
Ethyl acrylate
Ethyl benzene
Ethyl carbamate (Urethane)
Ethyl chloride (Chloroethane)
Ethylene dibromide (Dibromoethane)
Ethylene dichloride (1.2-Dichloroethane)
Ethylene glycol
Ethylene imine (Azindne)
Ethylene oxide
Ethylene thiourea
Ethylidene dichloride (1.1-Dichloroethane)
Formaldehyde
Case '
llumber
121697
64675
119904
60117
119937
79447
68122
57147
13113
77781
534521
51285
121142
123911
122667
106898
106887
140885
100414
51796
75003
106934
107062
107211
151564
75218
96457
75343
50000
Exhibit 05-1
05-38
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Safety, Health, & Environmental
Management Guidelines
Clean Air Act
October 1997
189 Hazardous Air Pollutants
- Chemical Name
f
Heptachlor
Hexachlorobenzene
Hexachlorobutadiene
Hexachlorocydopentadiene
Hexachoroethane
Hexamethylene-1 ,6-cfiisocyanate
Hexamethylphosphoramide
Hexane
Hydrazine
Hydrochloric acid
Hydrogen fluoride (Hydrofluoric acid)
Hydroquinone
Isophorone
Undane (all isomers)
Maleic anhydride
Methand
Methoxychlor
Methyl bromide (Bromomethane)
Methyl chloride (Chloromethane)
Methyl chloroform (1,1,1-Trichloroethane)
Methyl ethyl ketone (2-Butanone)
Methyl hydrazme
Methyl iodide (lodomethane)
Methl isobutyl ketone (Hexone)
Methyl isocyanate
Methyl methacrylate
Methyl tert butyl ether
4.4-Methylene bis(2-chloroanilme)
Methylene chloride (Dichloromethane)
Case /
Number
76448
118741
87683
77474
67721
822060
680319
110543
302012
7647010
7664393
123319
78591
58899
108316
67561
72435
74839
74873
71556
78933
60344
74884
108101
624839
80626
1634044
101144
75092
Exhibit 05-1
05-39
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Safety, Health, & Environmental
Management Guidelines
Clean Air Act
October 1997
189 Hazardous Air Pollutants
, Ctiemlcal Name
"''-'', , ,
Methylene cf phenol disocyanante (MDI)
4.4-Methylenedianiline
Naphthalene
Nitrobenzene
4-Nitrobiphenyl
4-Nitrophenol
2-Nitropropane
N-Nitroso-N-methylurea
N-Nitrosoditnethylamine
N-Nitrosomorpholine
Parathion
Pentachloroitrobenzene (Quintobenzene)
Pentachlorophenol
Penol
p-Phenylenedamine
Phosgene
Phosphine
Phosphorus
Phthalic anhydride
Polychlorinated biphenyls (Arodore)
1.3-Propane sultone
beta-Propiolactone
Propionaldehyde
Propoxur (Baygon)
Propylene dichloride (1.2-Dichloropropane)
Propylene oxide
1.2-Propylenimine (2-Methyl azindine)
Quinolme
Quinone
Case
dumber
95954
88062
121448
1582098
540841
108054
593602
75014
75354
1330207
95476
108383
106423
108952
106503
75445
7803512
7723140
85449
1336363
1120714
57578
123386
114261
78875
75569
75558
91225
106514
Exhibit 05-1
05-40
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Safety, Health, & Environmental
Management Guidelines
Clean Air Act
October 1997
189 Hazardous Air Pollutants
Chemical Name
f *
Quinoline
Quinone
Styrene
Styrene oxide
2,3.7,8-Tetrachlorodibenzo-p-dioxin
1 .1 ,2,2-Tetrachloroethane
Tetrachloroethylene(Perchloroethylene)
Titanium tetrachloride
Toluene
2,4-Toluene (famine
2,4-Toluene diisocyanate
o-To!uicfine
Toxaphene (chlonnated camphene)
1 ,2,4-Tnchlorobenzene
1 , 1 ,2-Tnchloroethane
Trichloroethylene
2.4,5-Trichlorophenol
2,4,6-Trichlorophenol
Triethylamine
Trifluralin
2,2,4-Tnmethylpentane
Vinyl acetate
Vinyl bromide
Vinyl chloride
Vmylidene chloride (1,1-Dichloroethylene)
Xylenes (isomers and mixture)
Xylenes (isomers and mixture)
Xylenes (isomers and mixture)
Xylenes (isomers and mixture)
Case
Number
91225
106514
100425
96093
1746016
79345
127184
7550450
108883
95807
584849
95534
8001352
120821
79005
79016
95954
88062
121448
1582093
540841
108054
593602
75014
75354
1330207
95476
108383
106423
Exhibit 05-1
05-41
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Safety, Health, & Environmental
Management Guidelines
October 1997
Clean Air Act
Hazardous Air Pollutants (HAPs)
Chemical Jfome
Antimony Compounds
Arsenic Compounds (inorganic including arsine)
Beryllium Compounds
Cadmium Compounds
Chromium Compounds
Cobalt Compounds
Coke Oven Emissions
Cyanide Compounds1
Glycol ethers2
Chemical Name
Lead Compounds
Manganese Compounds
Mercury Compounds
Mineral fibers'
Nickel Compounds
Polycylic Organic Matter4
Radonudides (including radon)9
Selenium Compounds
NOTE For all listings above which contain the word 'compounds' and for glycol ethers, the following applies:
Unless otherwise specified, these listings are defined as including any unique chemical substance that contains the
named chemical (i.e.. antimony, arsenic, etc.) as part of that chemical's infrastructure.
1 X'CN where X = H' or any other group where a formal dissociation may occur. For example KCN or Ca(CN)2
2 includes mono- and cfi- ethers of ethylene glycol, diethylene glycol. and triethylene glycol
R-(OCH2CH2)n-OR' where
n = 1,2. or 3
R = alkyl or aryl groups
R' = R, H, or groups which, when removed, yield glycol ethers with the structure:
R-(OCH2CH)n-OH Polymers are excluded from the glycol category.
3 includes glass microfibers, glass wool fibers, rock wool fibers, and slag wool fibers, or other mineral derived fibers
of average diameter 1 micrometer or less.
4 includes organic compounds with more than one benzene ring, and which have a boiling point greater than or eq
5 a type of atom which spontaneously undergoes radioactive decay.
Exhibit 05-1
05-42
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Safety, Health, & Environmental
Management Guidelines
October 1997
Clean Air Act
Categories of Sources of Hazardous Air Pollutants
and Regulation Promulgation Schedule
Source Category
Engine Test Facilities
Industrial Boilers e
Institutional/Commercial Boilers c
Process Heaters
Stationary Internal Combustion Engines c
Stationary Turbines e
Primary Aluminum Production
Primary Copper Smelting
Primary Lead Smelting
Primary Magnesium Refining
Secondary Aluminum Production
Secondary Lead Smelting
Coke By-Product Plants
Coke Ovens' Charging. Top Side, and Door Leaks.
Coke Ovens: Pushing. Quenching, and Battery Stacks.
Ferroalloys Production
Integrated Iron and Steel Manufactunng
Iron Foundries
Steel Foundries
Steel PicWing-HCI Process
Alumina Processing
Asphalt Concrete Manufactunng
Asphalt Processing
Asphalt Roofing Manufactunng
Asphalt/Coal Tar Application-Metal Pipes
Chromium Refractories Production
Clay Products Manufacturing
Lime Manufacturing
Mineral Wool Production
Portland Cement Manufacturing
Taconite Iron Ore Processing
Wool Fiberglass Manufactunng
Oil and Natural Gas Production
Petroleum Refineries-Catalytic Cracking (Ruid and other) Units. Catalytic Reforming Units, and
Sulfur Plant Units.
Petroleum Refinenes-Other Sources Not Distinctly Listed.
Gasoline Distribution (Stage 1)
Marine Vessel Loading Operations
Organic Liquids Distribution (Non-Gasoline)
Aerospace Industries
Auto and Light Duty Truck (Surface Coating).
Flat Wood Paneling (Surface Coating)
Large Appliance (Surface Coating)
Magnetic Tapes (Surface Coating)
Manufacture of Paints. Coatings, and Adhesives.
Metal Can (Surface Coating)
Deadline -
11/15/00
11/15/00
11/15/00
11/15/00
11/15/00
11/15/00
11/15/97
11/15/97
11/15/97
11/15/00
11/15/97
11/15/94
11/15/00
12/31/92
11/15/00
11/15/97
11/15/00
11/15/00
11/15/00
11/15/97
11/15/00
11/15/00
11/15/00
11/15/00
11/15/00
11/15/00
11/15/00
11/15/00
11/15/97
11/15/97
11/15/00
11/15/97
11/15/97
11/15/97
11/15/94
11/15/94
11/15/00
11/15/00
11/15/94
11/15/00
11/15/00
11/15/00
11/15/94
11/15/00
11/15/00
Exhibit 05-2
05-43
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Safety, Health, & Environmental
Management Guidelines
October 1997
Clean Air Act
Categories of Sources of Hazardous Air Pollutants
and Regulation Promulgation Schedule
Source Category
Metal Coil (Surface Coating)
Metal Furniture (Surface Coating)
Miscellaneous Metal Parts and Products (Surface Coating).
Paper and Other Webs (Surface Coating)
Plastic Parts and Products (Surface Coating).
Printing, Coating, and Dyeing of Fabrics
Printing/Publishing (Surface Coating) g
Shipbuilding and Ship Repair (Surface Coating).
Wood Furniture (Surface Coating)
Hazardous Waste Incineration
Municipal Landfills
Off-Site Waste and Recovery Operations '
Publicly Owned Treatment Works (POTW) Emissions.
Sewage Sludge Incineration
Site Remediation
4-Chloro-2-Methylphenoxyacetic Acid Production.
2.4-D Salts and Esters Production
4,6-Dinitro-o-Cresol Production
Butadiene-Furfural Cotnmer (R-11) Production ".
Captafol Production °
Captan Production "
Chloroneb Production
Chlorothalonil Production •
Dacthal (tm) Production "
Sodium Pentachlorophenate Production g
Tordon (tm) Acid Production a
Rayon Production
Spandex Production
Baker's Yeast Manufactunng
Cellulose Food Casing Manufacturing
Vegetable Oil Production
Pharmaceuticals Production *
Acetal Resins Production
Acrylonitnle-Butadiene-Styrene Production.
Alkyd Resins Production
Ammo Resins Production
Boat Manufactunng
Butyl Rubber Production
Carboxymethylcellulose Production
Cellophane Production
Cellulose Ethers Production
Epichlorohydrin Elastomers Production
Epoxy Resins Production
Ethylene-Propylene Rubber Production
Flexible Polyurethane Foam Production
Hypalon (tm) Production d
Maleic Anhydride Copolymers Production
Deadline
11/15/00
11/15/00
11/15/00
11/15/00
11/15/00
11/15/00
11/15/94
11/15/94
11/15/94
11/15/00
11/15/00
11/15/94
11/15/95
11/15/00
11/15/00
11/15/97
11/15/97
11/15/97
11/15/00
11/15/97
11/15/97
11/15/97
11/15/97
11/15/97
11/15/97
11/15/97
11/15/00
11/15/00
11/15/00
11/15/00
11/15/00
11/15/97
11/15/97
11/15/94
11/15/00
11/15/97
11/15/00
11/15/94
11/15/00
11/15/00
11/15/00
11/15/94
11/15/94
11/15/94
11/15/97
11/15/94
11/15/00
Exhibit 05-2
05-44
-------
Safety, Health, & Environmental
Management Guidelines
October 1997
Clean Air Act
Categories of Sources of Hazardous Air Pollutants
and Regulation Promulgation Schedule
- source category
Methylcellulose Production
Methyl Methacrylate-Acrylomtnle- Butadiene-Styrene Production ".
Methyl Methacrylate-Butadiene-Styrene Terpolymers Production a. B
Neoprene Production
Nitnle Butadiene Rubber Production
Nitrile Resins Production
Non-Nylon Polyamides Production
Nylon 6 Production
Phenolic Resins Production
Polybutacbene Rubber Production °
Polycarbonates Producton "
Polyester Resins Production
Polyether Polyols Production
Polyethylene Terephthalate Production 8
Polymerized Vmylidene Chloride Production
Polymethyl Methacrylate Resins Production
Polystyrene Production
Polysulfide Rubber Production °
Polyvmyl Acetate Emulsions Production
Polyvinyl Alcohol Production
Polyvinyl Butyral Production
Polyvinyl Chloride and Copolymers Production
Reinforced Plastic Composites Production
Styrene-Acrylonttrile Production B
Styrene-Butadene Rubber and Latex Production ".
Ammonium Sulfate Production-Caprolactam By-Product Plants.
Antimony Oxides Manufacturing
Carbon Black Production
Chlorine Production °
Cyanuric Chloride Production
Fume Silica Production
Hydrochloric Acid Production
Hydrogen Cyanide Production
Hydrogen Fluoride Production
Phosphate Fertilizers Production
Phosphoric Add Manufacturing
Sodium Cyanide Production
Uranium Hexafluonde Production
Ethylene Processes
Quarternary Ammonium Compounds Production
Synthetic Organic Chemical Manufacturing
Aerosol Can-Filling Facilites
Benzyttrimethylammonium Chloride Production.
Carbonyl Sulfide Production
Chelating Agents Production
Chlorinated Paraffins Production "
Chromic Acid Anodizing
DeadHn* '
11/15/00
11/15/94
11/15/94
11/15/94
11/15/94
11/15/00
11/15/94
11/15/97
11/15/97
11/15/94
11/15/97
11/15/00
11/15/97
11/15/94
11/15/00
11/15/00
11/15/94
11/15/94
11/15/00
11/15/00
11/15/00
11/15/00
11/15/97
11/15/94
11/15/94
11/15/00
11/15/00
11/15/00
11/15/97
11/15/97
11/15/00
11/15/00
11/15/97
11/15/00
11/15/00
11/15/00
11/15/97
11/15/00
11/15/00
11/15/00
11/15/92
11/15/00
11/15/00
11/15/00
11/15/00
11/15/00
11/15/94
Exhibit 05-2
05-45
-------
Safety, Health, & Environmental
Management Guidelines
Clean Air Act
October 1997
Categories of Sources of Hazardous Air Pollutants
and Regulation Promulgation Schedule
Source Category
'Daadllfi
commercial Dry Cleaning (Percnloroethylene)-Transfer Machines
11/15/92
Commercial Sterilization Facilities
11/15/94
Decorative Chromium Electroplating
11/15/94
Dry Cleaning (Petroleum Solvent)
Ethylidene Norbomene Production"3"
11/15/00
11/15/00
Explosives Production
11/15/00
Flexible Polyurethane Foam Fabrication Operations.
11/15/00
I-notion Products Manufacturing
11/15/00
Malogenated Solvent Cleaners
11/15/94
Hard Chromium Electroplating
11/15/94
Hydraane Production
11/15/00
industnal Cleaning (Perchloroethylene) Dry-to-dry machines.
11/15/92
Industnal Dry Cleaning (PercnloroethyleneKTransfer Machines.
11/15/92
industnal Process Cooling Towers
11/15/94
Leather Tanning and Finishing Operations
11/15/00
OBPAn.a-Dnsocyanate Production'
11/15/00
Paint Stripper Users
11/15/00
Photographic Chemicals Production
11/15/00
Pnthalate Plasticizers Production
11/15/00
Plywood/Particle Board Manufacturing
Pulp and Paper Production
11/15/00
11/15/97
Rocket Engine Test Fmng
11/15/00
Rubber Chemicals Manufactunng
11/15/00
Semiconductor Manufacturing
11/15/00
Symmetrical Tetracnloropyndine Production'
11/15/00
Tetranydrobenzaldenyde Production
11/15/97
Tire Production
11/15/00
Chromic Acid Anodizing
11/15/94
Commercial
Dry Cleaning (Perchloroetnylene)-Dry-to-Diy Machines.
11/15/92
Commercial Dry Cleaning (Perchloroetnylene)-Transfer Machines.
11/15/92
Commercial Sterilization Facilities
11/15/94
Decorative Chromium Electroplating
11/15/94
Halogenated Solvent Cleaners
11/15/94
Hard Chromium Electroplating
11/15/94
Secondary Lead Smelting
11/15/00
0 Only major sources within any category shall be subject to emission standards under Section 112 unless a finding
is made of a threat of adverse effects to human health or the environment for the area sources in a category. All
listed categories are exclusive of any specific operations or processes included under other categories that are listed
separately.
b The markings in the "Scheduled Promulgation Date/Federal Register Citation" column of Table 1 denote the
following:
(A): amendment to a final rulemaking action
(a): proposed amendment to a final rulemaking action
(C): correction (or clarification) published subsequent to a proposed or final rulemaking action
(F): final rulemaking action
(P): proposed rulemaking action
(R) reopening of a proposed action for public comment
(S). announcement of a stay, or partial stay, of the rule requirements
Exhibit 05-2
05-46
-------
Safety, Health, & Environmental October 1997
Management Guidelines
Clean Air Act
Moved: the source category is relocated to a more appropriate industry group
Subsumed the source category is included within the definition of another listed category and therefore is no longer
listed as a separate source category
Renamed the title of this source category is changed to a more appropriate title
Deleted: the source category is officially removed from the source category list
e Sources defined as electric utility steam generating units under Section 112 (A)(8) shall not be subject to emission
standards pending the findings of the study required under Section 112(n)(1)
d Equipment handling specific chemicals for these categories or subsets of these categories are subject to a
negotiated standard for equipment leaks contained in the Hazardous Organic NESHAP (HON), which was
promulgated on April 22,1994 The HON includes a negotiated standard for equipment leaks from the SOCMI
category and 20 non-SOCMI categories (or subsets of these categories). The specific processes affected within the
categories are listed in Section XX.XO (C) of the March 6,1991 Federal Register notice (56 FR 9315)
* A finding of threat of adverse effects to human health or the environment was made for each category of area
sources listed The following footnotes apply to source categories that are subject to court ordered promulgation
deadlines (differing from the above listed regulatory deadlines) in accordance with a consent decree entered in
Sierra Club v Browner. Case No. 93-0124 (And related cases) (D C. Dist Ct).
'judicial deadline: 05/13/96
"judicial deadline- 05/15/96
Exhibit 05-2
05-47
-------
Safety, Health, & Environmental October 1997
Management Guidelines
Clean Air Act
List of Ozone-Depleting Substances
Appendices from 40 CFR Part 82
Appendix A—Class 1 Controlled Substances
Chemical ppp
A. Group I:
CFClj-Trichlorofluoromethane
(CFC-11) 1.0
CF2Cl2-Dichlorodifluoromethane
(CFC-12) 1.0
C2F3Cl3-Trichlorotrifluoroethane
(CFC-113) 0.8
C2F4Cl2-Dichlorotetrafluoroethane
(CFC-114) 1.0
C2F5Cl-Monochloropentaf luoroethane
(CFC-115) 0.6
C2F5C1 -Monochl oropentafluoroethane
All isomers of the above chemicals
B. Group II:
CF2ClBr-Bromochlorodifluoromethane
(Halon-1211) 3.0
CFjBr-Bromotrifluoromethane
(HaIon-1301) 10.0
C2F4Br2-Dibromotetrafluoroethane
(Halon-2402) 6.0
All isomers of the above chemicals
Exhibit 05-3
05-48
-------
Safety, Health and
Environmental Management Guidelines
Clean Air Act
October 1997
Appendix A-Class 1 Controlled Substances
Chemical
OOP
C. Group ID:
CFjCl-Chlorotrifluoromethane
(CFC-13)
C2FC15-
(CFC-111)
C2F2CI4-
(CFC-112)
C3FC17-
(CFC-211)
C3F2C16-
(CFC-212)
C3F3C1S-
(CFC-213)
C3F4C14-
(CFC-214)
C3F5C13-
(CFC-215)
C3F6C12-
(CFC-216)
C3F7C1-
(CFC-217)
All isomers of the above chemicals
D. Group IV:
CCl4-Carbon Tetrachloride
1.0
1.0
1.0
1.0
1.0
1.0
1.0
1.0
1.0
1.0
1.1
Exhibit O&J
05-49
-------
Safety, Health and
Environmental Management Guidelines
October 1997
Clean Air Act
Appendix A to Subpart A~Class 1 Controlled Substances
Chemical
E. Group V:
CzHjClj- 1,1,1 Trichloroethane
(Methyl chloroform)
All isomers of the above chemical except
1,1,2-trichloromethane
F. Group VI:
CHjBr— Bromomethane
(Methyl Bromide)
G. Group VH:
CHFBR2
CHF2Br(HBFC-22Bl)
C2HF3Br2
C2HF4Br
C3HF3Br4
C3HF4Br3
C3H2F3Br3
C&fflr*
C3H2F,Br
OOP
0.1
C3H3F3Br2
0.7
1.00
0.74
0.73
0.3-0.8
0.5-1.8
0.4-1.6
0.7-1.2
0.1-1.1
0.2-1.5
0.7-1.6
0.1-1.7
0.2-1.1
0.07-0.1
0.3-1.5
0.2-1.9
0.3-1.8
0.5-2.2
0.9-2.0
0.7-3.3
0.1-1.9
0.2-2.1
0.2-5.6
0.3-7.5
0.9-1.4
0.08-1.9
0.1-3.1
0.1-2.5
Exhibit 05-3
05-50
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Safety, Health and October 1997
Environmental Management Guidelines
Clean Air Act
Appendix A to Subpart A--Class 1 Controlled Substances
Chemical QDP
C3H3F4Br 0.3-4.4
C3H4FBr3 0.03-0.3
C3H4F2Br2 0.1-1.0
C3H4F3Br 0.07-0.8
C3HjFBr2 0.04-0.4
0.07-0.8
0.02-0.7
Appendix A amended at 56 FR 67371, Dec. 30, 1991; revised at 57 FR 33787, July 30, 1992;
58 FR 65062, Dec. 10, 1993]
Exhibit 05-3
05-51
-------
Safety, Health and October 1997
Environmental Management Guidelines
_ __ _ Clean Air Act _
Appendix B to Subpart A--Class II Controlled Substances
Chemical ppp
CHFCl2-Di chl orofluoromethane
(HCFC-21) [res.]
CHF2Cl-Chlorodifluoromethane
(HCFC-22) 0.05
CH2FCl-Chlorofluoromethane
(HCFC-31) [res.]
C2HFC14-
(HCFC-121) [res.]
(HCFC-122) [res.]
C2HF3C12-
(HCFC-123) 0 02
C2HF4C1-
(HCFC-124) 0.02
(HCFC-131) [res.]
C2H2F2C12-
(HCFC-132b) [res ]
C2H2F3C1-
(HCFC-133a) [res.]
Exhibit OS3
05-52
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Safety, Health and
Environmental Management Guidelines
October 1997
Clean Air Act
Appendix B to Subpart A--Class II Controlled Substances
Chemical
(HCFC-141b)
C2H3F2C11-
(HCFC-142b)
C3HFC16-
(HCFC-221)
C3HF2C15-
(HCFC-222)
C3HF3C14-
(HCFC-223)
C3HF4C13-
(HCFC-224)
C3HFSC12-
(HCFC-225ca)
C3HFSC12
(HCFC-225cb)
C3HF6C1-
(HCFC-226)
C3H2FC1,-
(HCFC-231)
C3H2F2C14-
(HCFC-232)
(HCFC-233)
C3H2F4C12-
(HCFC-234)
(HCFC-235)
C3H3FC14-
(HCFC-241)
C3H3F2C13-
(HCFC-242)
C3H3F3C12-
(HCFC-243)
C3H3F4C1-
(HCFC-244)
C3H4FC13-
(HCFC-251)
Appendix B to Subpart A—Class II Controlled Substances
OOP
0.12
0.06
[res.]
[res.]
[res.]
[res.]
[res.]
[res.]
[res.]
[res.]
[res.]
[res.]
[res.]
[res.]
[res.]
[res.]
[res.]
[res.]
[res.]
Exhibit 05-3
05-53
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Safety, Health and October 1997
Environmental Management Guidelines
Clean Air Act
Chemical ppp
C3H4F2C12-
(HCFC-252) [res.]
C3H4F3C1-
(HCFC-253) [res.]
C3HSFC12-
(HCFC-261) [res.]
C3HSF2C1-
(HCFC-262) [res.]
C3H«FC1-
(HCFC-271) [res.]
All isomers of the above chemicals
Exhibit 05-3
05-54
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Safety, Health and
Environmental Management Guidelines
October 1997
Clean Air Act
List of Acronyms
CAA Clean Air Act
CFC Chloroflourocarbon
CFR Code of Federal Regulations
CO Carbon Monoxide
EPA Environmental Protection Agency
GACT Generally Available Control Technology Standards
H2S Hydrogen Sulfide
HAP Hazardous Air Pollutant
HCFC Hydrochloroflourocarbon
MACT Maximum Achievable Control Technology
NAAQS National Ambient Air Quality Standards
NESHAP National Emission Standards for Hazardous Air Pollutants
NOX Nitrogen Oxides
NSPS New Source Performance Standards
O3 Oxygen
ODS Ozone Depleting Substance
Pb Lead
PM-10 Paniculate Matter
SHEM Safety, Health and Environmental Management
SHEMG Safety, Health and Environmental Management Guidelines
SIP State Implementation Plan
SNAP Significant New Alternatives Policy
SO2 Sulfur Dioxide
VOCs Volatile Organic Compounds
Exhibit OS4
05-55
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Safety, Health and October 1997
Environmental Management Guidelines
. Clean Air Act
CLEAN AIR ACT MANAGEMENT TOOLS
L CAA Title V: Operating Permit Determination and Application Procedures
Several straightforward actions can be taken to promote compliance with the
Operating Permits Program, Title V of the CAA. A simplified approach for determining
major source status, compiling necessary records, and completing an operating permit
application include the following actions:
Step 1: Develop a Permitting Work Team Plan - Review facility records and
determine what information is available, develop a work team to facilitate
application planning, and determine tasks for team members.
Step 2: Prepare an Emission Inventory - Conduct a laboratory inspection to identify
all potential and actual point source and fugitive emissions. Compare this
information with federal and state-regulated pollutants and use the data from the
inspection to quantify actual and potential emissions from the whole facility
assuming the facility acts like one source.
Step 3: Perform a Compliance Audit - Identify applicable state regulations,
attainment status, permit conditions, and emission limits. Review NESHAPS and
federal NSPS for each emission source and compare the laboratory's emissions
against state permitting and federal standards. At this point, it will be possible to
determine whether the laboratory is a major source and must complete a permit
application. If the facility has the potential to emit as a major source, yet will not
actually emit the regulated pollutants, the facility may qualify for a synthetic minor
permit. However, such a permit will severely limit the flexibility of laboratory
operations.
Step 4: Develop an Alternate Operating Scenarios and Review Monitoring Plan -
Develop operational plans to either reduce emissions of pollutants or provide for
operational flexibility. Reducing pollutant emissions below the major source
classification can eliminate the requirement to complete the permit application;
however, a facility alteration with significant construction changes may require a
pre-construction permit as a result of NSPS. If emissions cannot be reduced
below required limits and the laboratory has completed a flexible operations plan,
an emissions monitoring and record keeping system must be developed and tested
to ensure proper function before the laboratory commits to such a system in its
permit.
Appendix 1
05-56
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Safety, Health and October 1997
Environmental Management Guidelines
Clean Air Act
Step 5: Prepare the Permit Application - Gather emission monitoring records.
Ensure staff preparing the application are properly trained. Complete the
application several months before the due date and conduct an internal review of
the application to determine whether the application provides enough flexibility to
the laboratory's operation. The duration of the permit is five years and should
reflect expected changes in laboratory operations. Permit revisions are allowed,
but are expected to be extremely time consuming, and lack of an approved permit
can halt facility operations. The application, once completed, must be signed by a
responsible official and then submitted.
H. Tools to Provide Further Detail to the Flow Charts of the Title V Application
Completion Process
The following pages provide further detail of the Title V application completion process
flow charts. Each tool is referenced in the flow charts. These tools provide further information
or, in some cases, a strategy for conducting a certain aspect of the process. The tools are as
follows:
• Tool 1: Development of an Operating Permit Work Team
• Tool 2: Federal Thresholds for Major Source Screening
• Tool 3: Hazardous Air Pollutants Commonly Used at EPA Facilities and Selective
Substitutes
• Tool 4: Assist in Gathering Emissions-Related Information from Your Facility
• Tool 5: Develop Plans for Operational Flexibility
• Tool 6: Possible Monitoring Techniques
Appendix 1
05-57
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Safety, Health and
Environmental Management Guidelines
October 1997
Clean Air Act
Tool 1: Development of an Operating Permit Work Team
Team Members
Responsibility
Laboratory Manager
Laboratory manager should become involved
early in the process to request necessary
funding and resources. Because the
application must be signed by a responsible
official, it is important to get an early buy-in
from upper management.
Environmental Manager
Environmental managers provide the
necessary technical skills to quantify
emissions and understand control
technologies.
Facility Engineering and Operations
Personnel
Operations personnel recommend daily
facility operations strategies.
Safety & Health Manager
A safety and health manager provides
guidance on how changes in facility
operations affect worker safety.
Research Representative
A research representative understands the
future needs of the laboratory to fulfill the
research mission of the laboratory and how
any future changes may affect its operations
and emissions.
Public Relations Staff
Because the permit application will be
reviewed by the public, Indian tribes, and
nearby and adjacent states, the team should
include a public relations staff member to
respond to questions.
State Agency Delegate
The team should include a representative
from the state environmental regulatory staff
to ensure the application is complete,
accurate, and thorough.
Appendix 1
05-58
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Safety, Health and
Environmental Management Guidelines
October 1997
Clean Air Act
Tool 2: Federal Thresholds for Major Source Screening
Operating-Permit Major Source Thresholds
Source Type
Hazardous Air Pollutants (HAPs)
Volatile Organic Compounds (VOCs)
( in Ozone-Nonattainment Areas)
Nitrogen Oxides
(in Ozone-Nonattainment Areas)
PM-10
(in Serious PM-10-Nonattainment Areas)
Carbon Monoxide (CO)
(in Serious CO-Nonattainment Areas)
All Others
Major Threshold, Tons/Year
• 10 for any single HAP or 25 for aggregate
HAPs
• 10 in extreme nonattainment areas
• 25 in severe nonattainment areas
• 50 in serious nonattainment areas or in the
North East Transport Region
• 100 in the rest of the US
• 10 in extreme nonattainment areas
• 25 in severe nonattainment areas
• 50 in serious nonattainment areas
• 100 in the rest of the US
• 70
• 50
• 100 for any regulated pollutant
Appendix 1
05-59
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Safety, Health and
Environmental Management Guidelines
October 1997
Clean Air Act
Tool 3: Hazardous Air Pollutants Commonly Used at EPA Facilities and Selective
Substitutes
Hazardous Air Pollutant
Acetaldehyde
Benzene
Carbon tetrachloride
Chloroform
Ethylene glycol
Formaldehyde
Hcxane
Mcthanol
1,1,1 Trichloroethane
Methyl ethyl ketone
Methyl isobutyl ketone
Naphthalene
Phenol
Tetrachloroethylene
Toluene
Vinyl chloride
Xylene
Use
Solvent
Reagent
Solvent
Solvent
Solvent
Reagent
Reagent
Solvent
Solvent
Solvent
Solvent
Solvent
Solvent
Reagent
Reagent
Reagent
Solvent
Reagent
Solvent
Reagent
Reagent
Solvent
Chemical Substitutes
Acetone
1,4 Butanediol
Butyl-aldehyde
D-Lunonene/Esters
BTX Pyrolysls oik
Cyclohexane
Cyclohexane
Propylene glycol
Poryols
Butanol
Isopropanol
Cyclohexane
Ethanol
Ethanol
N-Butyl Bulyrate
D-Lbnonene
Acetone
Ethanol
Acetone
Butanol
BTXPyrorysisOUs
Cyclohexane
Fast Pyrolysis Phenol
Cyclohexane
N-Butyl Butyrate
Adi pic Acid
Acrylic Acid
Glycol Ethers
Anthraquinone
Bolded Substances represent chemicals that are manufactured from biomass starting materials.
Such processes prevent pollution when the complete lifecycle of a chemical is considered.
Appendix 1
05-60
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Safety, Health and
Environmental Management Guidelines
October 1997
Clean Air Act
Tool 4: Assist in Gathering Emissions-Related Information from Your Facility
Specific Areas
Emissions Unit
Process
Control Systems
Information Checklist
Written description of each emission unit
• design specifications
• age
• capacity
• manufacturer
Emission units identified as point or fugitive
Actual and potential emission rates of all regulated pollutants
• 6 criteria pollutants
• 189 hazardous air pollutants
• 140 accidental-released chemicals
• Others (such as CFCs)
For point sources, stack characteristics-
• height and diameter
• exit gas velocity
• temperature
• distance to property line
Basic calculations
Design and actual production rates and hours of operation
Design and actual raw material and fuel usage rates
Schematic flow diagrams
Emission unit controlled
Type of control system (such as manufacturer, model number,
age)
Rnted CAnacitv
Pollutant controlled
Capture efficiency
Control efficiency
Reason of installation
Written description of maintenance procedures and any work
practice standards in place (including regular repair schedules
and maintenance activities)
Appendix 1
05-61
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Safety, Health and
Environmental Management Guidelines
October 1997
Clean Air Act
Tool 5: Develop Plans for Operational Flexibility
Strategy
Description
Aim for broad permit terms
Be conservative when estimating emissions.
By overestimating emissions and
underestimating control-technologies
efficiencies, operations will be able to meet
permit requirements over a broad range of
conditions.
Avoid limits on each emissions point
Whenever possible, try to group emission
units into processes or operations. Then
develop emissions limits for the operation,
not individual emissions points.
Whenever possible, permit by chemical
family, not by specific chemical
This approach may allow a facility to change
materials without the need to develop
additional alternate operating scenarios or
obtain permit modifications.
Tool 6: Possible Monitoring Techniques
Monitoring Method
Type of Monitoring
Direct
Periodic sampling
Continuous emissions monitoring systems
(CEMS)
Indirect
Mass balance and emissions engineering
calculations (the EPA Office of Air Quality
Planning and Standards (919-541-5616)
maintains several air pollution models and
the AP-42 emission factors
Surrogate parameters
Work practice documentation
Appendix 1
05-62
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Safety, Health and October 1997
Environmental Management Guidelines
Clean Air Act
m. CAA Title VI: Similarity of Approach in Phasing Out Ozone Depleting Substances
(ODSs)
Title VI of the CAA calls for a complete phaseout of the manufacture of substances that
deplete stratospheric ozone, regulates their use, and suggests safe alternatives. EPA FMSD has
developed a program to begin phasing out these substances throughout the Agency's nationwide
facilities in refrigeration equipment such as major HVAC systems and in laboratory refrigerators.
The ODS coordinators are using a similar process to that for Title V permitting in the
development of this program. Though the steps in Section I of this document seem specific for
completing a Title V operating permit application, they can be generalized into the same
approach the Agency is applying to the ODS reduction program
Step 1: Plan and Organize - In the ODS reduction program, the Agency has reviewed the
current situation and developed a team to review options.
Step 2: Conduct an Inventory - This step is quite similar to the emissions inventory
except individual pieces of equipment containing ODSs were quantified and
relevant information was obtained instead of emissions sources.
Step 3: Review the Regulatory Requirements - In the case of ODS phaseout, Title VI
ofthe CAA and 40 CFR 82 become the most important sources of information on
current regulations. These requirements must be understood to determine, for
example, the type of certification that is needed to operate and maintain the
Agency's refrigeration equipment.
Step 4: Propose Options - Options for replacement are developed that provide cost-
effective operational flexibility for a facility. The Agency's program has evaluated
replacement verses conversion options and has decided to
replace its chillers in the process of eliminating chlorofluorocarbons (CFCs).
Step 5: Execute Changes - This step mirrors the preparation ofthe permit
application step. It is here where the process comes to completion. The
planning and review has identified cost-effective options. Now budgets and
timetable for procurement must be developed and the projects must be
implemented, just as the operating permit application must be completed once the
facility has determined that it is a major source and all its monitoring systems are in
place.
EPA's internal Title VI phaseout program for ODSs is presented below to demonstrate the
similarity of approaches in developing a program to control the emissions for environmentally
damaging substances.
Appendix 1
05-63
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Safety, Health and
Environmental Management Guidelines
October 1997
Clean Air Act
Approach for the Agency's Internal ODS Phaseout Program
Start
FUn*
Okgame
Dtrigxikto
ODS
CfmHiratni
Dratep
ODS
Revimr
Team
Appendix 1
05-64
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SAFETY, HEALTH, AND
ENVIRONMENTAL MANAGEMENT
PROGRAM GUIDE
Guide No.
Issued O£
Revised
CLEAN WATER MANAGEMENT (CWM) PROGRAM
SCOPE OF THE PROGRAM
This Program Guide provides an overview
of the requirements EPA facilities must
fulfill to comply with the regulations,
guidance, and procedures associated with
the Clean Water Management (CWM)
Program. The CWM Program was
developed under the auspices of two
environmental statutes, including the
Federal Water Pollution Control Act
(commonly referred to as the Clean Water
Act (CWA)) and the Safe Drinking Water
Act (SDWA). The CWA was passed in
1972 and subsequently amended in 1987
(Water Quality Act) and 1990 (Oil Pollution
Act). The CWA has five main elements,
including national effluent standards,
water quality standards, discharge permit
program, incident or spill reporting and
responses, and a grant program for
publicly owned treatment works (POTW).
The SDWA was enacted by Congress in
1974 and amended in 1986. The Act
required EPA to set national standards for
levels of contaminants in drinking water
and the protection of sole- source
aquifers. For the purpose of this Program
Guide, the emphasis is on oil pollution
prevention; discharges of hazardous
substances; spill prevention, control and
countermeasure (SPCC) plan
requirements; pretreatment requirements;
marine sanitation devices; effluent
guidelines; National Pollutant Discharge
Elimination System (NPDES) permitting
provisions; and the acquisition, treatment,
distribution, and testing of water
processed for human consumption.
REGULATORY REQUIREMENTS
The key or basic elements of the CWM
Program required by law and/or EPA
policy are to:
• Implement pollution prevention
activities including prohibiting
discharges of oils to navigable waters
and the development of an SPCC plan
Comply with notification and reporting
requirements under the CWA and
SDWA
Develop and adhere to NPDES
permits for point source discharges
resulting from facility operations
Adhere to national pretreatment
standards for wastewater discharges
to the POTW
Ensure Maximum Contaminant Levels
(MCLs) and Maximum Contaminant
Level Goals (MCLGs) for organics,
inorganics, radionuclides, turbidity,
and microbiologicals are adhered to
prior to discharging offsite
Conduct monitoring and sampling
activities in accordance with the CWA
and SDWA
Keep records on file in accordance
with the CWA and SDWA.
AUTHORITIES
The following documents are the sources
of the legal authority that establish the
applicability and requirements of this
program.
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• Federal Water Pollution Control Act
(i.e.. CWA), 33 United States Code
1251
• Title 40 Code of Federal Regulations
(CFR), Parts 110 through 136 and 403
through 699
• Safe Drinking Water Act (SDWA), 42
United States Code 300f et seq.
• 40 CFR Parts 141 through 143
• Lead Contamination Control Act of
1988
• Executive Order 12088, Federal
Compliance with Pollution Control
Standards. October 13,1978
• EPA Safety, Health, and
Environmental Management
Guidelines
• EPA Facility Safety, Health, and
Environmental Management Manual
REFERENCES
The documents listed below can help you
implement the CWM Program and
specifically are intended for facility
operations.
• Environmental Law Handbook.
Government Institutes, Inc., 9th
Edition, May 1987
• Environmental Reporter. Bureau of
National Affairs
IMPLEMENTATION ACTIVITIES
The following list gives an overview of the
activities that this program will require. To
implement and operate this program, you
must:
• Prohibit the discharge of oils to
navigable waters
• Develop an SPCC plan that complies
with the substantive requirements of
40 CFR Part 112
• Report releases of hazardous
substances to the appropriate
authority when their reportable
quantity is equaled or exceeded
• Comply with the facility NPDES permit
• Be familiar with the pretreatment
standards for wastewater discharges
• Be familiar with the applicable MCLs
and MCLGs for contaminants regularly
used and discharged at the facility
• Monitor and sample effluents and on-
site receiving areas to ensure
compliance with CWA and SDWA
requirements
• Establish procedures for compiling
and organizing facility records.
IMPLEMENTATION IMPLICATIONS
The management systems and internal
controls required to implement this
program include:
• Procedures to ensure compliance with
federal, state and local CWA and
SDWA requirements; NPDES permits;
and national pretreatment standards
• A system to manage data gathered
from monitoring and sampling
activities
• A system for tracking changes to the
CWA and SDWA
• CWM training to promote staff
awareness and educate staff on
specific implementation procedures.
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Section 06-01
Table of Contents
CWM 06-01 Table of Contents
CWM 06-02 Clean Water Management Introduction
Purpose 06-5
Scope 06-5
Authority 06-5
Responsible Officers 06-5
Objectives 06-5
References 06-6
CWM 06-03 Clean Water Act Introduction
Introduction 06-7
CWM 06-04 Oil Pollution Prevention - 40 CFR Parts 110-112
Discharge of Oil 06-9
Spill Prevention Control and Countermeasures 06-9
CWM 06-05 Hazardous Substances and Reportable Quantities - 40 CFR
Parts 116-117
Hazardous Substances and Reportable Quantities 06-13
Notification 06-13
CWM 06-06 National Pollutant Discharge Elimination System Permits
Introduction 06-15
General Program Requirements 06-15
Permit Application 06-15
Permit Conditions 06-16
Permit Modification 06-16
Test Procedures for Pollutant Analysis 06-16
NPDES Stormwater Permits 06-16
CWM 06-07 CWA Pretreatment Standards
National Pretreatment Standards 06-19
Table of Contents 06-1
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Prohibited Discharge Standards 06-19
Local Ordinances 06-21
Categorical Pretreatment Standards 06-24
CWM 06-08 CWA Regulatory Guide
CWA Regulatory Guide 06-27
CWM 06-09 Marine Research Vessels
Overview 06-29
Oil Pollution Prevention on Marine Vessels 06-29
Marine Sanitation Devices 06-29
Tributyltin in Hull Coatings 06-29
CWM 06-10 Safe Drinking Water Act Introduction
Introduction 06-31
Applicability 06-31
Variances and Exemptions 06-32
CWM 06-11 Maximum Contaminant Levels
Maximum Contaminant Levels and Maximum Contaminant Level Goals 06-33
CWM 06-12 Monitoring and Analytical Requirements
Coliform Sampling 06-35
Standardized Monitoring Framework 06-36
Inorganic Chemical Sampling and Analytical Requirements 06-36
Organic Sampling and Analytical Requirements 06-38
Radionuclides Monitoring 06-39
Alternate the Analytical Methods 06-39
CWM 06-13 Reporting and Public Notification and Recordkeeping
Reporting Requirements 06-41
Public Notification 06-41
Record Maintenance 06-43
Lead Public Notice Requirements 06-43
Table of Contents 06-2
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CWM 06-14 Special Regulations and Prohibition on Lead Use
Monitoring, Reporting, and Public Notification for Certain Unregulated Contaminants . .. 06-45
Prohibition on Use of Lead Solder and Flux 06-45
CWM 06-15 Filtration and Disinfection
General Requirements 06-47
Criteria for Avoiding Filtration 06-47
Disinfection 06-47
Filtration 06-48
Analytical and Monitoring Requirements 06-48
CWM 06-16 Control of Lead and Copper
General Requirements 06-49
Applicability of Corrosion Control Treatment Steps 06-49
Corrosion Control Treatment Requirements 06-49
Source Water Treatment Requirements 06-50
Public Education and Supplemental Monitoring Requirements 06-50
Monitoring Requirements for Lead and Copper in Source Water 06-50
Monitoring Requirements for Water Quality Parameters 06-51
Reporting Requirements 06-52
Recordkeeping Requirements 06-52
CWM 06-17 Centralized Treatment Devices
POEDevices 06-53
POUDevices 06-53
CWM 06-18 National Secondary Drinking Water Standards -
40 CFR Part 143
Secondary Maximum Contaminant Levels 06-55
CWM 06-19 SDWA Regulatory Guide
SDWA Regulatory Guide 06-57
Table of Contents 06-3
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CWM 06-20 Exhibits
Exhibit 06-01 State NPDES Program Status 06-59
Exhibit 06-02 National Primary Drinking Water Standards 06-60
Exhibit 06-03 List of Acronyms 06-66
TABLES
National Pretreatment Standards Guide 06-21
Clean Water Act Regulatory Guide • 06-27
SDWA Regulatory Guide 06-57
FIGURES
Major Componets of an SPCC Plan 06-11
APPENDIX A - Sampling Guidance for Lead in Drinking Water
Table of Contents 06-4
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SCOPE
Section 06-02
Clean Water Management Introduction
PURPOSE This chapter of the Safety, Health and Environmental Management
Guidelines (SHEMG) provides policy, guidance, information, and
procedures for ensuring that EPA laboratories operate in full
compliance with the regulations promulgated pursuant to the
Federal Water Pollution Control Act, commonly referred to as the
Clean Water Act (CWA), and regulations promulgated pursuant to
the Safe Drinking Water Act (SOWA).
Sections 06-03 through 06-09 of this chapter address oil pollution
prevention; discharge of hazardous substances; spill prevention,
control and countermeasure (SPCC) plan requirements; National
Pollutant Discharge Elimination System (NPDES) permitting
provisions; pretreatment standards; marine sanitation devices; and
effluent guidelines. Sections 06-10 through 06-17 address the
acquisition, treatment, distribution, and testing of water processed
for human consumption and related administrative issues including
reporting to the relevant state, EPA and local officials and the
public.
Federal Water Pollution Control Act as amended by the Clean
Water Act; 40 CFR Parts 110 through 136 and Parts 403 through
699
Safe Drinking Water Act, as amended; 40 CFR Parts 141,142 and
143
Lead Contamination Control Act of 1988; Internal Agency Policy
April 24, 1989
Executive Order 12088 on Federal Compliance with Pollution
Control Standards, October 13, 1978
Compliance with CWA and SDWA regulations isprimarily the
responsibility of facility management and the Safety, Health and
Environmental Management (SHEM) Manager at each facility.
However, the collective efforts and awareness of all laboratory
staff are needed to promote sound water pollution prevention
practices.
A central objective of this chapter is to support EPA facility
compliance with applicable CWA and SDWA regulations.
AUTHORITY
RESPONSIBLE
OFFICERS
OBJECTIVES
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Moreover, this chapter is intended to provide guidance and
recommendations to assist SHEM managers in implementing
management systems and internal controls to ensure that EPA
facilities uphold the Agency's mission of minimizing water
pollution burdens to the environment and protecting the nation's
drinking water supplies.
REFERENCES
Topics discussed in this chapter were developed from the
33 CFR Parts 151 through 159
40 CFR Parts 110 through 143 and Parts 400 through 699
• Environmental Regulations and Technology: The National
Pretreatment Program, EPA/625/10-86/005, Office of
Water, U.S. EPA, July 1986
• Report to Congress on the Discharge of Hazardous Wastes
to Publicly Owned Treatment Works, EPA/530/SW-86, U.S.
EPA, February 1986
53 FR 40562, October 17, 1988
53 FR 47631, November 23, 1988
55 FR 30082, July 24,1990
• Environmental Law Handbook, Government Institutes, Inc.,
9th Edition, May 1987
• Environment Reporter, Bureau of National Affairs.
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Section 06-03
Clean Water Act Introduction
INTRODUCTION This portion of the Clean Water Management chapter focuses on
the requirements applicable to EPA facilities under the CWA. The
purpose of the CWA is to restore and maintain the chemical,
physical, and biological integrity of the nation's waters. This goal
is achieved primarily through preventing and controlling discharges
of pollutants to navigable waters. These measures are
implemented through federal, state, and local wastewater
discharge standards.
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DISCHARGE OF OIL
(40 CFR Part
Section 06-04
Oil Pollution Prevention - 40 CFR Parts 110-112
Prohibited discharges of oil into navigable waters include:
• Discharges that violate applicable water quality standards
• Discharges that create an emulsion under the surface of
the water
• Discharges that cause a film or sheen upon or
discoloration of the surface of the water or adjoining
shorelines.
It should be noted that the definition of navigable waters under
the CWA has been broadly interpreted to include very small
bodies of water such as tributaries, small creeks, and storm
sewer systems that discharge directly to surface waters.
Demonstration Projects
(110.9)
The Regional Administrator may permit the discharge of oil for
research relating to the abatement of oil pollution.
Notification (110.10)
Facilities must notify the National Response Center (1-800-424-
8802) in the event of the oil discharges described above.
SPILL PREVENTION
CONTROL AND
COUNTERMEASURES
(40 CFR Part 112)
In addition to the prohibitions and reporting obligations, the
CWA also establishes preventive requirements and response
measures to minimize water quality impacts if spills occur. This
is achieved by requiring certain facilities to prepare an SPCC.
EPA facilities are required to have an SPCC plan if oil is stored
on-site in excess of the following quantities:
• 42,000 gallons underground
• 1,320 gallons above ground total
• 660 gallons in any single container above ground.
The SPCC plan must include information on proper operating
requirements for various facilities (e.g., bulk onshore storage
tanks), necessary spill response equipment, specific response
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Requirements for
Preparation of SPCC
Plans (112.3)
Amendments to SPCC
Plans (112.4-5)
Contents of SPCC Plans
(112.7)
actions for spills or leaks, inspections, security, and training
requirements for facility employees (40 CFR 112.7).
The SPCC plan must be certified by a registered professional
engineer in order to be deemed complete.
An SPCC plan must be updated and amended following a
discharge of more than 1,000 gallons of oil to a navigablewater,
or two or more discharges to a navigable water within one year
that are reportable under 40 CFR Part 110. The plan must also
be amended when there is a change in the facility design,
construction, operation, or maintenance that may affect possible
oil discharges. In addition to reviews conducted for facility
modifications or changes in operation, the SPCC plan must be
reviewed at least every three years and be amended to include
new technologies or spill control techniques that will reduce the
likelihood of a spill event at the facility. An SPCC plan must
reflect current conditions at a facility to ensure proper response
in the event of a oil spill. All amendments to SPCC plans must
be certified by a registered professional engineer.
The required contents of an SPCC plan are provided in 40 CFR
112.7. In order to ensure that all items in 112.7 are included in
an SPCC plan, the plan should address the required items in the
same order they are listed in the regulation. The major
components of an SPCC plan are identified in Figure 1.
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Figure 1
Major Components of an SPCC Plan
Major Elements of an SPCC Plan
[Plan Certification
(introduction and Regulatory
Summary
(Facility Description
[Storage and Material
Inventory Description
jspill Prevention Procedures
(Spill Response and
Contingency Plans
[•{inspections
[^Security
[•(Training
SPCC
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Section 06-05
Hazardous Substances and Reportable Quantities - 40 CFR Parts 116-117
HAZARDOUS
SUBSTANCES AND
REPORTABLE
QUANTITIES
(40 CFR Parts 116-
117)
Certain substances have been designated as hazardous substances
under the Clean Water Act. Reportable quantities for these
substances are included in 40 CFR 117.3. If a substance in 40
CFR 117.3 also appears in 40 CFR 302.4, then the reportable (40
CFR Parts 116-117) quantity provided in Table 302.4 should be
used if it differs from that in 117.3 (40 CFR 117.3). Table 302.4
identifies a greater number of hazardous substances, and includes
those in Table 117.3 as a subset of the larger universe of
hazardous substances regulated under Section 103 (a) of the
Comprehensive Environmental Response, Compensation and
Liability Act (CERCLA).
The regulations of 40 CFR Part 117 apply when a designated
hazardous substance greater than or equal to the reportable
quantity is discharged into a navigable waterway (or the associated
wetlands or tributaries) or on the adjoining shoreline. The term
"navigable waters" is defined in detail at 40 CFR 117.2(h)(i)(l)
and has been broadly applied to include tributaries, small creeks,
and storm sewer systems that discharge directly to surface waters.
The designation of hazardous substances under the CWA includes
solutions or mixtures containing these substances (40 CFR 116.4).
For example, the reportable quantity for ammonia is 100 pounds:
a discharge of 1,000 pounds of a 10 percent ammonia solution is a
reportable quantity.
NOTIFICATION
If over any 24-hour period there is a discharge of a designated (40
CFR 117.21hazardous substance, as identified in Tables 117.3 or
302.4,40 CFR 302.6) equal to or exceeding the reportable
quantity, the facility must immediately notify the National
Response Center at 800-424-8802.
Hazardous Substances and Reportable Quantities
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Section 06-06
National Pollutant Discharge Elimination System Permits
INTRODUCTION
The NPDES program is a system for issuing, monitoring, and
enforcing permits for point source discharges of wastewaters into
navigable waters of the United States. The NPDES program is
established under Section 402 of the CWA. The implementing
standards are codified in 40 CFR Parts 122-124. If a facility
plans to discharge wastewater, including noncontact cooling
waters, or sanitary wastes from any point source (e.g., a pipe,
ditch, or container) into navigable waters of the United States,
the operator of that facility must submit an application for a
NPDES permit to an EPA Region or a state agency with an
approved NPDES program. Once issued, a permit can be viewed
as a license to discharge wastewaters containing specified
amounts of pollutants, under specified circumstances, into
navigable waters of the United States.
GENERAL PROGRAM
REQUIREMENTS
Exclusions (122.3)
Any EPA facility with a point source discharge into navigable
waters must obtain an NPDES permit from the EPA Regional
office an approved state authority. Exhibit 06-1 at the end of this
chapter provides a list of states with authorized NPDES
programs.
The NPDES program provides exclusions for several types
ofwastewater discharges. Relevant exclusions for EPA facilities
and operations include: (1) discharges to the publicly owned
treatment works (POTW), (2) effluents from the engine cooling
waters of EPA research vessels, and (3) discharges consisting
solely of storm water that have not contacted industrial activities.
Expired Permits (122.6)
PERMIT
APPLICATION
(40 CFR Part 122,
Subpart B)
Signature to Permit
The conditions of an expired permit remain in force until the
effective date of a new permit.
Any EPA facility applying for an NPDES permit must submit an
application 180 days prior to commencing the point source
discharge. Those facilities with an NPDES permit must reapply
at least 180 days prior to the expiration date of their existing
permit (unless written permission for a later date is obtained from
the Regional Administrator or State NPDES Program Director).
Application and Reports (122.22)
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A principal executive
officer (i.e., EPA
Regional Administrator
or EPA Laboratory
Director) must sign the
NPDES permit
application. Discharge
monitoring reports
(DMRs) may be signed
by an authorized
representative of the
laboratory director.
The authorization of
such an individual must
be in writing.
Permitted facilities
must establish and
maintain discharge
monitoring procedures
and submit DMRs to
EPA (or the state
authority for states
with approved
programs). Some
NPDES permits
require facilities to
prepare a written
operating plan which
specifies monitoring
procedures.
Results of monitoring
must be maintained for
a minimum period of
three years.
Guidance: Since the
statute of limitations
applicable to permit
violations is five years,
however, EPA
facilities should
maintain monitoring
PERMIT CONDITIONS
(40 CFR Part 122, Subpart C)
records for five years.
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PERMIT
MODIFICATION (40
CFR Part 122,
Subpart D)
TEST PROCEDURES
FOR POLLUTANT
ANALYSIS
(40 CFR Part 136)
NPDES
STORMWATER
PERMITS
The NPDES permit may need to be modified if there are
substantial alterations or additions to the facility operations
occurred since the original permit issuance. The permitting
authority will modify or revoke and reissue the permit accordingly.
There are "anti-backsliding" provisions in the CWA that prevent
renewal, reissue, or modification of the permits where effluent
limitations are less stringent than those in previous permits.
Specific test methods must be used when monitoring NPDES
discharges and are recommended for use when analyzing
environmental water samples for pollutants. Tables of approved
test methods procedures are contained in 40 CFR 136.3.
Because of the number of cases of water quality impairment
causedby storm water runoff, Congress amended the CWA in 1987
torequire EPA and the states to regulate stormwater discharges.
EPA promulgated standards in 40 CFR 122.26 that require certain
point source stormwater discharges to be regulated in accordance
with a permitting process. The following stormwater point source
discharges require permits under the regulations issued by EPA:
• A discharge associated with industrial activities identified
in 40 CFR 122.26(b)(14)
• A discharge
from certain
municipal
separate sewer
systems serving
a population
between
100,000 and
250,000
• A discharge
that violates
water quality
standards.
EPA facilities generally
will only trigger
permitting
requirements under
two of the industrial activities categories in 40 CFR 122.26(b)(14).
Specifically, relevant activities include (1) any EPA facility
conducting construction activities on an area greater than five
acres or (2) an EPA facility that has a RCRA treatment, storage,
or disposal permit. These facilities would be required to submit a
NPDES stormwater permit application, unless a waiver is obtained
from the EPA Region or State NPDES Program Director.
There are three permit application options for industrial activities:
an individual permit, a group application, or a general permit. The
individual application requires topographic information, sampling
data from a representative storm event, description of other non-
stormwater discharges, and information on past leaks and spills.
Individual permits represent the greatest administrative and
oversight burden of the three types of stormwater permits. A
group application may be submitted if a number of facilities have
substantially similar discharges. In this case, a subset of the
facilities would collect and submit quantitative data from a
representative storm event. The number of facilities that would
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submit sampling
information varies
depending on the
number of facilities
seeking an application.
The last type of
storm water permit is a
general permit, which
requires the facility to
submit a Notice of
Intent that it is seeking
coverage under a final
general permit.
General permits are
most commonly
available for new
construction activities.
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NATIONAL
PRETREATMENT
STANDARDS
(40 CFR Part 403)
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May 1998
Section 06-07
CWA Pretreatment Standards
The pretreatment program under the Clean Water Act provides
that industrial users must observe specific discharge limitations
for wastewaters contributed to the POTW. Where necessary to
meet these limits, facilities must pretreat wastewaters to prevent
the pollutants from interfering or passing through POTWs. Two
sets of national pretreatment standards are presently in effect:
prohibited discharge standards (also known as general standards)
and categorical pretreatment standards.
EPA promulgated new Clean Water Act regulations which
significantly revised the pretreatment regulations (55 FR 30082;
July 24, 1990). These new requirements are set forth to ensure
that hazardous wastes discharged to POTWs are adequately
controlled to protect human health and the environment. All new
regulatory provisions relevant to EPA facilities and operations
have been incorporated into this section, where appropriate.
PROHIBITED
DISCHARGE
STANDARDS
(403.5)
These standards prohibit discharges that will interfere with the
POTW's operation. EPA facilities must not introduce the
following pollutants into a POTW:
• Flammable or explosive pollutants including, but not
limited to, wastestreams with a closed cup flashpoint of
less than 140 degrees Fahrenheit (60 degrees Centigrade)
• Corrosive pollutants, including all pollutants with pH
lower than 5.0 unless the POTW is designed to
accommodate such discharges
• Solid or viscous pollutants which obstruct the flow to or
the operation of the POTW
• Any pollutants at a flow rate or concentration which may
interfere with the operation of the POTW (i.e., high
biological oxygen demand (BOD) pollutants)
Heat exceeding 104° F (40° C)
• Petroleum oil, nonbiodegradable cutting oil, or products
of mineral oil origin
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Any pollutants which result in presence of toxic gases,
vapors, or fumes within the POTW that may cause worker
health and safety problems.
The prohibited discharge standards, outlined above, apply to all
facilities discharging pollutants whether or not the facility is also
subject to local sewer use standards (40 CFR 403.5(a)(l)). Table
1 provides examples of EPA laboratory wastes that may exceed
regulatory standards if discharged to the POTW.
Table 1
National Pretreatment Standards Guide
Pretreatment Standard Limitations
Flammable or explosive pollutants including, but
not limited to. waste streams with a flashpoint of
less than 140 degrees Fahrenheit (60 degrees
Centigrade) using a test method identified in 40
CFR 261 .21
Corrosive pollutants (including all pollutants with a
pH below 5.0, unless the POTW is designed to
accommodate such discharges)
Solid or viscous pollutants that may obstruct the
flow to the POTW
Pollutants, including oxygen-demanding
pollutants (e.g., BOD which will cause
interference with the POTW
Discharges exceeding 104 degrees Fahrenheit or
60 degrees Centigrade, unless approved by the
POTW
Discharges of petroleum oil, nonbiodegradable
cutting oil, or products of mineral oil origin that
will cause interference or pass through the POTW
Pollutants that result in the presence of toxic
gases, vapors, or fumes that pose a danger to
worker health and safety
EPA Laboratory Wastestreams Affected
'
• Waste elutriates from semi-volatile organic
extractions
• Effluent (e.g., aceton'rtrile, methanol. and
water mixtures) from high-pressure liquid
chromatography (HPLC) analyses
• Nitric acid and hydrochloric acid wastes from
trace metals analyses and glassware cleaning
Spent su If uric acid effluents from nutrient
analyses (e.g., Total Kjeldahl Nitrogen)
• Chemical oxidation demand (COD)
wastestreams
• Environmental media samples containing
solids (e.g., sediment, soils)
• High-concentration ethylene and propylene
glycol compounds
Discharges exceeding these standards are
uncommon at the majority of EPA facilities
• Oil-containing samples
• Wastes from machine, maintenance, and
automotive shop areas
• Cyanide containing photographic bleaches
• Other cyanide- and sulfide- bearing sample
wastes and process effluents
LOCAL
ORDINANCES (403.8)
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POTWs have the
authority to establish
their own pretreatment
standards for
contributors to their
systems. These
standards are
incorporated into local
sewer system
ordinances or permits.
Local authorities may
set more stringent
standards than the
national standards.
Guidance: EPA
facilities should
maintain a current
copy of the local
sewer-use ordinance
on site, in addition to
the applicable federal
pretreatment
regulations (40 CFR
Parts 400 to 4594).
Prohibitions
Local ordinances
usually contain
prohibitions more
stringent and specific
than those in the
national pretreatment
standards. SHEM
Managers must
carefully review these
prohibitions and
instruct laboratory
personnel on
procedures to comply
with the prohibitions.
Guidance: One-way to
comply with the
prohibitions, both local and national, is to instruct laboratory
personnel to dispose of no hazardous or toxic wastes via the
laboratory sink. If an EPA facility chooses this approach, it
should post a sign near each laboratory sink instructing
personnel not to dispose of hazardous or toxic substances in the
sink.
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Monitoring
Fines
A POTW may require industrial users to perform periodic water
quality effluent monitoring in accordance with sewer use
ordinance or user's permit guidelines. Additionally, significant
industrial users (SIUs) with discharges of more than 25,000
gallons per day are required to perform monitoring of wastewater
discharges every six months. The results of the biannual
monitoring must be provided to the POTW, along with a
description of the nature, concentration and flow of pollutants
discharged.
Guidance: EPA facilities discharging laboratory wastes to the
POTW should periodically monitor its discharge to verify
compliance with the POTWspretreatment standards. This
strategy -will provide data that supports an affirmative defense of
compliance with applicable discharge standards in the event that
a POTW initiates an enforcement investigation against its
industrial users.
All POTWs have the authority to assess penalties in at least the
amount of $1,000 per day for each violation of pretreatment
standards and requirements (40 CFR 403.8(f)(l)(vi)(A) and 53
FR 40612; October 17, 1988).
Spills and Releases
Spill Prevention
All EPA facilities must immediately notify the POTW of any
discharge that may cause problems for the POTW or violate the
prohibited discharges in 40 CFR 403.5(b) (40 CFR 403.12(f) and
53 FR 40613; October 17,1988). Notification requirements
vary; some POTWs have notification forms and require a
description or analysis of the discharge, while other POTWs
simply require notification by phone.
Several local ordinances require that the POTWs phone number
be placed in a prominent place (i.e., on a bulletin board which
employees regularly pass) in case such a release to the POTW
occurs. Employees should be made aware of this notification
requirement.
Guidance: EPA facilities should adopt the above posting and
notification requirements regardless of whether they are not
specified in their local POTW ordinance.
Many POTWs previously required industrial users to take
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preventative measures
to eliminate spills and
other slug discharges
into the system's
treatment works. EPA
has formalized this
requirement in its
revised pretreatment
regulations.
Accordingly, POTWs
must evaluate SIUs, at
least once every two
years, to determine the
need to implement a
slug control program.
Users subject to this
requirement would
include those with a
high risk of discharging
toxic or hazardous
materials into the
sewer system.
Guidance: SHEM
Managers should
identify and inventory
areas of the facility
when hazardous
substances may enter
either the POTW or
storm sewer system.
These areas should be
diked or bermedwhen
there is potential for a
release. For example,
several EPA facilities
have storm sewers
located near their
hazardous waste
storage area or
loading dock. These
sewers should be
protected from spills
during the packing and
transport of hazardous materials. Also, floor drains located in
areas where hazardous substances are located should be plugged
or bermed, unless a dedicated spill catchment basin or tank is
provided. If such devices are used, the facility should ensure
that measures are taken to prevent spill basins and tanks from
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receiving incompatible materials.
Notification Under section 403.12(p) of the new pretreatment regulations, all
industrial users were required to provide a one-time notification
by February 23, 1991, to the local POTW, state, and Regional
Waste Management Division Director for discharges of hazardous
wastes to the POTW. All discharges, which if disposed of in a
manner other than to the POTW would be considered hazardous
waste in accordance with 40 CFR Part 261, are required to be
reported unless the amount of these discharges is below IS kg per
month. Discharges of any quantity of acute hazardous wastes are
subject to the one-time notification. Reporting requirements are
divided into two tiers for dischargers of non-acute hazardous
wastes: 15 -100 kg/month tier and greater than 100 kg per month
tier. Discharges of between IS and 100 kg of non-acute
hazardous waste per month must provide the following
information:
Neutralization Units
• Name of the hazardous waste
• EPA waste code
• Type of discharge (continuous, batch, other).
For discharges of greater than 100 kg per month, the additional
information must be provided:
• Identification of hazardous constituents
• Mass and concentration of these constituents
• An estimate of the mass of hazardous constituents to be
discharged during the following twelve months.
Many EPA facilities employ elementary neutralization units to
neutralize corrosive discharges. These units are exempt from the
federal RCRA permitting requirements for hazardous waste
treatment (40 CFR 264.1(e)(6)). Local POTWs, however, may
require that these neutralization units be permitted as wastewater
treatment units.
Facility personnel should periodically monitor the pH of the
influent and effluent of the neutralization tank to measure its
effectiveness. If the tank is not proven to neutralize acids, then
laboratory personnel should not rely on its effectiveness.
Alternatively, they should be instructed to neutralize acids and
bases prior to sink disposal. (This is especially relevant to areas
where glassware is acid-washed prior to analysis for inorganics.)
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Guidance: Elementary neutralization systems should be
periodically monitored to measure treatment efficacy.
Additionally, these systems should be placed on a preventive
maintenance program to ensure proper operation (e.g.,
calibration ofpH monitors, maintenance of acid or base
discharge equipment, periodic removal and replacement of
neutralization media). When replacing the neutralizing medium
(eg., lime, limestone, seashells), the residue or sludge in the tank
should be tested for the RCRA hazardous -waste characteristics
(40 CFR Part 261).
Several EPA laboratories have found this sludge to exhibit the
toxicity characteristic for metals and pesticides. If the sludge is
found to be a RCRA characteristic waste it must be disposed of
as a hazardous waste. This may affect the facility's generator
status (see RCRA Subtitle C Chapter).
During maintenance operations, laboratory wastes will have to be
diverted from passing through the neutralization tank. Ideally,
there should be a parallel second neutralization tank so that it will
neutralize wastes while the other tank is being serviced. Most
often, however, EPA labs do not have neutralization tanks in
parallel. Therefore, during servicing, laboratory operations
usually must be temporarily stopped. If bypassing the
neutralization tank is possible, laboratory personnel should
examine the POTW ordinance for requirements addressing
notification prior to bypassing the tank. Several POTWs
currently require such notification.
CATEGORICAL
PRETREATMENT
STANDARDS
(403.6)
Categorical pretreatment standards are organized by type of
industry. Different requirements have been mandated for over 50
specificindustry types.
EPA facilities generally do not qualify as any of the industry types
for which categorical pretreatment standards have been
promulgated; thus they do not have compliance responsibilities
for most of these standards.
Photographic Point
Source Category (Part
459)
EPA facilities developing or printing paper prints, slides,
negatives,enlargements, movie film and other sensitized material
may be an exception. If a facility is processing more than 150
square meters (1,600 sq ft) per day, categorical pretreatment
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standards apply to point source discharges from such operations.
This rate of production (over ISO square meters/day) is unlikely
to be met by any EPA operations.
Although the categorical pretreatment standard usually does not
apply to photographic operations at EPA facilities, individuals
working in these operations should be aware of the national and
local prohibitions that apply to the wastes resulting from
photographic processing. These wastes are often acidic (pH <2)
and TC toxic for silver; thus they are RCRA hazardous wastes
and should be managed accordingly. Acidic wastes (not TC toxic
for silver) should be manifested off-site as corrosive waste or
neutralized prior to sink disposal. Process waste containing silver
should be manifested off-site, or the silver may be reclaimed.
Individuals conducting silver reclamation (on or off-site) should
be aware of the applicable RCRA requirements in 40 CFR Part
266.
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Section 06-08
CWA Regulatory Guide
Table 2 summarizes the major regulatory programs under the
CWA that may impact EPA facilities and references applicable
standards.
Table 2
Clean Water Act Regulatory Guide
CWA REGULATORY
GUIDE
Topic
Oil Discharges
Spill Prevention
Control and
Countemneasure Plans
Hazardous Substance
Release Reporting
National Pollutant
Discharges Elimination
System Permits
NPDES Effluent
Limitations Guidelines
NPDES Stormwater
Discharge Permits
National General
Pretreatment
Standards
National Categorical
Pretreatment
Standards
Local Pretreatment
Standards
Action involved
Reporting is required for discharges of oil into navigable
water that:
• Violates water quality standards
Causes a film or sheen on the water or shoreline.
SPCC plans must be developed when petroleum is being
stored in quantities greater than:
42,000 gallons underground
1 ,320 gallons total aboveground
• 600 gallons in any single aboveground container.
Reporting is required for releases of hazardous substances
that exceed CWA reportable quantities(listed in 40 CFR Part
116) within a 24-hour period.
NPDES permits are required for point source discharges of
wastewaters into navigable waters of the United States.
These requirements apply to point source discharges of
wastewaters from specific activities into navigable waters
(these will not be applicable to most EPA facilities).
These requirements apply to point source discharges of
Stormwater that have come in contact with industrial or
construction activities into navigable waters. These
standards also apply to RCRA treatment, storage, and
disposal facilities.
Discharges of wastewater and sanitary waste to the sewer
system are subject to the National General Pretreatment
Standards, which prohibit discharges of certain wastes to the
sewer system.
Discharges of wastewater to the sewer system from specific
activities are regulated under the national categorical
pretreatment standards.
Discharges of wastewater and sanitary wastes to the sewer
system will be regulated by a municipal discharge permit or a
local sewer use ordinance issued by the local sewer
authority.
Regulatory
Citation
40 CFR Part
110
40 CFR Part
112
40 CFR Part
117
40 CFR Part
122
40 CFR Parts
405 through
471
40 CFR
122.26
40 CFR
403.5(b)
40 CFR Parts
405 through
471
Municipal
Discharge
Permit or
local Sewer
Use
Ordinance
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OVERVIEW
Section 06-09
Marine Research Vessels
This section addresses environmental regulations applicable to
EPA Research Vessels (R/Vs). These requirements were not all
promulgated under the CWA, nor are they all enforced by EPA.
OIL POLLUTION
PREVENTION ON
MARINE VESSELS
(33 CFR Parts 151-
155)
MARINE
SANITATION
DEVICES
Coast Guard
Requirements (159.7)
EPA Standards
(40 CFR Part 140)
TRIBUTYLTIN IN
HULL COATINGS
EPA research vessels must not discharge noxious liquids, including
oil and oil mixtures into navigable waters. When out of port, any
discharge of oil or oily mixtures is prohibited. When in port, the
oily water mixture retained in the bilge may be pumped out into a
secure container for ultimate disposal. Sinks or toilets must not
drain directly overboard.
Regulations addressing "marine sanitation devices" have been
promulgated by EPA (40 CFR Part 140) and the U.S. Coast Guard
(33 CFR Part 159). The Coast Guard's regulations primarily apply
to the manufacture and certification of marine sanitation devices;
however, 33 CFR 159.7 applies to vessel operators. Individuals
operating EPA R/Vs must be sure they are in compliance with
both the EPA and U.S. Coast Guard regulations.
Marine sanitation devices on EPA vessels must be operable, and
certified and labeled (by the manufacturer) in accordance with
Coast Guard regulations.
EPA prohibits the overboard discharge of sewage into certain
freshwater lakes, and reservoirs, and rivers. Additionally, a state
may prohibit the discharge of sewage into some or all of the
waters within the state. Before discharging sewage overboard,
individuals operating EPA vessels should be aware of the
applicable prohibitions.
Many paints used on marine vessels contain tributyltin (TBT)
compounds. These compounds are antifoulants which inhibit the
growth of aquatic organisms such as algae and barnacles. In
January 1986, EPA initiated a Special Review of antifoulant paints
containing TBT compounds. The Review was initiated on the
basis of toxicity studies which indicated that TBT compounds are
highly toxic, frequently at parts per trillion levels, to nontarget
marine and fresh water aquatic organisms. Additionally, the
Organotin Antifouling Paint Control Act of 1988 (OAPCA) was
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signed by the President on June 16,1988. This Act sets interim
and permanent standards on TBT use and establishes TBT
monitoring and research programs.
The partial conclusion of EPA1 s Special Review and the effects of
OAPCA are discussed in a notice published in the Federal
Register (53 FR 39022, October 4, 1988). In the notice, EPA
announced that it will cancel all TBT antifouling paints
registrations which do not meet the following conditions:
• Average daily release rate of 4.0 mg organotin /cm per
day or less
• Not used on non-aluminum vessels under 82 feet in length
• Classified as restricted-use pesticides (only sold to and
applied by certified commercial applicators)
• Labeled in compliance with Occupational Safety and
Health Administration (OSHA) regulations.
TBT-containing paints which meet the above conditions and have
amended registrations in accordance with the guidelines in 53 FR
39037 may be used on EPA marine research vessels (if they are
aluminum or longer than 82 feet). Selected paints that have been
certified for use include:
Chugoku Marine Paints, A.S. Seaflo Z-100 LE
Sigma Coatings, 7293 Pilot LL Antifouling
• International Paints, Intersmooth Hi sol SPC-AF.
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APPLICABILITY
(141.3)
Section 06-10
Safe Drinking Water Act Introduction
INTRODUCTION The SOW A, enacted on December 16, 1974, is the basis for
protecting the nation's drinking water supplies from physical,
chemical, biological, and radiological contaminants that may
impact public health. The Act's statutory mandates direct EPA to
develop national primary drinking water regulations (NPDWRs)
that set limits for contaminants in drinking water and require
specific treatment techniques to ensure safe drinking water. The
SDWA also directs EPA to develop underground injection
regulations for protecting underground sources of drinking water.
The SDWA regulations protect human health by regulating public
water systems. A public water system is defined as a system that
provides water for human consumption and is comprised of at
least 15 service connections or serves 25 individuals daily, at least
60 days out of the year.
Public water systems are divided into community and
noncommunity systems. A community water system is a public
water system that serves at least 15 service connections used by
year-round residents or regularly serves at least 25 year-round
residents (this definition basically pertains to residential
communities). A noncommunity water system includes those
systems that do not fit the above definition (e.g., schools, factories,
and mobile home parks).
Noncommunity water systems are further subdivided into transient
and nontransient systems. The regulations for nontransient
systems apply to a noncommunity public water system that
regularly serves at least 25 of the same persons over six months of
the year. The majority of EPA facilities are served by public water
systems and are not subject to the SDWA regulations governing
the delivery of treated drinking water. However, certain facilities
do maintain on-site wells that supply water for consumption by 25
or more individuals. These operations are subject to all applicable
SDWA requirements applicable to nontransient, noncommunity
water systems (NTNCWSs). In addition, EPA facilities should be
cognizant of other major provisions of the drinking water
regulations, especially those associated with the control of
drinking water contaminants typically arising from building
plumbing systems (e.g., lead and copper).
VARIANCES AND EXEMPTIONS
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States with primacy
(enforcement
authority) or EPA
may issue variances or
exemptions from
(141.4) specific
provisions of the
National Primary
Drinking Water
Standards, including
contaminant levels,
monitoring schedules,
and test methods.
Variances and
exemptions are
determined by the
state or regulatory
agency and depend
on the site-specific
characteristics of the
system.
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MAXIMUM
CONTAMINANT
LEVELS AND
MAXIMUM
CONTAMINANT
LEVEL GOALS
(141.11-16,
141.50-52,
141.60-63)
Maximum
Contaminant Level
Goals (MCLGs)
Maximum
Contaminant
Levels (MCLs)
Clean Water Management
May 1998
Section 06-11
Maximum Contaminant Levels
EPA has established two types of standards for contaminants in
drinking water. These are primary standards and secondary
standards. Primary standards, which are discussed here, are
enforceable, health-based contaminant levels. Secondary
contaminants are nonenforceable guidelines established to ensure
the aesthetic quality of drinking water provided by public systems
and will be discussed in a later section. In regulating primary
(health-based) drinking water contaminants, EPA uses two different
types of levels. These are maximum contaminant level goals
(MCLGs) and maximum contaminant levels (MCLs).
The MCLG is a concentration-based contaminant level that has
been identified by EPA as having no adverse health effects. MCLGs
are determined through extensive toxicology studies and represent a
nonenforceable goal for drinking water systems. For example, the
MCLG for certain known and suspected carcinogenic chemicals
(e.g., vinyl chloride) is zero.
MCLs are the enforceable primary standards established for public
water systems. The MCL for a particular contaminant represents
the maximum level, usually in terms of concentration, that may be
present in drinking water. This level is set as close to the MCLG as
possible while taking economic and technological factors into
consideration.
Exhibit 2 at the end of this chapter summarizes the MCLs and
MCLGs for regulated organics, inorganics, radionuclides, turbidity
and microbiologjcals.
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COLIFORM
SAMPLING (141.21)
Routine Monitoring
Section 06-12
Monitoring and Analytical Requirements
The MCL for coliform bacteria is currently based on the
affirmative determination of the presence of the organism.
Formerly, the MCL for coliform bacteria was based on the density
of the bacteria in water. The system size (i.e., number of
individuals served by the system) determines the sampling
frequency to be used for coliform evaluation.
Small systems (less than 3,300 persons served) are deemed to be in
compliance if no more than one sample taken is coliform positive.
The majority of EPA facilities would fall under the definition of a
small system for the purpose of coliform sampling.
The monitoring frequency for a public water system depends on the
system size and type. Since EPA facilities, if subject to the SDWA
regulations, are most likely to be NTNCWSs, the frequency is
determined by the type of source water that is used (groundwater
or surface water). For noncommunity water systems that serve
1,000 persons or less and use only ground water, the system must
monitor each quarter. Noncommunity water systems that use
surface water in whole or in part are required to sample in the same
manner as a community water system (i.e., one sample per month
for systems serving a population of 25 to 1,000 individuals).
If the system finds a coliform-positive sample during routine
sampling, the system must collect a set of repeat samples within 24
hours. Systems that collect one or fewer samples per month must
collect at least four repeat samples for each coliform positive
sample found.
Specific repeat sampling requirements are set forth in the event that
a system identifies a coliform-positive sample. These requirements
are increasingly more stringent if positive samples are obtained
during repeat monitoring activities.
As a result of regulatory revisions, EPA facilities may now use an
expanded set of analytical methods for coliform determinations.
Specifically, one of four methods listed in 40 CFR 141.21(0 may be
used for monitoring fecal coliform levels, including: the Multiple-
Tube Fermentation (MTF) technique, the Membrane
Filter (MF) technique, the Presence-Absence (P-A) Coliform test,
Repeat Monitoring
Repeat Sampling
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or the Minimal
Medium ONPG-MUG
(MMO-MUG) Test.
Thus, the increased
number of analytical
methods provide
inexpensive and user-
friendly coliform
techniques that can be
performed with
minimal personnel
resource demands at
those EPA facilities
that have drinking
water supply
monitoring
requirements.
STANDARDIZED MONITORING FRAMEWORK
EPA initiated a
standardized
monitoring framework
for monitoring
chemical and
radiological drinking
water contaminants.
This monitoring
scheme is based on a
nine-year compliance
cycle. This cycle is
separated into three
three-year compliance
periods. All systems
must conduct an initial
round of monitoring
for all contaminants
during the first three-
year period of each
nine-year compliance
cycle. The results of
this monitoring will be
used to determine the
required frequency of
monitoring and
sampling of each cycle.
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INORGANIC
CHEMICAL
SAMPLING AND
ANALYTICAL
REQUIREMENTS
Monitoring for
asbestos shall be
performed on the first
three-year compliance
period of each nine-
year compliance cycle.
If the system believes
it is not vulnerable to
asbestos
contamination, it may
request a waiver from
the state. The waiver
must include
information on
whether the system
has a potential for
asbestos
This section identifies the sampling and analytical methods that are
to be used when determining the compliance status of drinking
water for the inorganic MCLs. Effective July 30, 1992, new
regulations concerning the monitoring of inorganic contaminants
were imposed. A critical element of these regulations was the
creation of a new inorganic contaminant list in 40 CFR 141.62.
The expanded inorganic contaminant list has been incorporated into
the comprehensive table of regulated drinking water contaminants
and MCLs provided as Exhibit 2 of this chapter.
Groundwater systems are required to take a minimum of one
sample at every entry point into the distribution system. However,
if an EPA facility has less than five entry points into the distribution
system it may collect composite samples. Surface water systems
are required to take a minimum of one sample at every entry point
to the distribution system after any application of treatment or in
the distribution system at a point which is representative of each
source after treatment.
After January 1, 1993, all NTNCWSs - the most common
classification of public water systems operated by EPA facilities -
must analyze for asbestos, antimony, barium, beryllium, cadmium,
chromium, fluoride, mercury, nickel, selenium, thallium, nitrates,
nitrites and, for the purposes for the determination of compliance
with 40 CFR 141.88, lead and copper (source water monitoring).
Asbestos
contamination.
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Antimony, Barium,
Beryllium, Cadmium,
Chromium, Fluoride,
Mercury, Nickel,
Selenium, Thallium
Nitrate
Nitrite
New Inorganic MCLs
Monitoring for
Fluoride
Ground water systems shall analyze for these contaminants every
three years. The state may grant waivers for reducedmontoring
provided that the waiver meets the specifications given under
141.23(c)(2-8). Effective January 1, 1993, all water systems shall
monitor for nitrate. If a ground water system or surface water
system meets or exceeds a nitrate concentration of 5 parts per
million (ppm), then it shall monitor for nitrate on a quarterly basis.
After maintaining one year of compliance (i.e., four consecutive
monitoring periods), the state may reduce the monitoring to an
annual basis. The exceedance of the nitrate MCL shall be
determined on the average of two samples. If a sample for nitrate is
exceeded, the system shall repeat the sampling within 24 hours. If
the average of these two samples exceeds the MCL for nitrate, the
system must notify the state.
All public water systems must collect one sample at each entry
point to the distribution system during the first compliance period.
If the level meets or exceeds 0.5 ppm, the system must sample
quarterly for at least one year. Reduced monitoring requirements
may be granted provided the system demonstrates that the observed
level is consistently less than 1 ppm.
New MCLs for barium, beryllium, cadmium, chromium, mercury,
nickel, selenium, thallium, and nitrate became effective after July
30,1992 (refer to Exhibit 2). Silver was delisted as a primary
inorganic contaminant effective July 30, 1992.
Analytical methods for determining compliance with the inorganic
MCLs are listed under 40 CFR 141.23 (56 FR 3581-3582, and 56
FR 30275-6).
Samples for fluoride shall be taken at each entry point to the
distribution system. The state may reduce the monitoring frequency
after certain criteria have been met. The system shall be deemed out
of compliance if any sample taken exceeds the MCL for fluoride.
Analytical methods
for fluoride are listed
under 40 CFR
141.23(f).
On January 1, 1993, a
new monitoring
ORGANIC SAMPLING AND ANALYTICAL REQUIREMENTS
(141.24)
framework became effective. NTNCWSs are now required to
monitor for additional additional organic drinking water
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contaminants. For
compliance purposes,
both monitoring
schedules are
explained below.
Prior to January 1,
1993, the following
monitoring protocol
was required:
Small NTNCWSs
(< 1,000 individuals)
must have analyzed
for the following
organic contaminants:
Vinyl chloride
Trichloroethylene
Benzene
If, however, these contaminants are detected but the levels are
consistently below the MCLs, monitoring shall continue on a
quarterly basis. If the system is monitoring on a quarterly basis,
compliance will be based on a running annual average.
Dichlorobenzene
Carbon tetrachloride
1,1
Dichloroethylene
1, 2 Dichloroethane
c-1,2
Dichloroethylene
Samples must be
taken at the entry
points to the
distribution system on
a quarterly basis for at
least one year. If the
above listed organics
are not detected after
one year, monitoring
can be reduced to
once every five years.
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Vinyl Chloride
Monitoring
RADIONUCLIDES
MONITORING
(141.25, 141.26)
Monitoring for Gross
Alpha Particle
Activity and Radium
226/228
Monitoring for vinyl chloride is required only for ground water
systems that have detected one or more of the following organic
compounds: trichloroethylene; tetrachloroethylene, 1,2-
dichloroethane; 1, 1, 1 - trichloroethane, cis and trans 1, 2 -
dichloroethylene; or 1, 1-dichloroethylene. Vinyl chloride samples
shall be taken at those points that have detected any of the above
organic compounds. The state, however, may impose more
stringent monitoring requirements.
Starting January 1, 1993, sampling will be conducted in a similar
manner as above except that the volatile organic contaminant list
has been expanded (refer to Exhibit 2). Samples shall be taken at
entry points to the distribution system every three months for one
year. If no organics are detected, sampling shall be reduced to an
annual basis. If after three years of annual monitoring no organics
are detected, sampling may be further reduced to once every three
years. At any point after the initial monitoring a state may grant a
waiver of these requirements to a system for up to six years. If a
contaminant is detected, the system must monitor quarterly. After
review by the state, a system may apply for annual monitoring.
In conjunction with these requirements, NTNCWSs must also
monitor for synthetic organic contaminants (SOCs). Samples for
SOCs must be taken every quarter for one year. After that time,
the state may reduce the monitoring to once per compliance period
(three years). If SOCs are detected, the system must continue
sampling on a quarterly basis.
In addition to physical, chemical, and biological contaminants,
selected radionuclides with known or suspected carcinogenic
properties are regulated under the SDWA. The specific
contaminants and associated MCLs are identified in Exhibit 2. The
analytical methods for determining compliance with the MCLs for
radionuclides are identified in 141.25.
Water systems shall analyze for radionuclides at least once every
four years. When gross alpha particle activities exceed three pCi/1,
the system must analyze for radium-226. If the system exceeds
three pCi/1 for radium-226, then the system shall also analyze for
radium-228. The system shall also analyze for gross alpha particle
activity and radium-226/228 on a yearly basis (applies only to
CWSs).
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Monitoring for CWSs under SO pCi/1 for gross beta particle activity, 20,000 pCi/1
Manmade for tritium, and eight pCi/1 for strontium-90, as determined on an
Radioactivity annual basis, shall be deemed in compliance with SDWA
regulations. If radionuclide activities exceed these recommended
levels, the system must analyze for these contaminants at least every
two years unless the state requires more frequent monitoring.
ALTERNATIVE An alternative analytical method may be used if approved by EPA
ANALYTICAL and the state.
METHODS (141.27)
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May 1998
REPORTING
REQUIREMENTS
(141.31)
PUBLIC
NOTIFICATION
(141.32)
Tier 1 Violations
Section 06-13
Reporting and Public Notification and Recordkeeping
Monitoring data acquired in the process of determining compliance
with the MCLs must be submitted to the state or Regional EPA, as
applicable, within the first 10 days following the month the results
are received. Alternatively, the data may be submitted within 10
days of the end of a required monitoring period established by the
appropriate enforcement agency. The system is also required to
notify the enforcement agency within 48 hours of a violation of any
of the SDWA regulations, including monitoring requirements.
Systems in violation of primary SDWA regulations must provide a
notification to the public describing the specific problem of the
problem. The manner of giving notice and the time frame in which
notice is required depends on the particular regulation which has
been violated. EPA has developed a two-tiered system for
classifying violations.
These violations are the most serious violations because they are
directly related to potential adverse health effects. These include
violations of the MCLs, treatment techniques, or the failure to
comply with a schedule set forth for a variance or exemption.
Tier 1 violations can be either acute or nonacute. Acute violations
are defined as those violations which pose an acute risk to human
health, those that exceed the nitrate or coliform MCL, or the
occurrence of a waterborne disease outbreak. States may establish
different or more stringent parameters for acute violations.
These violations are less serious because they do not pose a direct
threat to public health. Nonetheless, they are significant enough to
warrant public notice. They include the failure to comply with
monitoring requirements or test procedures.
The manner in which the public notice is given may vary depending
on the nature of the violation. The means that are available for
issuing these notices include radio, television, the local daily
newspaper, regular mail, included in the water bill, hand delivery, or
continuous posting in a conspicuous place. If the locale is not
served by a daily or weekly paper, the notice must be hand
delivered or posted.
Tier 2 Violations
Manner of Notice
For Tier 1 Violations:
Reporting Public Notification and Recordkeeping
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Content of Notice
Clean Water Management
May 1998
Noncommunity water systems may notify the public through
continuous posting, hand delivery or by mail every three months.
Notification must be initiated within 72 hours of the violation.
For nonacute violations, the water system must provide notification
in a daily or weekly newspaper within 14 days, and hand delivered
or mailed within 45 days. Community water systems and
noncommunity water systems that are not served by a newspaper
must notify through hand delivery or mailing and also through
continuous posting in the same manner as described above.
For Tier 2 Violations:
Water systems which fail to perform monitoring or have been
granted a variance or exemption must inform the public by
providing notification in a daily or weekly newspaper (whichever is
available) within three months. This must be repeated every three
months for as long as the violation exists.
The notice that is given by a water system must include the
following:
• A clear explanation of the violation
• Health effect information, including mandatory language
that must be provided in tier 1 violations and by all systems
that have been issued a variance or exemption
• Identification of the population at risk
• The steps being taken to correct the problem
• Information about the need for an alternative water supply,
if any
• Preventative measures that can be taken until the violation is
corrected.
RECORD
MAINTENANCE
(141.33)
Within the required time frames, all public water systems must
retain, at or near the premises, the following records:
For 3 years:
Reporting Public Notification and Recordkeeping
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LEAD PUBLIC
NOTICE
REQUIREMENTS
(141.34)
Records of action taken by the system to correct violations
of primary drinking water regulations
For S years:
• Records of bacteriological analyses
• Records concerning variances or exemptions granted to the
system
For 10 years:
• Copies of any written reports or communications relating to
sanitary surveys performed for the system
• Records of chemical analyses.
Guidance: EPA facilities that operate public drinking water
systems should develop a centralized file to manage drinking water
monitoring, reporting, and notification documentation. The
records management strategy should be organized against a
master index that allows for ready file access and retrieval.
Preferably, a schedule reminder system should also be instituted to
ensure that required reporting deadlines are consistently fulfilled.
The requirements of this section should have been completed by
June 19, 1988. It requires owners and operators of water systems
to notify their customers of the potential of lead in drinking water.
This notification was required to be provided even if there was no
violation of the MCL for lead. In the April 24, 1989, memorandum
issued jointly by the Offices of Drinking Water and Administration,
notice was given to all EPA facilities of the potential hazards
associated with lead in drinking water. Additionally, this internal
policy set forth the requirement for all EPA facilities to perform
lead in drinking water monitoring to verify the presence or absence
of lead above the Agency's recommended action levels.
Guidance: All EPA facilities shall conduct lead in drinking water
monitoring to ensure that lead levels are below the Agency's action
level of 15 ug/l at the tap. New construction or plumbing system
modifications should be accompanied by verification sampling.
Reporting Public Notification and Recordkeeping
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Section 06-14
Special Regulations and Prohibition on Lead Use
MONITORING.
REPORTING. AND
PUBLIC
NOTIFICATION FOR
CERTAIN
UNREGULATED
CONTAMINANTS
(141.40)
PROHIBITION ON
USE OF LEAD
SOLDER AND FLUX
(141.43)
All community and nontransient, noncommunity water systems
using ground water or surface water must analyze for certain
unregulated contaminants. The list of contaminants to be
determined is found at 141.40(e) and (j) Small systems such as
EPA facilities, however, may be exempted from these
requirements provided that certain conditions are met (i.e.,
(141.35) documentation is provided describing the system
characteristics and number of individuals served).
If sampling is required, the system must submit the results of the
monitoring to the state or Regional EPA, as applicable, within 30
days.
The Lead Contamination Control Act of 1988 required EPA to
promulgate regulations restricting the use of lead-containing
materials such as pipes, fittings, solders and fluzes in residential
and utility water distribution systems. Only lead-free materials are
allowed for construction and repairs.
Solders and fluxes that contain less than 0.2% lead are considered
lead-free as well as pipes and pipe fitting that contain less than
8.0% lead. The date of enforcement for these regulations was
June 19, 1988.
Special Regulations and Prohibition on Lead Use
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REQUIREMENTS
(141.70)
CRITERIA FOR
AVOIDING
FILTRATION
(141.71)
Clean Water Management
May 1998
Section 06-15
Filtration and Disinfection
This section applies to ground water systems that are under the
direct influence of surface water. This type of ground water usually
exhibits some of the same characteristics as surface water sources.
This determination shall be made by the state. If the state
determines that the water source is strictly ground water not under
the influence of surface water, the system need not comply with
these requirements.
Compliance is determined by:
• Compliance with filtration and disinfection standards
• Must have 99.9% deactivation of Giardia lamblia organisms
and 99.99% deactivation for viruses
• The system must be operated by a state certified operator.
Ground water systems that are under the influence of surface
water must meet three criteria in order to avoid installing
filtration:
1. Source water cannot exceed 20/100 ml of fecal coliforms,
total coliforms must not exceed 100/100 ml and turbidity
must not exceed five Nephelometric Turbidity Units (NTU )
prior to disinfection.
2. The system must provide adequate disinfection at all times,
have a watershed control program, be inspected by a state-
approved agent for watershed control, must not have been
the site of a water-borne disease outbreak and must be in
compliance with the microbiological and trihalomethane
MCLs.
3. The system must not have been in violation of any previous
filtration or disinfection requirements.
DISINFECTION The disinfection treatment must ensure the deactivation of
(141.72) 99.9% of all Giardia lamblia organisms and 99.99% of all viruses.
Also the system must make the necessary disinfectant contact time
(CT) calculations to ensure that the disinfectant residue in the water
Filtration and Disinfection
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will achieve this deactivation ratio. In addition to this, the system
must have redundant disinfection components or other precautions
in place to ensure the microbiological safety of the water.
FILTRATION
(141.73)
ANALYTICAL AND
MONITORING
REQUIREMENTS
(141.74)
If the system does not meet the criteria for avoiding filtration, then
it must comply with both the requirements for providing filtration
and disinfection. The approved methods for providing filtration are
conventional filtration, slow sand filtration, diatomaceous earth
filtration, and other filtration technologies. In all of these filtration
techniques, the turbidity levels of these systems must never exceed
0.5 NTU in 95% of the samples, never more than 1 NTU in 5% of
the samples, and must not at any time exceed 5 NTU.
The following section describes the monitoring and
analyticalrequirements for the surface water treatment rule.
Includedare references for methodology used for measuring
turbidity, coliform bacteria, fecal bacteria and residual disinfectants.
Analytical
Requirements
State-approved labs will measure pH, temperature, turbidity and
residual disinfectant. EPA-certified and state-certified labs will
measure for fecal coliforms and heterotrophic plate count (HPC)
bacteria. The methodology is found under 141.74(a).
Monitoring
Requirements
Samples for fecal and total coliform must be taken prior
todisinfection. For small systems this entails taking at least one
sample per week. Other criteria for compliance include daily
contact time calculations, and monitoring for coliforms, disinfectant
residuals and turbidity. Systems that already practice filtration may
monitor for heterotrophic bacteria instead of disinfectant residuals.
Filtration and Disinfection
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REQUIREMENTS
(141.80)
APPLICABILITY
OF CORROSION
CONTROL
TREATMENT
STEPS
(141.81)
Optimized Corrosion
Control Protection
CORROSION
CONTROL
TREATMENT
REQUIREMENTS
(141.82)
Corrosion Control
Studies
Clean Water Management
May 1998
Section 06-16
Control of Lead and Copper
Beginning July 1, 1993, all water systems must comply with the
requirements set forth for the control of lead and copper in drinking
water. These regulations establish treatment technique requirements
for corrosion control, source water treatment and under special
circumstances lead service line replacement. Also included are
regulations regarding the applicability of public education for those
systems that have triggered the lead and copper action levels.
Since the few EPA facilities subject to SDWA regulations serve less
than 3,300 individuals, only the corrosion control requirements for
small water systems are applicable. After a lead or copper action
level is exceeded, small systems have 18 months in which to
complete a corrosion control study and 2 years to install a treatment
process (after designation by the state).
A system is not required to complete the corrosion control steps if it
can demonstrate to the state that it satisfies the following criteria:
• It meets the action levels for both lead and copper during
two consecutive 6-month monitoring periods
• It has conducted equivalent corrosion control activities for a
similar sized system.
After collecting tap water samples from high risk locations,
watersystems that exceed lead and copper action levels (i.e., 15 ug/1
and 1.3 mg/1, respectively) must conduct corrosion control studies
to determine if a water treatment technique is needed to reduce
potential lead contamination.
Corrosion control studies include examining the effectiveness of pH,
calcium adjustment, and the addition of corrosion inhibitors. Small-
and medium-sized systems are only required to complete these
studies if they exceed the lead and copper action levels. After
evaluation, state may either approve the treatment or require the
installation of alternative treatment. In addition to the
recommended treatment technique, the system must also include a
treatment alternative. The state will then either approve the systems
recommendation or designate an alternative treatment.
Once the state has specified the optimal corrosion control technique,
Corrosion Control
Control of Lead and Copper
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Treatment
SOURCE WATER
TREATMENT
REQUIREMENTS
(141.83)
PUBLIC
EDUCATION
AND
SUPPLEMENTAL
MONITORING
REQUIREMENTS
(141.85)
MONITORING
REQUIREMENTS
FOR LEAD AND
COPPER IN
SOURCE WATER
(141.86)
Sample Collection
the system will have 24 months to complete the treatment
installation and 12 months to collect follow-up samples and
evaluation. The water system must then operate within the water
quality parameters (pH, alkalinity, calcium and corrosion inhibitors)
designated by the state.
If a public water system exceeds the lead or copper action level
intap water, it must collect source water samples and submit thedata
with a treatment recommendation to the appropriate enforcement
agency.
After the review of monitoring data, the state may require a water
system to install one of the following treatments: ion exchange,
reverse osmosis, coagulation/filtration, lime softening or any other
treatment that is at least as effective. Based on this review, the state
will designate the maximum permissible lead and copper
concentrations for finished water entering the distribution system.
All water systems must provide public education announcements to
its users within 60 days of exceeding a lead or copper action level.
Nontransient, noncommunity water systems will fulfill their public
education requirements by distributing brochures or pamphlets and
by placing posters in common areas of buildings served by the
system. These notices must be repeated at least once every year for
as long as the system exceeds the lead and copper action level. This
notification must contain language found in 141.8S(a) and (b).
To ensure safe levels of lead and copper in drinking water, the
system shall conduct a materials survey of the distribution system
inorder to identify a pool of sampling sites. Tap water sampling will
be conducted at high-risk locations, such as homes or buildings that
were recently built using lead solder or lead service lines.
The system must sample at both the tap and service line. Samples
that are taken from the tap must be first draw, at least one liter in
volume and must have been taken after the water was in direct
contact with the plumbing for at least six hours. Service line
samples must be at least one liter in volume, and can be taken
directly from the service line (tapping or other means) or can be
taken after a change in temperature at the tap after flushing.
Subsequent samples that are taken under this monitoring
requirement must be taken from the same sites.
Control of Lead and Copper
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Number of Samples
After the system has identified sampling sites, the system will be
required to take at least one sample from each site. Systems that
serve 100 persons or less must sample at five locations. Systems
that serve up to 500 persons must sample from at least 10 locations.
Timing of Monitoring
MONITORING
REQUIREMENTS
FOR WATER
PARAMETERS
(141.87)
Monitoring
Requiremets
Reduced Monitoring
Small systems must monitor for at least two consecutive six-month
periods beginning on July 1, 1993. After compliance for two
consecutive monitoring periods has been met, the state may reduce
the monitoring to annually. After three years of compliance, the
state may further reduce the monitoring from annually to once every
three years.
The Office of Water developed a guidance document that contains
additional information on sampling for lead in drinking water in
nonresidential facilities (EPA 812-B-94-002). A portion of the
guidance has been copied and included as Appendix A at the end of
this chapter. Complete copies of this document are available upon
request through the Safe Drinking Water Act Hotline (202-260-
7908) or EPA's Safety, Health and Environmental Management
Division.
Monitoring for water quality parameters is required for all water
systems that have exceeded the action level requirements for lead
and copper. For small systems, these samples are collected at the
taps and also at the entry points to the distribution system. Systems
that serve 500 persons or less shall designate one site (entry point to
distribution system) for sampling. The parameters to be sampled
and analyzed include pH, alkalinity, orthophosphate or silica (if
used), calcium, conductivity and water temperature.
If a water system exceeds a lead or copper action level at the tap, it
is required to collect additional samples for lead and copper in
accordance with 141.23 (revised January 30 and July 1,1991). The
state may require additional samples to be taken at the same
sampling points) in which the exceedance occurred. These must be
taken no later than 2 weeks after an action level has been exceeded.
For ground water systems, monitoring can be reduced to a
compliance cycle of once every nine-years if the system can
demonstrate that the water entering the distribution system has been
maintained below the maximum permissible lead and copper
concentrations during three consecutive compliance periods (one
compliance period equals three years).
Control of Lead and Copper
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Clean Water Management
Analytical methods for this subpart are listed under 141.89. EPA
facilities performing lead in drinking water monitoring should note
that revisions to the analytical methodology for lead by graphite
furnace atomic absorption (GFAA) spectroscopy have been
implemented to reduce the practical quantitation limit for these
determinations.
REPORTING All test results shall be submitted within the first 10 days after the
REQUIREMENTS end of the monitoring period.
(141.90)
RECORDKEEPING Documents and records that are collected pursuant to the
REQUIREMENTS requirements of this subpart must be kept at the facility for no less
(141.91) than 12 years.
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POU DEVICES
(141.101)
Clean Water Management
May 1998
Section 06-17
Centralized Treatment Devices
POE DEVICES Approval to use "point of entry" devices can be granted by
(141.100)the state as a means of achieving compliance with the
national primary drinking water regulations. These devices must
ensure that the water being treated will meet all prescribed MCLs.
Additionally, to gain approval, the water system must maintain the
devices to ensure maximum treatment efficiency.
"Point of use" devices are not allowed means for a public water
system to come into compliance with the national primary drinking
water standards.
EPA facilities should note that calcium hypochlorite is commonly
used in POE devices associatd with small drinking water systems.
The handling of this substance should be evaluated to determine
appropriate personal protective equipment requirements.
Centralized Treatment Devices
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Clean Water Management
Section 06-18
National Secondary Drinking Water Standards (40 CFR Part 143)
SECONDARY The secondary drinking water standards establish secondary
MAXIMUM MCLs (SMCLs) to ensure the aesthetic quality of the water such
CONTAMINANT as color, odor and taste. Contaminant levels above the
LEVELS SMCLs are not of significance in terms of adverse health
(143.3) effects but may decrease the palatability of the water. The levels
are not enforceable and are only to be used as guidelines. States
are free, however, to adopt these standards as enforceable levels
in the implementation of their own program.
Monitoring Secondary contaminants should be monitored against the same
schedules required for primary drinking water standards.
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Section 06-19
SDWA Regulatory Guide
Table 3 below summarizes the major regulatory programs under
the SDWA that may impact EPA facilities and provides
references tothe applicable regulatory standards. Also included in
this chart is a summary of activities at EPA laboratories that
would trigger these requirements.
Table 3
SDWA Regulatory Guide
SDWA
REGULATORY
GUIDE
Topic
General applicability of
SDWA
Maximum contaminant
levels (MCLs) for organic,
inorganic, turbidity, and
certain radioactive material
Monitoring and analytical
requirements for public
water systems
Reporting, public
notification, and
recordkeeping
MCLGs
Filtration and disinfection
Control of lead and copper
in drinking water
Action involved
This subpart establishes key definitions under the
NPDWR, scope of coverage, variances and
exemptions, and regulatory effective dates.
Public drinking water systems providing water for
widespread consumption must meet specific
maximum contaminant levels to ensure drinking
water quality and protect public health.
Periodic testing and monitoring for coliform
bacteria, turbidity, and certain organic and
inorganic contaminants is a key aspect of the
NPDWR program. The effective dates for these
monitoring requirements has been phased in over
a period of time.
Reporting and public notification must be
conducted for noncompliance with SDWA
requirements for public water systems.
The NPDWR program establishes health-based
water quality objectives known as MCLGs. The
MCLGs provide the basis for the formulation of
MCLs which take into account technological and
economic constraints.
Specific filtration and disinfection requirements
are established for public water systems supplied
by a surface water source or ground water
influenced by surface water sources.
New action levels of 0.01 5 mg/l for lead and 1 .3
mg/l for copper were established in 1 991 . If these
values are exceeded at the tap in 10 percent of
the public water system subject to monitoring
programs, corrective actions must be initiated.
Regulatory
Citation
40 CFR Part 141,
Subpart A
40 CFR Part 141,
Subpart B and
Subpart G
40 CFR Part 141.
Subpart C
40 CFR Part 141.
Subpart D
40 CFR Part 141.
Subpart F
40 CFR Part 141,
Subpart H
40 CFR Part 141,
Subpart I
SDWA Regulatory Guide
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Clean Water Management
May 1998
State NPDES Program Status
State
Alabama
Arkansas
California
Colorado
Connecticut
Delaware
Georgia
Hawaii
Illinois
Indiana
Iowa
Kansas
Kentucky
Maryland
Michigan
Minnesota
Mississippi
Missouri
Montana
Nebraska
Nevada
New Jersey
New York
North Carolina
North Dakota
Ohio
Oregon
Pennsylvania
Rhode Island
South Carolina
South Dakota
Tennessee
Utah
Vermont
Virgin Islands
Virginia
Washington
West Virginia
Wisconsin
Wyoming
TOTALS
APPROVED
STATE NPDES
PERMIT
PROGRAM
10/19/79
11/01/86
05/14/73
03/27/75
09/26/73
04/01/74
06/28/74
11/28/74
10/23/77
01/01/75
08/10/78
06/28/74
09/30/83
09/05/74
10/17/73
06/30/74
05/01/74
10/30/74
06/10/74
06/12/74
09/19/75
04/13/82
10/28/75
10/19/75
06/13/75
03/11/74
09/26/73
06/30/78
09/17/84
06/10/75
12/30/93
12/28/77
07/07/87
03/11/74
06/30/76
03/31/75
11/14/73
05/10/82
02/04/74
01/30/75
40
APPROVED TO
REGULATE
FEDERAL
FACILITIES
10/19/79
11/01/86
05/05/78
01/09/89
12/08/80
06/01/79
09/20/79
12/09/78
08/10/78
08/28/85
09/30/83
11/10/87
12/09/78
12/09/78
01/28/83
06/26/79
06/23/81
11/02/79
08/31/78
04/13/82
06/13/80
09/28/84
01/22/90
01/28/83
03/02/79
06/30/78
09/17/84
09/26/80
12/30/93
09/30/86
07/07/87
02/09/82
05/10/82
11/26/79
05/18/81
35
APPROVED STATE
PRETREATMENT
PROGRAM
10/19/79
11/01/86
09/22/89
06/03/81
03/12/81
08/12/83
06/03/81
09/30/83
09/30/85
04/16/85
07/16/79
05/13/82
06/03/81
09/07/84
04/13/82
06/14/82
07/27/83
03/12/81
09/17/84
04/09/82
12/30/93
08/10/83
07/07/87
03/16/82
04/14/89
09/30/86
05/10/82
12/24/80
28
APPROVED
GENERAL.
PERMITS
PROGRAM
06/26/91
11/01/86
09/22/89
03/04/83
03/10/92
10/23/92
01/28/91
09/30/91
01/04/84
04/02/91
08/12/91
11/24/93
09/30/83
09/30/91
11/29/83
12/15/87
09/27/91
12/12/85
04/29/83
07/20/89
07/27/92
04/13/82
10/15/92
09/06/91
01/22/90
08/17/92
02/23/82
08/02/91
09/17/84
09/03/92
12/30/93
04/18/91
07/07/87
08/26/93
05/20/91
09/26/89
05/10/82
12/19/86
09/24/91
39
Exhibit 06-02
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Clean Water Management
May 1998
National Primary Drinking Water Standards
Contaminants
MCLG
(mg/L)
MCL
(mg/L)
Potential Health
Effects from
Ingestion of Water
Conform and Surface Water Treatment
Giardia lamblia
Legionella
Standard Plate Count
Total Coliform*
Turbidity-
Viruses
Inorganics
Antimony
Asbestos (>10um)
Barium*
Beryllium
Cadmium*
Chromium* (total)
Cyanide
Fluoride
zero
zero
N/A
zero
N/A
zero
0.006
7MFL
2
0.004
0.005
0.1
0.2
4.0
TT
TT
TT
<5%
TT
TT
Gastroenteric disease
Legionnaire's disease
Indicates water
quality, effectiveness
of treatment
Indicates
gastroenteric
pathogens
Interferes with
disintegration/filtratio
n
Gastroenteric disease
0.006
7MFL
2
0.004
0.005
0.1
0.2
4.0
Cancer
Cancer
Circulatory system
effects
Bone, lung damage
Kidney effects
Liver, kidney,
circulatory disorders
Thyroid, nervous
system damage
Skeletal and dental
fluorisis
Sources of Contaminant in
Drinking Water
Human and animal fecal
waste
Natural waters; can grow in
water heating systems
Human and animal fecal
waste
Soil runoff
Human and animal fecal
waste
Fire retardants, ceramics,
electronics, fireworks, solder
Natural deposits; asbestos
cement in water systems
Natural deposits; pigments,
epoxy sealants, spent coal
Electrical, aerospace,
defense industries
Galvanized pipe corrosion;
natural deposits; batteries,
paints
Natural deposits: mining,
electroplating, pigments
Electroplating, steel, plastics,
mining, fertilizer
Natural deposits; fertilizer,
aluminum industries, H,0
additive
Exhibit 06-02
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Clean Water Management
May 1998
Mercury* (inorganic)
Nickel
Nitrate*
Nitrite
Selenium*
Thalium
Volatile Organic Compounds
Benzene
Carton Tetrachloride
p-Dichlorobenzene
1 ,2-Dicholorethane
1 ,1-Dichloroethylene
Trichloroethylene
1,1,1-Trichloroethane
Vinyl Chloride
0.002
0.1
10
1
0.05
0.0005
zero
zero
0.075
zero
0.007
zero
0.2
zero
0.002
0.1
10
1
0.05
0.002
0.005
0.005
0.075
0.005
0.007
0.005
0.2
0.002
Kidney, nervous
system disorders
Heart, liver damage
Methemoglobulinemi
a
Methemoglobulinemi
a
Liver damage
Kidney, liver, brain,
intestinal
Crop runoff; natural deposits;
batteries, electrical switches
Metal alloys, electroplating,
batteries, chemical
production
Animal waste, fertilizer,
natural deposits, septic tanks,
sewage
Same as nitrate; rapidly
converted to nitrate
Natural deposits; mining,
smelting, coal/oil combustion
Electronics, drugs, alloys,
glass
Cancer
Cancer
Cancer
Cancer
Cancer, liver and
kidney effects
Cancer
Liver, nervous
system effects
Cancer
Some foods; gas, drugs,
pesticide, paint, plastic
industries
Solvents and their
degradation products
Room and water deodorants,
and "mothballs"
Leaded gas, fumigants,
paints
Plastics, dyes, perfumes,
paints
Textiles, adhesives and
metal degreasers
Adhesives, aerosols, textiles,
paints, inks, metal
degreasers
May leach from PVC pipe,
formed by solvent breakdown
Exhibit 06-02
06-64
-------
Safety, Health and Environmental
Management Guidelines
Clean Water Management
May 1998
Other Organics
Acrylamide
Adipate (di(2-ethylhexyl))
Alachlor
Aldicarb*
Aldicarb sulfone*
Aldicarb sulfoxide*
Atrazine
Carbofuran
Chlordane*
Chlorobenzene
2,4 - D*
Dalapon
Dibromochloropropane
o-Dichlorobenzene
cis-1 .2-Dichloroethylene
trans-1 ,2-Dichloroethylene
zero
0.4
zero
0.001
0.001
0.001
0.003
0.04
zero
0.1
0.07
0.2
zero
0.6
0.07
0.1
TT
0.4
0.002
0.003
0.002
0.004
0.003
0.04
0.002
0.1
0.07
0.2
0.0002
0.6
0.07
0.1
Cancer, nervous
system effects
Decreased body
weight; liver and
testes damage
Cancer
Nervous system
effects
Nervous system
effects
Nervous system
effects
Mammary gland
tumors
Nervous,
reproductive system
Cancer
Nervous system and
liver
Liver and kidney
damage
Liver, kidney
Cancer
Liver, kidney, blood
cell damage
Liver, kidney,
nervous, circulatory
Liver, kidney,
nervous, circulatory
Polymers used in
sewage/Waste water
treatment
Synthetic rubber, food
packaging, cosmetics
Runoff from herbicide on
com, soybeans, other crops
Insecticide on cotton,
potatoes, others; widely
restricted
Biodegradation of aldicarb
Biodegradation of aldicarb
Runoff from use as herbicide
on com, and non-cropland
Soil fumigant on com and
cotton; restricted in some
areas
Leaching from soil treatment
for termites
Waste solvent from metal
degreasing processes
Runoff from herbicide on
wheat, com, rangelands,
lawns
Herbicide on crops,
land/aquatic weeds; rapidly
degraded
Soil fumigant on soybeans,
cotton, pineapple, orchards
Paints, engine cleaning
compounds, dyes, chemical
wastes
Waste industrial extraction
solvents
Waste industrial extraction
solvents
Exhibit 06-02
06-65
-------
Safety, Health and Environmental
Management Guidelines
Clean Water Management
May 1998
Dichloromethane
1 ,2-Dichlorpropane
Dinoseb
Diquat
Dioxin
Endothall
Endrin
Epichlorohydrin
Ethylbenzene
Ethylene dibromide
Glyphosate
Heptachlor
Heptachlor epoxide
Hexachlorobenzene
Hexachlorocyclopentadiene
Lindane
Methoxychlor
Oxamyl (Vydate)
zero
zero
0.007
0.02
zero
0.1
0.002
zero
0.7
zero
0.7
zero
zero
zero
0.05
0.0002
0.04
0.2
0.005
0.005
0.007
0.02
0.00000003
0.1
0.002
TT
0.7
0.00005
0.7
0.0004
0.0002
0.001
0.05
0.0002
0.04
0.2
Cancer
Liver, kidney effects;
cancer
Thyroid, reproductive
organ damage
Liver, kidney, eye
effects
Cancer
Liver, kidney,
gastrointestinal
Liver, kidney, heart
damage
Cancer
Liver, kidney,
nervous system
Cancer
Liver, kidney damage
Cancer
Cancer
Cancer
Kidney, stomach
damage
Liver, kidney, nerve,
immune, circulatory
Growth, liver, kidney,
nerve
Kidney damage
Paint stripper, metal
degreaser, propellant,
extraction
Soil fumigant; waste
industrial solvents
Runoff of herbicide from crop
and non-crop applications
Runoff of herbicide on land
and aquatic weeds
Chemical production by-
product, impurity in
herbicides
Herbicide on crops,
land/aquatic weeds; rapidly
degraded
Pesticide on insects, rodents,
birds; restricted since 1980
Water treatment chemicals;
waste epoxy resins, coatings
Gasoline; insecticides;
chemical manufacturing
wastes
Leaded gasoline additives;
leaching of soil fumigant
Herbicide on grasses, weeds,
brush
Leaching of insecticide for
termites, very few crops
Biodegradation of heptachlor
Pesticide production waste
by-product
Pesticide production
intermediate
Insecticide on cattle, lumber,
gardens; restricted 1983
Insecticide for fruits,
vegetables, alfalfa, livestock,
pets
Insecticide on apples,
potatoes, tomatoes
Exhibit 06-02
06-66
-------
Safety, Health and Environmental
Management Guidelines
Clean Water Management
May 1998
PAHs (benzo(a)pyrene)
Pentachlorophenol
PCBs
Phthalate, (di(2-ethylhexyl))
Picloram
Simazine
Styrene
Tetrachloroethylene
Toluene
Toxaphene
2,4,5-TP
1 ,2,4-Trichlorobenzene
1 ,1 ,2-Trichloroethane
Xylenes (total)
Lead and Copper
Lead*
Copper
zero
zero
zero
zero
0.5
0.004
0.1
zero
1
zero
0.05
0.07
0.003
10
zero
1.3
0.0002
0.001
0.0005
0.006
0.5
0.004
0.1
0.005
1
0.003
0.05
0.07
0.005
10
Cancer
Cancer, liver and
kidney effects
Cancer
Cancer
Kidney, liver damage
Cancer
Liver, nervous
system damage
Cancer
Liver, kidney,
nervous, circulatory
Cancer
Liver and kidney
damage
Liver, kidney damage
Kidney, liver, nervous
system
Liver, kidney,
nervous system
TT'
TT
Kidney, nervous
system damage
Gastrointestinal
irritation
Coal tar coatings; burning
organic matter volcanoes,
fossil fuels
Wood preservative,
herbicide, cooling tower
wastes
Coolant oils from electrical
transformers, plasticizers
PVC and other plastics
Herbicide on broadleaf and
woody plants
Herbicide on grass sod.
some crops, aquatic algae
Plastics, rubber, resin, drug
industries; leachate from city
landfills
Improper disposal of dry
cleaning and other solvents
Gasoline additive,
manufacturing and solvent
operations
Insecticide on cattle, cotton,
soybeans; canceled 1992
Herbicide on crops, right-of-
way, golf courses; canceled
1983
Herbicide production, dye
carrier
Solvents in rubber, other
organic products; chemical
production wastes
By-product of gasoline
refining, paints, inks,
detergents
Natural/industrial deposits;
plumbing, solder, brass alloy
faucets
Natural/industrial deposits;
wood preservative, plumbing
Exhibit 06-02
06-67
-------
Safety, Health and Environmental
Management Guidelines
Clean Water Management
May 1998
Other Proposed (P) and Interim (1) Standards
Beta/photo emitters (1) and (P)
Alpha emitters (1) and (P)
Combined Radium 226/228 (1)
Radium 226*(P)
Radium 228*(P)
Radon (P)
Uranium (P)
Sulfate (P)
Arsenic*(l)
Total Trihalomethanes (1)
zero
zero
zero
zero
zero
zero
zero
400/500
0.05
zero
4 mrem/yr
15pCi/L
5pCi/L
20 pCi/L
20 pCi/L
300 pCi/L
0.02
400/500
0.05
0.10
Cancer
Cancer
Bone cancer
Bone cancer
Bone cancer
Cancer
Cancer
Diarrhea
Skin, nervous system
toxicity
Cancer
Decay of radionuclides in
natural and man-made
deposits
Decay of radionuclides in
natural deposits
Natural deposits
Natural deposits
Natural deposits
Decay of radionuclides in
natural deposits
Natural deposits
Natural deposits
Natural deposits; smelters,
glass, electronics wastes;
orchards
Drinking water chlorination
by-products
NOTES:
* Indicates original contaminants with interim standards which have been revised
f Action Level = 0.015mg/l
pCi= picocurie - a measure of radioactivity
TT = Treatment Technique Required
+ Action Level = 1.3mg/l
MFL= Million Fibers per Liter
mrem= millirems - a measure of radiation absorbed by the body
Exhibit 06-02
06-68
-------
Safety, Health and Environmental
Management Guidelines
Clean Water Management
May 1998
List of Acronyms
BOD
CERCLA
Compensation
COD
COS
CT
CWA
DMR
GFAA
HPC
HPLC
MCL
MCLG
MF
MMO-MUG
MTF
NPDES
NPDWR
NTNCWS
OAPCA
OSHA
P-A
POE
POTW
POU
ppm
SDWA
SHEM
SHEMD
SHEMG
SIU
SMCLs
SPCC
TBT
Biological Oxygen Demand
Comprehensive Environmental Response,
and Liability Act
Chemical Oxidation Demand
Synthetic Organic Contaminants
Contact Time
Clean Water Act
Discharge Monitoring Report
Graphite Furnace Atomic Absorption
Heterotrophic Plate Count
High-Pressure Liquid Chromatography
Maximum Contaminant Level
Maximum Contaminant Level Goal
Membrane Filter
Minimal Medium ONPG-MUG
Multiple-Tube Fermentation
National Pollutant Discharge Elimination System
National Primary Drinking Water Regulations
Nontransient, Noncommunity Water Systems
Organotin Anti-fouling Pain Control Act of 1988
Occupation Safety and Health Administration
Presence-Absence
Point of Entry
Publicly Owned Treatment Works
Point of Use
Parts Per Million
Safe Drinking Water Act
Safety. Health and Environmental Management
Safety, Health and Environmental Management Division
Safety, Health and Environmental Management Guidelines
Significant Industrial Users
Secondary MCLs
Spill Prevention, Control and Countermeasure
Tributyrtin
Exhibit 06-03
06-69
-------
APPENDIX A
-------
SAFETY, HEALTH, AND
ENVIRONMENTAL MANAGEMENT
PROGRAM GUIDE
Guide No. O*7
issued
Revised
ATOMIC ENERGY ACT (AEA) PROGRAM
SCOPE OF THE PROGRAM
This Program Guide provides an overview of
the requirements EPA facilities must fulfill to
comply with the regulations, guidance, and
procedures associated with the Atomic
Energy Act (AEA) of 1954. The applicability
of the AEA to the EPA is based on the
Nuclear Regulatory Commission (NRC)
regulatory provisions contained in Title 10 of
the Code of Federal Regulations (CFR),
Parts 19 through 71. This Program Guide
places particular emphasis on occupational
radiation protection (10 CFR Part 20) and
by-product matenal license renewal or
amendments (10 CFR Part 30), as these
regulations are the most relevant to EPA
facilities and operations.
REGULATORY REQUIREMENTS
The key or basic elements of the AEA
program required by law and/or EPA policy
are to1
Develop, submit, and request license
renewals or amendments for managing
by-product matenals, source materials,
or special matenals
Identify the occupational radiation
protection requirements relevant to EPA
facilities and workers
Determine the packaging and
transportation requirements for all
applicable radioactive matenals.
AUTHORITIES
The following documents are the sources of
the legal authority that establish the
applicability and requirements of this
program.
Atomic Energy Act (AEA), Public Law
83-703, 68 Statute 919
10 CFR, Parts 19 through 71 (NRC
regulations)
Title 49 CFR Parts 170 through 189
(DOT hazardous matenal regulations)
EPA Safety, Health, and Environmental
Management Guidelines
EPA Facility Safety, Health, and
Environmental Management Manual
REFERENCES
The documents listed below can help you
implement the AEA Program and specifically
are intended for facility operations.
NRC Regulatory Guides provide
methods and guidelines acceptable to
NRC for meeting their requirements
NRC Generic Communications include
generic letters, information bulletins and
circulars, and information notices
pertaining to NRC license holders
National Consensus Standards, such as
those issued by the American National
Standards Institute (ANSI), have been
prepared for many activities related to
radiation protection
National Council on Radiation Protection
and Measurements (NCRP) Reports
provide recommendations on a range of
NCRP related topics
-------
International Commission on Radiation
Protection (ICRP1 Publications are the
international counterpart to the NCRP
Reports
International Atomic Energy Agency
(IAEA) prepares a series of reports
associated with radiation protection and
radioactive materials management
Radiation Protection Guidance To
Federal Agencies are reports prepared
and issued by EPA after approval by the
President
IMPLEMENTATION ACTIVITIES
The following list gives an overview of the
activities that this program will require. To
implement and operate this program, you
must:
Be familiar with the types and amounts
of radioactive materials used at the
facility
Property manage radioactive materials
in accordance with the NRC license
conditions and applicable regulatory
standards
Renew or amend the NRC license, when
applicable, to reflect the current facility
activities or new NRC requirements
Be familiar with the applicable
occupational radiation protection
requirements
Ensure radioactive materials are
packaged and transported in
accordance with NRC requirements.
IMPLEMENTATION IMPLICATIONS
The management systems and internal
controls required to implement this program
include:
An inventory system to account for all
radioactive materials used on-site
Procedures to ensure radiation
protection standards are publicized and
adhered to
A system to monitor radiation levels in
the workplace on a regular basis
A system to track changes to NRC
regulations that may impact EPA
operations
Procedures to keep detailed records on
the disposition of radioactive matenals
AEA training to promote staff awareness
and educate staff on specific
implementation procedures.
-------
Safety, Health and Environmental
Management Guideline* December 1997
Atomic Energy Act
Section 7-01
Table of Contents
AEA 7-01 Table of Contents
AEA 7-02 Introduction
Purpose 7-5
Scope 7-5
Authority 7-6
Objectives 7-6
Responsible Officers 7-6
References 7-6
AEA 7-03 Radioactive Material Identification
Definition of Byproduct Material 7-11
Definition of Source Material 7-12
Definition of Special Nuclear Material 7-13
Definition of Licensed Material 7-13
AEA 7-04 Identification of Applicable Requirements
Existing License(s) 7-15
Additional Non-AEA Requirements 7-15
AEA 7-05 Notices, Instructions and Reports to Workers - 10 CFR Part 19
Posting of Notices to Workers 7-19
Instructions to Workers 7-21
Notifications and Reports to Individuals 7-23
Employee Requests for and Participation in NRC Inspections 7-23
AEA 7-06 Standards for Protection Against Radiation - 10 CFR Part 20
Radiation Protection Programs . . . . 7-25
Occupational Dose Limits 7-26
Radiation Dose Limits for Members of the Public 7-28
Surveys and Monitoring 7-28
Control of Exposure from External Sources 7-29
Controls to Restrict Internal Exposure 7-30
Storage and Control of Licensed Material 7-33
Precautionary Procedures 7-33
Table of Contents
7-1
-------
Safety, Health and Environmental
Management Guidelines December 1997
Atomic Energy Act
Waste Disposal 7-35
Records 7-38
Reports 7-40
AEA 7-07 Reporting of Defects and Non-Compliance - 10 CFR Part 21
Events or Conditions that Require Reporting 7-41
Reporting Procedures 7-42
Procurement Documents 7-43
Maintenance of Records 7-43
AEA 7-08 Rules of General Applicability to Domestic Licensing of Byproduct Material - 10
CFR Part 30
General Requirements for Byproduct Licenses 7-45
Types of Licenses 7-46
Situations Requiring a License Amendment 7-46
Procedures for Applying for a License Amendment 7-47
Reporting Requirements 7-49
Transfers of Licensed Material 7-50
AEA 7-09 General Domestic Licenses for Byproduct Material - 10 CFR Part 31
General Domestic Licenses for Byproduct Material 7-53
Items and Materials Licensed 7-53
Terms and Conditions of License 7-54
Records for Measuring, Gauging, or Controlling Devises 7-56
AEA 7-10 Specific Domestic Licenses of Broad Scope for Byproduct Material -
10 CFR Part 33
Specific Domestic Licenses of Broad Scope 7-57
Types of Specific Licenses 7-57
Terms and Conditions of Specific Licenses 7-58
AEA 7-11 Domestic Licensing of Source Material - 10 CFR Part 40
Domestic Licensing of Source Material 7-61
General Licenses 7-61
Specific Licenses 7-62
Conditions of Specific Licenses 7-62
Table of Contents
7-2
-------
Safety, Health and Environmental
Management Guideline! December 1997
Atomic Energy Act
AEA 7-12 Domestic Licensing of Special Nuclear Material - 10 CFR Part 70
Domestic Licensing of Special Nuclear Material 7-65
General Licenses 7-65
Specific Licenses 7-66
AEA 7-13 Packaging and Transportation of Radioactive Material -10 CFR Part 71
General Requirements for Transportation of Licenses Material 7-69
Operating Controls and Procedures for Preparing Packages of Licensed Material
for Transportation 7-70
AEA 7-14 Exhibits
Exhibit 7-1: Radiation Safety Training Guidelines 7-71
Exhibit 7-2: Sewer Disposal Inventory Log 7-72
Exhibit 7-3: NRC Licensing Process 7-73
Table of Contents
7-3
-------
Safety, Health and Environmental
Management Guidelines December 1997
Atomic Energy Act
This page left intentionally blank
Table of Contents
-------
Safety, Health and Environmental
Management Guidelines
December 1997
Atomic Energy Act
Section 7-02
Introduction
PURPOSE The Atomic Energy Act (AEA) of 1954 gave the U.S. Atomic
Energy Commission (AEC) the responsibilities of regulating the
commercial use of most nuclear materials (including use by other
federal agencies), promoting their commercial use, and producing
nuclear materials in government-owned facilities for military
applications. The AEA granted broad authority to the AEC to
promulgate regulations or issue orders, as required, to protect
health and safety of workers, the general public, and the
environment. Reorganization Plan Number 3 of 1970, which
created the Environmental Protection Agency (EPA), transferred •
authority from the AEC to the EPA to regulate those aspects of the
use of nuclear materials that impact the public or the environment.
In 1974, the Atomic Energy Commission was abolished and
replaced with two separate agencies: the Energy Research and
Development Administration (ERDA) and the Nuclear Regulatory
Commission (NRC) ERDA carried on the mission of promoting
the commercial use of nuclear materials and manufacturing nuclear
materials for military use, whereas the NRC was created to exercise
the mission of regulating commercial use of nuclear materials. In
this transition, ERDA was given self-regulating authority for its
military production mission All ERDA authorities and
responsibilities were subsequently transferred to the Department of
Energy (DOE) in 1977. DOE facilities are therefore exempt from
NRC regulations, and any radioactive material transferred to an
EPA facility in conjunction with performing authorized DOE
activity, or with any of its management and operating contractors
on behalf of DOE, would be subject to regulation by DOE in
accordance with the requirements specified in the contract, rather
than by NRC.
SCOPE This chapter of the Safety, Health and Environmental Management
Guidelines (SHEMG) addresses the NRC regulatory provisions
contained in 10 CFR Parts 19 through 71. Particular emphasis is
placed on the occupational radiation protection provisions of 10
CFR Part 20, and the process for applying for byproduct material
license renewal or amendment applications under 10 CFR Part 30
since these requirements most significantly impact EPA facilities
and operations.
Introduction
7-5
-------
Safety, Health and Environmental
Management Guidelines
AUTHORITY
OBJECTIVES
RESPONSIBLE
OFFICERS
REFERENCES
Atomic Energy Act
December 1997
This chapter provides descriptive information on regulatory
requirements, guidance, and references to assist EPA facilities in
complying with the AEA and with the NRC's implementing
regulations. Statutory and regulatory overlaps with programs
administered by federal agencies other than the NRC are identified,
but in general are addressed in detail in other SHEMG chapters.
Atomic Energy Act, as amended. Title 10 CFR Parts 1 through 71.
The objective of this chapter is to clarify select portions of the NRC
regulations that commonly apply to EPA facilities. This chapter
also provides guidance and recommended procedures intended to
further protect EPA employees, facilities, the general public, and
the environment.
All persons who enter areas at EPA facilities where radioactive
materials are used or stored are responsible, to some degree, for
compliance with applicable safety and health requirements. For
most EPA facilities, primary responsibilities for compliance with
NRC regulations and license conditions are assigned to the
Radiation Safety Committee (at facilities that are authorized to
possess relatively large quantities of radioactive material), the
Radiation Safety Officer (RSO), and Authorized users.
Guidance: More specific responsibilities are outlined in Section
38, Radiation Safety and Health Protection Program, of the
SHEMG. The Program describes the roles, responsibilities, and
interrelationships of the Safety, Health, and Environmental
Management Division (SHEMD) and the Office of Radiation and
Indoor Air (ORJA) at headquarters, as well as those of Regional
and laboratory management, Radiation Safety Officers (RSOs),
and Safety, Health, and Environmental Management Program
(SHEMP) Managers.
Topics discussed in this chapter were drawn from the following
sources:
10 CFR Parts 2 through 71
49 CFR Parts 170 through 189
• Federal Register (specific volumes and page numbers cited
where applicable).
Introduction
7-6
-------
Safety, Health and Environmental
Management Guidelines December 1997
Atomic Energy Act
This chapter of the SHEMG also references a large number of
guidance documents These include:
• NRC Regulatory Guides provide methods and guidelines
acceptable to NRC for meeting the requirements of NRC
regulations. Although not mandatory, they are often used
by NRC Inspection and Enforcement staff as guidelines for
evaluating licensee activities. Following the recommended
practices in the NRC Regulatory Guides will generally result
in no findings of deficiency by the NRC in the area covered
by the Regulatory Guide.
Single copies of Regulatory Guides are available to
licensees at no charge from the NRC Public Document
Room Contact the Public Document Room at (202) 634-
3273 or (800) 397-4209 for ordering information.
0
• NRC Generic Communications include generic letters,
administrative letters, information bulletins, information
circulars, and, most commonly, information notices.
Generic Communications are usually addressed to all
licensees, or all holders of licenses of a particular type.
They typically inform licensees of violations of NRC
regulations by multiple licensees that have been found
during recent inspections, indicating that there is a common
misunderstanding of the intent of NRC requirements.
Another frequent topic of generic communications is
dissemination of information on defective equipment or
services that are commonly used by licensees and that are
relevant to the safe use of radioactive materials.
NRC generic communications are mailed to all applicable
licensees, usually addressed to the individual that signed the
application for license or the designated Radiation Safety
Officer (RSO).
• National Consensus Standards, such as those issued by the
American National Standards Institute (ANSI), have been
prepared for many activities relevant to radiation protection.
There is a standing committee within ANSI composed of
members of the Health Physics Society that prepare these
standards. The standards undergo extensive peer review
and are also reviewed by representatives from potentially
Introduction
7-7
-------
Safety, Health and Environmental
Management Guidelines December 1997
Atomic Energ> Act
affected users prior to promulgation, and must be reviewed
and either re-affirmed or withdrawn at least every five years.
Some ANSI Standards are adopted by reference in NRC
regulations or in Regulatory Guides. When referenced in
regulations they become mandatory; references in
Regulatory Guides are intended as guidance.
ANSI Standards are copyrighted and must be purchased
from ANSI, 1430 Broadway, New York, NY 10018.
• National Council on Radiation Protection and
Measurements (NCRP) Reports provide the
recommendations of the NCRP on a range of topics
consistent with their congressional charter. While they
generally provide very useful information and suggestions,
they must be used with caution because the NCRP makes
their recommendations based solely on scientific and
technical merit. They specifically do not consider socio-
economic impacts or compliance with laws and regulations.
NCRP Reports are copyrighted. They may be purchased
either as single copies of individual reports or by
subscription from NCRP Publications, P.O. Box 30175,
Washington, D C. 20014.
• International Commission on Radiation Protection (ICRP)
Publications are the international counterpart to the NCRP
Reports and cover similar subject matter. They are available
for purchase in the United States from ICRP, 4201
Lexington Avenue, New York, NY 10017.
• International Atomic Energy Agency (IAEA) also prepares
several series of reports that contain useful information or
recommendations for radiation protection or radioactive
materials handling. IAEA reports are available from the
IAEA, Wagramerstrasse 5, P.O. Box 100, A-1400 Vienna,
Austria.
• Radiation Protection Guidance to Federal Agencies are
reports prepared and issued by the Environmental
Protection Agency after approval by the President. Such
guidance represents the official U.S. position on basic
radiation protection criteria and standards.
Introduction
7-8
-------
Safety, Health and Environmental
Management Guidelines December 1997
Atomic Energy Act
The reports are generally prepared after the ICRP, NCRP,
or other scientific or technical bodies have issued new
recommendations The charter of the former Federal
Radiation Council, which is the authority that was
transferred to and is exercised by EPA in preparing these
guidance documents, specifically requires them to consider
potential impacts to U S. society and compliance with U S.
law in formulating its recommendations.
When published in the Federal Register (which is very
infrequent), the reports mandate all Federal agencies with
authority to regulate any activities that could result in
significant radiation exposure to amend existing or develop
new regulations as required to implement the guidance.
• National Laboratories, under the sponsorship of DOE, have
produced hundreds of thousands of reports on many topics
either directly or indirectly related to radiation protection
and the safe handling and use of radioactive materials. Use
of information or guidance in national laboratory reports is
strictly voluntary
Reports and other documents prepared by national
laboratories may be purchased from the National Technical
Information Service (NTIS), Springfield, VA 22161. The
NTIS help desk phone number is (703) 487-4608
• NRC Electronic Bulletin Boards were included in an
aggressive program implemented in 1994 to make
information more readily available to licensees and the
public An ever-increasing array of NRC documents is being
made available for on-line viewing or download. The NRC
Bulletin Boards are accessible by direct dial at (800) 303-
9672, through the FedWorld Gateway at (703) 321O339 or
(800) 881-6842, or through the Internet at
ftp fedworld gov.
Introduction
7-9
-------
Safety, Health and Environmental
Management Guidelines December 1997.
Atomic Encr«\ Act
This page left intentionally blank
Introduction
7-10
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Safety, Health and Environmental
Management Guidelines
December 1997
Atomic Energ> Act
Section 7-03
Radioactive Material Identification
DEFINITION OF
BYPRODUCT
MATERIAL
(10 CFR Parts 20 and 30)
Multiple Byproduct
Material Definitions
Byproduct material is defined in 10 CFR Part 20, Section 20.1003
as: (1) any radioactive material (except special nuclear material)
yielded in, or made radioactive by, exposure to the radiation
incident to the process of producing or utilizing special nuclear
material; and (2) the tailings or wastes produced by the extraction
or concentration of uranium or thorium from ore processed
primarily for its source material content, including discrete surface
wastes resulting from uranium solution extraction processes.
Underground ore bodies depleted by these solution extraction
operations do not constitute "byproduct material" within this
definition.
The second part of the above definition in 10 CFR Part 20 clarifies
the statutory definition in Section 1 le(2) of the AEA of "the tailings
or wastes produced by the extraction or concentration of uranium
or thorium from any ore processed primarily for its source material
content" Such material is also commonly referred to as mill
tailings or AEA 1 le(2) byproduct material.
The definition of byproduct material in Section 30.4 of 10 CFR Part
30 is "any radioactive material (except special nuclear material)
yielded in or made radioactive by exposure to the radiation incident
to the process of producing or utilizing special nuclear material."
This definition excludes the second category of material defined in
10 CFR Part 20, or AEA 1 le(2). An EPA laboratory might
possibly encounter AEA Section 1 le(2) byproduct material in
environmental media samples from sites where uranium or thorium
ores were processed.
From a practical standpoint, the difference in byproduct material
definitions between 10 CFR Parts 20 and 30 simply means that Part
20 (Standards for Protection Against Radiation) applies to mill
tailings wastes, while Pan 30 (Domestic Licensing of Byproduct
Material) does not Licensing and regulation of such material is
generally accomplished in conjunction with the licensing of active
and inactive uranium or thorium mills under the source material
license regulations at 10 CFR Part 40. An EPA laboratory
possessing only an NRC license for byproduct material under 10
CFR Part 30 would not be permitted to receive, posses, or analyze
a sample containing AEA 1 le(2) byproduct material unless the
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quantity or concentration qualified for either a general license or
exemption from licensing, or a specific license for source material
was obtained in accordance with 10 CFR Part 40.
Byproduct Material
Definition Depends on
How Material Produced
DEFINITION OF
SOURCE MATERIAL
HO CFR Part 40^
A further complication is that the definitions for byproduct material
are based solely on how the material is produced rather than the
nature of the material Many of the radioisotopes in common
laboratory use can be produced either as a "byproduct" of a process
utilizing special nuclear material (e.g., in nuclear reactors), can also
be produced in a particle accelerator. Radium-226, which is
present in uranium ores, is AEA 1 le(2) byproduct material if it is
extracted from the ore incidental to processing, which was
performed primarily to extract the uranium. However, if the
uranium was not removed from the ore and it was instead
processed primarily to extract the radium, then the radium is
considered to be naturally occurring rather than byproduct material.
Regulation of accelerator-produced or naturally occurring
radioactive materials is not within the scope of the Atomic Energy
Act, and such materials are not subject to NRC licensing or
regulation
Notwithstanding the issues discussed above, nearly all commercially
available radioactive materials, and most radioactive materials in
use at EPA facilities, are byproduct material within the meaning of
10 CFR Part 30 and will be regulated by either a general or specific
byproduct material license H-3 (tritium), C-14, P-32, S-35, Co-60,
Ni-63, Tc-99, Sr-90, Cs-137, and Ir-192 used for EPA analysis and
research are almost always byproduct material.
Source material is defined in 10 CFR Part 40, Section 40.4 and 10
CFR Part 20, Section 20 1003, and means (1) uranium or thorium,
or any combination thereof, in any chemical or physical form, or (2)
natural ores containing uranium or thorium in concentrations
greater than 0 05% by weight. However, material that has been
enriched in the isotope U-23S is not source material.
Most EPA facilities would not normally encounter source material.
Exceptions might include a laboratory analyzing environmental
media samples contaminated with source material or AEA lle(2)
byproduct material that is licensed under the same regulations.
However, it is most likely that the quantity or concentration of such
samples would qualify for either exemption from or a general
license under the regulations of 10 CFR Part 40.
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DEFINITION OF
SPECIAL NUCLEAR
MATERIAL
HO CFR Part 70^
DEFINITION OF
LICENSED MATERIAL
(10 CFR Part
Atomic
-jN Act
Facilities that calibrate their own portable radiation measurement
instruments for response to beta radiation often use a slab of
uranium metal as a primary calibration standard. Possession or use
of any significant quantity of uranium metal would require a 10
CFR Part 40 source material license
Special nuclear material is defined in 10 CFR Part 70, Section 70 4,
and 10 CFR Part 20, Section 20 1003, and means (1) plutonium,
uranium 233, uranium enriched in the isotope 233 or in the isotope
235, and any other material which the Commission, pursuant to the
provisions of section 51 of the Atomic Energy Act, determines to
be special nuclear material, but does not include source material; or
(2) any material artificially enriched by any of the foregoing but
does not include source material
The special nuclear material most likely to be encountered at an
EPA facility is electroplated Pu-239 alpha radioactivity standards,
which are commonly used to calibrate laboratory instruments for
analysis of alpha radioactivity in environmental media. Since
possession and use of such sources is authorized under a general
license granted by 10 CFR Part 70 to any byproduct or source
material licensee, it is highly unlikely that any EPA facility would
ever require a specific license for special nuclear material.
However, even the general license for use of electroplated sources
carries with it terms and conditions (listed in 10 CFR Part 70) that
facility personnel must be aware of and comply with.
Licensed material, as defined in 10 CFR Part 20, Section 20.1003
means source material, special nuclear material, or byproduct
material received, possessed, used, transferred or disposed of under
a general or specific license issued by the XRC.
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Section 7-04
Identification or Applicable Requirements
EXISTING LICENSEfS) In general, a specific license issued to a facility is the primary
governing document for purposes of determining what
requirements are applicable It is very common for licenses to
exempt a facility from specific sections of regulations that would
otherwise be applicable, and to specify additional terms and
conditions that are more restrictive or impose requirements in
addition to those contained in the NRC regulations. Therefore, it is
imperative that facility management, radioactive materials program
management staff, and facility employees are thoroughly familiar
with the conditions of the facility license.
The applicable regulations under which a license is issued are
usually specified in the license Most EPA laboratories have
specific byproduct material licenses issued in accordance with 10
CFR Parts 30 and 33 Many EPA operations also possess and use
byproduct material under a general license granted by 10 CFR Part
31 These regulations must be consulted in conjunction with the
license to determine applicable sections of the regulations in 10
CFR Parts 19, 20 and 21
There are a number of areas where activities with radioactive
material are subject to dual regulation, or regulation under
authorities other than the AEA or agencies other than the NRC.
Key interfaces with other safety, health, and environmental
legislative authorities are discussed below
Radioactive wastes that are mixed with o'her types of hazardous
waste or that exhibit the characteristics of a hazardous waste may
be subject to dual regulation under both the AEA and the Resource
Conservation and Recovery Act (RCRA). Refer to Chapter 10 of
the SHEMG for a detailed discussion and guidance on compliance
with the RCRA requirements governing mixed radioactive and
hazardous wastes
Under the authority of the Occupational Safety and Health Act
(OSH), the Occupational Safety and Health Administration
(OSHA) has issued standards for radiation safety in 29 CFR Part
1910, Section 1910 96 These standards were intended to be
applicable only where a work place is not air-' idy subject to similar
requirements under the AEA or other reuula'-ons. The standards
were based on the 1059 edition of NRC radi '-ion safety regulations
ADDITIONAL NON-
AEA REQUIREMENTS
Resource Conservation
and Recovery Act
Occupational Safely and
Health Act
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in 10 CFR Part 20, and have not been revised to implement the
1987 and 1988 Guidance to Federal Agencies.
The OSHA regulations offer special implementation challenges for
federal agencies such as EPA, since the OSHA safety standards are
by law mandatory for application to federal employees. EPA
facilities that are licensed by NRC are required to comply with both
the NRC radiation protection regulations in 10 CFR Part 20 and the
OSHA regulations in 29 CFR Part 1910, Section 1910.96.
Clean Air Act
The National Emission Standards for Hazardous Air Pollutants
(NESHAPs), codified at 40 CFR Part 61, regulate emissions of
radioactive material to the air. Subpart I of those regulations apply
to NRC-licensed federal facilities. Most EPA facilities would
normally be expected to be exempt from Subpart I of 40 CFR Part
61 due to the relatively small quantities of radioactive material
handled. A more detailed discussion of NESHAPs and its potential
applicability to EPA facilities is contained in the Clean Air Act
chapter of the SHEMG.
State Authority
The AEA provides NRC with a statutory mandate to work
cooperatively with the states to help them develop capabilities for
regulating certain radioactive material, and for entering into
agreements with the states that delegate regulatory authority. As a
matter of policy, NRC retains authority to license and regulate
federal facilities located within an "Agreement State." However,
there is nothing in the AEA that prohibits NRC from allowing an
Agreement State to regulate federal facilities. It is therefore
possible that EPA facilities may in the future be licensed by a state
authority rather than NRC.
Regardless of whether or not a state has actual regulatory
implementation authority, AEA Section 274(1) provides that, for
any facility within an Agreement St.iie for which NRC has retained
licensing authority, NRC is required to notify the state whenever it
receives application for a license, license renewal, or license
amendment. NRC must grant the st.i'e reasonable opportunity to
comment on the application, including tlie opportunity to conduct
public hearings prior to preparing and submitting comments.
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Guidance: EPA 's own Radiation Safety and Health Protection
Program (see Chapter 38 of the SHEMG) provides specific
guidance for EPA facilities and operations. This program
supplements, and in some instances, enhances the occupational
radiation protection provisions found in NRC and OSHA
regulations.
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Section 7-05
Notices, Instructions and Reports to Workers - 10 CFR Part 19
POSTING OF NOTICES Each building location where radioactive material is used or stored
TO WORKERS must be conspicuously posted with the following notices to ensure
(10 CFR 1911) that individuals working with radiation sources or frequenting the
areas, are apprised of relevant regulatory provisions, license
conditions, and operating procedures:
NRC Form 3, (Revision 6-93 or later), "Notice to
Employees." Copies of NRC Form 3 may be obtained by
contacting the NRC Information and Records Management
Branch at (301) 492-8138).
Title 10 CFR Parts 19 and 20. The latest published edition,
revised as of January 1 each year, is available from the
Superintendent of Documents, Government Printing Office,
Washington, D.C. 20402 (telephone number (202) 783-
3238) Changes to the CFR are published in the Federal
Register. Effective dates of the changes are as noted in the
Federal Register. Users should note that CFR changes
applicable to their license become effective and incorporated
into their license upon the effective date of the new
regulatory standards.
• The NRC license, license conditions or documents
incorporated into a license by reference, and amendments
thereto. The conditions of an NRC Materials License may
contain a list of enclosures with the statement, "...the
licensee shall conduct its program in accordance with the
statements, representations, and procedures contained in the
documents, including any enclosures, listed below." The
NRC considers the use of this statement as effectively
incorporating the documents into the license; thus, the
license is not complete unless these documents are
maintained as part of the license.
The operating procedures applicable to the licensed
activities have been established to safeguard against
radiation hazards.
• Any notice of violation received from the NRC and the »
response submitted. (Documents pertaining to violations of
the license are to be posted within two days of availability
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and remain posted for five days or until the violation has
been corrected, whichever is later.)
Posted materials must be readable, current and accessible. Notices
which are obscured, out of date or locked in display cases that
preclude review in their entirety do not fulfill this requirement.
In lieu of posting these documents, NRC regulations allow a notice
to be posted which describes the documents and states where they
may be examined. Since the documents may be quite extensive, this
posting alternative can greatly simplify posting and updating
requirements Note: This option does not apply to the NRC Form
3 or a Notice of Violation, which must be posted. When using the
alternative posting option, keep in mind that:
• The poster must be placed wherever posting of the
documents would be required
• The referenced documents should be available for review
during regular duty hours of the individuals with the same
degree of availability as if the documents themselves were
posted for review by a passing worker
The poster should be supplemented with a separate
temporary notice when significant license changes occur.
The temporary notice will alert workers that they should
review the applicable document at the examining location;
reliance on tile poster itself would not alert workers to a
significant change in conditions or procedures.
Guidance: A recommended approach for meeting NRC notice
requirements while minimizing the burden of posting voluminous
documentation is to annotate the facility's NRC Form 3s with a
statement concerning the location where required notice
documentation can be examined by facility employees. The
statement should specifically identify the point of contact and
location (i.e., room number) for reviewing the license (including
amendments and relevant correspondence with the NRC),
regulatory provisions in 10 CFR Parts 19-20, and operating
procedures applicable to licensed activities.
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INSTRUCTIONS TO
WORKERS
(10CFR1912)
This section of the regulations, codified at 10 CFR Part 20, requires
that all individuals working in or frequenting any portion of a
restricted area must be kept informed of the storage, transfer, or
use of radioactive materials or of radiation in the restricted area that
they enter. It also requires that all such individuals be instructed in
the health protection problems associated with exposure to such
radioactive materials or radiation, in precautions or procedures to
minimize exposure, and in the purposes and functions of protective
devices employed. Individuals are further required to be instructed
in, and instructed to observe, to the extent within their control, the
applicable provisions of NRC regulations and licenses for the
protection of personnel from exposures to radiation or radioactive
materials occurring in such areas. They must also be informed of
the following: their responsibility to report promptly to the RSO or
Radiation Safety Committee any condition which may lead to or
cause a violation of NRC regulations and licenses or unnecessary
exposure to radiation or to radioactive materia; the appropriate
response to warnings made in the event of any unusual occurrence
or malfunction that may involve exposure to radiation or
radioactive material; and the radiation exposure reports which
workers may request pursuant to Section 19.13.
The extent of worker training is required to be commensurate with
potential radiological health protection problems in the restricted
area of the facility, and should also take in consideration the
employee's duties, nature of work assignments, and responsibilities.
For example, training must address facility-specific information,
such as project protocols, provisions of laboratory-specific
Radiation Safety Manual in effect, and any unique conditions
specified in the facility license.
The NRC has provided guidance for meeting the training
requirements of 10 CFR Part 19. Regulatory Guide 8.29,
"Instruction Concerning Risks from Occupational Radiation
Exposure," provides recommended material for training
occupational radiation workers. Regulatory Guide 8.13,
"Instruction Concerning Prenatal Radiation Exposure," provides
recommended material for informing fertile females and their
supervisors of the risks to an unbom child from occupational
exposure to the mother during pregnancy. Additional guidance is
available in Report 71 of the National Council on Radiation
Protection and Measurements (NCRP), entitled "Operational
Radiation Safety Training."
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Guidance: Guidelines for implementing radiation safety training
requirements are contained in Chapter 38 of the SHEMG,
"Radiation Safety and Health Protection Program. The Program:
• Provides guidance for determining the extent of training
necessary for different categories of employees
• Assigns responsibility for development of core training
materials to ORIA andSHEMD
• Contains recommendations for examinations and training
records
• Provides guidance on training waivers, continuing
education, and periodic refresher training
• Mandates that the information contained in NRC
Regulatory Guide 8.13 be included in basic radiation
safety training courses.
A summary of recommended training requirements is provided in
Exhibit 1 of this chapter.
Non-radiation workers and visitors who periodically or occasionally
work in or visit restricted areas also need to be informed about
precautions and procedures to minimize radiation exposure,
purposes and functions of dosimetry devices and protective
equipment issued during their stay in the area. Emergency
instructions to follow in the event of an accident or other
emergency during their stay should also be provided.
Non-radiation workers, such as craftsmen, providing support
services to the restricted area should coordinate their activities with
the RSO and Project Leader prior to beginning work. The RSO
should approve the procedures to be followed by the non-radiation
workers to ensure that the work does not result in the release or
spread of radioactive contamination. The Project Leader should
ensure that the work can be performed safely relative to project
equipment and radio!sotope material as well as ensuring that the
project has been secured to prevent worker exposure. Non-
radiation workers authorized to provide services in restricted areas
should be familiar with the facility's radiation safety procedures.
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NOTIFICATIONS AND
REPORTS TO
INDIVIDUALS
(10CFR1913)
On an annual basis, the facility must provide each individual with
his specific radiation exposure data, including results of
measurements, analyses and calculations of radioactive material
deposited and retained in the body. Each annual notification must
be in writing and include the name of the licensee, name of the
individual, the individual's social security number, exposure
information and the statement, "This report is furnished to you
under the provisions of the Nuclear Regulatory Commission
regulation 10 CFR Part 19 You should preserve this report for
further reference." The exposure data provided is the same as that
which is maintained under 10 CFR 20.2106.
At any time, a worker may request exposure data. Within 30 days
of the time of the request or 30 days from the time the exposure is
determined, whichever is later, the facility must provide the worker
with the information consistent with that included in the annual
report of worker exposure.
At the request of a worker who is terminating employment, the
facility must provide a written report of exposure received during
the current year or fraction thereof at the time of termination. If
results are not yet available, a written estimate of exposure may be
provided with the caveat that the information is an estimate.
EMPLOYEE REQUESTS
FOR AND
PARTICIPATION IN
NRC INSPECTIONS
(10 CFR 19.14)
During NRC inspections, licensees and their employees are
expected to cooperate with the compliance inspectors. In return,
the licensee and the employees may monitor various stages of the
inspection process, if they desire.
Aside from private consultations that inspectors may have with
workers pursuant to 10 CFR 19. IS, the licensee or designated
representative may accompany inspectors during an inspection.
Additionally, an individual authorized by the workers shall be
afforded the opportunity to accompany inspectors during the
inspection of physical working conditions. The licensee is
responsible for notifying the inspectors that an individual designated
by the workers wishes to accompany the inspection. Only one
licensee representative and one worker representative may
accompany the inspection team at one time; however, the one
individual representing each may change during the course of the
inspection.
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Section 7-06
Standards for Protection Against Radiation - 10 CFR Part 20
RADIATION
PROTECTION
PROGRAMS
(10CFR20SubpartB)
EPA facilities that possess and use licensed radioactive material
must develop, document, and implement a radiation protection
program consistent with the provisions of 10 CFR Part 20. One of
the guiding principles of radiation protection that the NRC endorses
is that licensees must strive to maintain doses as low as reasonably
achievable (ALARA). The program is required to be based on the
scope and extent of licensed activities, and must cover sufficient
topics to ensure compliance with all applicable provisions of 10
CFR Part 20, including: conformance with applicable license
conditions; process and engineering controls to achieve
occupational doses and doses to members of the public consistent*
with ALARA principles; precautionary procedures such as signage,
posting, labeling, and package receipt/opening; waste disposal;
records; and reports.
On at least an annual basis, the facility is required by the NRC
regulations to conduct its own review of the radiation protection
program content and implementation for the purpose of updating
the program to reflect any facility or regulatory changes.
At most EPA facilities, a Laboratory Radiation Safety Manual
would be used to satisfy the regulatory requirement for a
documented radiation safety program. A useful source of
information for ensuring that the Laboratory Radiation Safety
Manual has been revised to address necessary elements of 10 CFR
Part 20 is NRC Information Notice 93-3. This notice was prepared
to inform licensees of recent revisions to Regulatory Guides and
other NRC guidance documents that were prepared by the NRC
staff specifically to assist licensees in implementing the revisions to
10 CFR Part 20.
There are many guidance documents available that are useful when
preparing or revising a radiation protection program. Two of the
more authoritative documents available are:
PNL-6577, "Health Physics Manual of Good Practices for
Reducing Radiation Exposure to Levels that are As Low As
Reasonably Achievable." This manual, prepared by Pacific
Northwest Laboratories (one of the National Laboratories,
operated for the Department of Energy by Battelle
Memorial Institute) is useful primarily because it contains
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recommendations on a very broad range of potential
radiation safety problems.
NCRP Report No. 59, "Operational Radiation Safety
Program." This report is likely to be useful for EPA
facilities because it was prepared primarily from a small
laboratory perspective. Although somewhat dated, the
manual contains extensive bibliographical references for
additional guidance and information. It also presents an
extensive discussion of the relative roles of a Radiation
Safety Committee, Radiation Safety Officer, and Authorized
Users.
OCCUPATIONAL DOSE Occupational doses to individuals shall be maintained below the
LIMITS limits specified in 10 CFR Part 20:
(10CFR20SubpartC)
Adults - whole body (the most limited of):
Total effective dose equivalent of 5 remr or
Sum of deep-dose equivalent and committed dose
equivalent to any internal organ or tissue other than the lens
of the eye of 50 rem
Adults - eyes
Eye dose equivalent of liiem
Adults - skin or extremity
Shallow-dose equivalent of 50_iejn
Adults - uranium toxicity
Soluble uranium intake 10 mg per week
Minors - any exposure
10% of adult limits
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Embryo/Fetus (Declared Pregnant Woman)
Deep-dose equivalent to declared pregnant woman or dose
to embryo/fetus from radionuclides in the embryo/fetus and
woman of 0.5 rem
Any doses in excess of the above limits must be subtracted from the
limits the individual may receive for planned special exposures
during the current year and the individual's lifetime.
Guidance: Guidance for implementing ALARA requirements for
EPA workers are contained in the SHEMG Chapter 38, "Radiation
Safety and Health Protection Program. The Program sets an
Administrative Control Limit of 0.5 rem per year. Additionally,
EPA suggests an Action Reference Level of 0.05 rem be
established for each worker each quarter of the year. Upon
exceeding the 0.05 rem limit in a quarter, the circumstances
leading to the exposure must be reviewed guidance for
implementing personnel exposure monitoring requirements.
In addition to the specifications of 10 CFR Part 20, several NRC
Regulatory Guides have been issued to assist in demonstrating
compliance with the specified limits. Regulatory Guide 8 9,
"Acceptable Concepts, Models, Equations, and Assumptions for a
Bioassay Program," describes accepted methods of estimating
intake of radionuclides using bioassay measurements. The guide
also endorses the methods described in ICRP Report No. 54 and
NCRP Report No. 87. Regulatory Guide 8.32, "Criteria for
Establishing a Tritium Bioassay Program," describes an acceptable
bioassay program where tritium is a radionuclide of concern.
Regulatory Guide 8.34, "Monitoring Criteria and Methods to
Calculate Occupational Radiation Doses," provides guidance on
when monitoring is required and how to determine doses from
intake of radionuclides. Examples are provided in the appendix to
the guide. Regulatory Guide 8.36, "Radiation Dose to the
Embryo/Fetus," lays out guidance on calculating doses from intakes
of radionuclides in the special case where a pregnant woman is
involved.
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RADIATION DOSE Doses to the public shall be maintained below the following limits:
LIMITS FOR MEMBERS
OF THE PUBLIC Individual (excluding sanitary sewage disposal doses)
(10CFR20SubpartD)
0.1 rem (a facility can apply to NRC to have this limit raised
to O.S rem on a case by case basis)
Dose rate in unrestricted area from external sources
0.002 rem per hour
Note that even if the license allows members of the public to have
access to the facility, the exposure limits for the public apply to
those areas.
Guidance: EPA facilities should orient visitors who are at risk of
exposure on safety hazards and precautions, and have visitors sign
an informed consent form reflecting their comprehension of the
risks involved. The form -would not constitute a waiver of the lab's
responsibility to control exposure to the visitor. Dosimetry may be
provided depending on the areas entered, and an action level of
100 mrem is established for immediate notification of the visitor
and consideration of counseling.
SURVEYS AND
MONITORING
(10CFR20SubpartF)
Licensed facilities must conduct surveys on a regular basis to
ensure that dose limits for workers and the public are maintained
within acceptable ranges. Any equipment used to perform
quantitative radiation measurements must be calibrated periodically,
and the calibrations recorded in a log or automated database.
Individuals that are likely to receive doses in excess of 10% of the
limits specified by NRC, including the limits on pregnant women
and minors, and individuals entering high or very high radiation
areas must be assigned individual monitoring devices. Also, any
individual likely to receive an intake of radionuclides in excess of
10% of the limits specified in Appendix B to Part 20 and minors or
declared pregnant women likely to receive an intake of O.OS rem
CEDE must be monitored for radioactive material intake.
Guidance: Facilities using radioactive materials should increase
the frequency of monitoring on pregnant -women due to the tighter
dose restrictions. See Chapter 38 of the SHEMGfor EPA
requirements on monitoring during pregnancy.
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Dosimeters that are sent for processing must be processed and
evaluated by an accredited lab The accreditation must be from the
National Voluntary Laboratory Accreditation Program (NVLAP) of
the National Institute of Standards and Technology. EPA requires
that the dosimetry processor contact the facility immediately in the
event that a regulatory- or program-specified limit is exceeded.
Regulatory Guide 8 2, "Guide for Administrative Practices in
Radiation Monitoring," endorses ANSI N13.2-1969 as providing
acceptable guidance for monitoring program administrative
practices. Regulatory Guide 8 4, "Direct-Reading and Indirect-
Reading Pocket Dosimeters," indicates that ANSI N13.S provides
an acceptable basis for selection and use of pocket dosimeters for
detecting X and gamma radiation. The guide also supplements the
ANSI standard with provisions for testing, acceptability of
individual dosimeters, and use in mixed radiation fields.
Regulatory Guide 8.25, "Air Sampling in the Workplace," provides
recommendations on air sampling to meet 10 CFR Part 20
requirements
CONTROL OF
EXPOSURE FROM
EXTERNAL SOURCES
(10CFR20SubpartG)
If a licensed facility has any high radiation areas, defined as an area
that has the potential to expose an individual to 0.1 rem in an hour
at a distance of 30 centimeters, one or more of the following steps
must be taken to control access:
A control device that, upon entry, reduces the radiation
level to below the "high" category
• A control device that energizes a conspicuous visible or
audible alarm warning the individual and the supervisor of
the entry
• Entrance ways are locked, except during periods when
access is required. Positive control must be maintained over
each entry
• Continuous direct or electronic surveillance that is capable
of preventing unauthorized entry
• An alternative method approved by the NRC.
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CONTROLS TO
RESTRICT INTERNAL
EXPOSURE
(10CFR20SubpartH)
Note that any control method used must not prevent exit from a
high radiation area.
One exception to the access control requirements is when an area is
deemed a high radiation area due to materials being packaged for
transport and DOT container labeling. These packages cannot
remain in the area for more than three days and must not present a
dose rate in excess of 0.01 rem per hour at 1 meter from the
surface.
If a facility contains any very high radiation areas (i.e., 500 rads at 1
meter in 1 hour), additional controls must be put in place (e.g.,
radiation limiting devices, alarms, locked entry ways).
Section 20.1701 requires licensees to use, to the extent practical,
process or other engineering controls (e.g., containment or
ventilation) to minimize the concentrations of radioactive material
in air. When it is not practical to apply process or other
engineering controls to regulate the concentrations of radioactive
material in air to values below those that define an airborne
radioactivity area, the licensee is required, consistent with
maintaining the total effective dose equivalent ALARA, to increase
monitoring and limit intakes by controlling access, limiting exposure
times, using respiratory protection equipment, or through other
controls.
It should be noted that Section 20.1703 imposes controls and
restrictions on use of individual respiratory protection equipment
that are more stringent than those required by OSHA. Although
NRC requires that a respiratory protection program comply fully
with all OSHA requirements, the following additional requirements
(some of which are optional rather than mandatory under 29 CFR
Part 1910.134 and/or ANSI Z88.2) must also be met:
• Surveys and bioassays, as appropriate, to evaluate actual
intakes, are mandatory whenever respirators are used
• Licensees must issue a written policy statement on
respirator usage that covers topics specified in the
regulations
• Licensees must notify, in writing, the Regional NRC
Administrator at least 30 days before the date that
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respiratory protection equipment is first used under the
provisions of Section 20.1703.
In EPA laboratories, airborne concentrations of radioactive
materials in restricted areas are usually because of special research
initiatives, accidents or equipment failures.
Under normal circumstances, sealed sources do not present an
airborne contamination hazard. Chemically bound foil sources,
such as those used in electron capture devices for gas
chromatographs, can liberate airborne radioactive contamination if
overheated; liquid sources may become airborne through
uncontrolled evaporation, ventilation system failures and spills.
As a general rule, any process or equipment that may liberate
airborne radioactive contamination (e.g., Inductively Coupled
Plasma analysis of radiolabelled compounds) which cannot be
addressed by general ventilation should be evaluated to determine
the need for local exhaust ventilation. The use of local ventilation
minimizes releases within the laboratory and facilitates compliance
with airborne radioactivity control limits.
Work surfaces for activities using liquid radionuclide solutions
should be sealed (rather than porous), amenable to cleaning and
covered with absorbent plastic-backed paper or similar material to
minimize the spread of contamination in the event of a minor spill.
Such operations should be conducted in well maintained laboratory
hoods, equipped with charcoal filters to control releases
radiolabelled materials.
Laboratory hood inadequacies, through either mechanical or
electrical problems, may represent potential sources of airborne
contamination. Typical problems which can result in the release of
gases and vapors to the laboratory include: slipping belts, arcing
motors, improperly balanced systems, equipment obstructing hood
air flows, incorrectly installed fans, missing exhaust screens that
allow birds to build obstructions in the exhaust pipe, and rain caps
or other devices which cause excessive back pressure.
The following mitigative actions are generally required where
airborne radioactive contamination has or can be expected to occur:
• Where employees may be exposed to airborne •
concentrations of radioactive materials in restricted areas,
the licensee must implement suitable air measurements-and,
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as appropriate, other methods for detecting and determining
airborne concentrations of radioactivity
The licensee must maintain records of occurrences,
evaluations and actions taken in a clear and readily
identifiable form for summary review and evaluation
• Respiratory protective equipment used to limit the
inhalation of airborne radioactive material must be certified
by the National Institute for Occupational Safety and
Health/Mine Safety and Health Administration. Individuals
using such equipment should be included in a respiratory
protection program meeting the requirements of 29 CFR •
1910.134.
Emphasis should be placed on preventing airborne radioactive
contamination through proper use of engineering controls such as
fume hoods. A frequently overlooked maintenance procedure that
can be the cause of fume hood failure to control airborne
radioactive contamination is the periodic replacement of installed
charcoal filters. Without timely replacement, the filters can
experience breakthrough with release of contamination to the
environment, or cause excessive back pressure resulting in release
into the laboratory.
CAUTION: These filters may have to be disposed of as hazardous
and/or radioactive waste. Procedures should be developed and
material, including contamination of surfaces in unrestricted areas
with radioactive material.
Regulatory Guide 3.2, "Efficiency Testing of Air-Cleaning Systems
Containing Devices for Removal of Particles," endorses the test
methods contained in ANSI N101.1-1972 for assessing the
filtration efficiency of particulate air cleaning devices. ANSI
N101 1 was subsequently withdrawn by the American National
Standards Institute and replaced with ANSI/ASME NS10, entitled
"Testing of Nuclear Air Treatment Systems."
Regulatory Guide 8. IS, "Acceptable Programs for Respiratory
Protection," along with NUREG-0041 "Manual of Respiratory
Protection Against Airborne Radioactive Material," provide
guidance on respiratory protection programs.
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STORAGE AND
CONTROL OF
LICENSED MATERIAL
(10CFR20SubpartI)
10 CFR Part 20, Subpart I contains requirements for storage and
control of licensed material It requires licensees to secure from
unauthorized removal or access licensed materials that are stored in
controlled or unrestricted areas. It also required licensees to
control and maintain constant surveillance of licensed material that
is in a controlled or unrestricted area when it is not in storage.
It is important to understand that there is currently no
deminimus quantity or concentration or radioactive material
that is exempt from these requirements. The requirements in
this Subpart apply to any and all forms of licensed radioactive
material, ;including contamination of surfaces in unrestricted areas
with radioactive material.
PRECAUTIONARY
PROCEDURES
(10 CFR 20 Subpart J)
Subpart J of 10 CFR Part 20 contains requirements for posting
areas and labeling containers to apprise personnel that radiation
hazards or radioactive material are present. It also contains
requirements for monitoring packages containing radioactive
material that are received by the facility to ensure that no damage to
packaging integrity has occurred during transit that could pose
unexpected radiological hazards.
Section 20.1901 of 10 CFR Part 20 contains physical specifications
for signs used to post areas. It requires that signs have magenta,
purple, or black words and symbols on a yellow background. This
section also has specifications for the radiation symbol that is
required on signs. Internal NRC guidance recommends the
purchase of radiation symbol signs that conform to the
specifications in ANSI N2.1.
Section 20.1902 contains requirements for posting of radiological
areas. Signs must be posted conspicuously and must contain the
wording specified in the regulations. Separate signs are required
for radiation areas, high radiation areas, very high radiation areas,
airborne radioactivity areas, and areas or rooms in which licensed
material is used or stored.
Section 20.1903 provides exceptions to posting requirements in the
following situations:
• Areas or rooms containing radioactive materials for periods
of less than 8 hours do not have to be posted with signs, if
the materials are constantly attended during these periods
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and precautions are taken to limit the exposure of
individuals to radiation or radioactive materials, and the area
or room is subject to the licensee's control
• A room or area is not required to be posted with a caution
sign because of the presence of a sealed source unless the
radiation level at 30 centimeters from the surface of the
source container or housing exceeds five millirem per hour.
Section 20.1904 contains requirements for labeling containers of
licensed material. It specifies required wording and minimum
information necessary to permit individuals handling or using the
containers, or working in the vicinity of the containers, to take
precautions to avoid or minimize exposures. It also requires that
labels be removed or defaced prior to disposing of empty
uncontaminated containers or removing then to unrestricted areas.
Exemptions to labeling requirements are provided in Section
20.190S and include:
• Containers holding small quantities of licensed material or
material of very low concentration (numerical values are
specified in the regulation)
• Containers attended by an individual who takes precautions
to limit the exposure of nearby individuals
• Containers in transport and packaged and labeled in
accordance with the regulations of the Department of
Transportation
• Containers that are accessible only to individuals authorized
to handle or use them, or to work in the vicinity of the
containers.
Section 20.1906 requires licensees to establish and maintain
procedures for receiving and opening packages containing
radioactive material. Guidance for developing procedures to
implement these requirements is provided in NRC Regulatory
Guide 7.3, "Procedures for Picking Up and Receiving Packages of
Radioactive Material. The licensee is also required to ensure that
the procedures are followed and that due consideration is given to
special instructions for the type of package being opened.
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As a minimum, all packages known to contain radioactive material
must be monitored for radioactive contamination and radiation
levels if there is evidence of degradation of package integrity, such
as packages that are crushed, wet, or damaged. The monitoring
must be performed as soon as practical, but not later than 3 hours
after receipt if received during normal working hours, or not later
than 3 hours from the beginning of the next working day if received
after working hours If excessive radiation or contamination levels
are found, the licensee must immediately notify the carrier and the
NRC Regional office.
Licensees transferring special form sources in licensee-owned or
licensee-operated vehicles to and from a work site are exempt from
the contamination monitoring requirements of the regulation, but
are ool exempt from the requirement for measuring radiation levels
to ensure that the source is still properly lodged in its shield. This
provision could apply to certain types of X-ray fluorescence
devices
WASTE DISPOSAL
(10CFR20SubpartK)
The disposal of NRC licensed material is a controlled process that
requires the licensee to use one of the following procedures:
• Transfer to an authorized recipient
• Decay in storage
Release in effluents within the limits in 10 CFR Part 1301
• Disposal by release into sanitary sewerage
Treatment or disposal by incineration
Disposal of certain specified wastes as if they were not radioactive.
As specified in Section 20.2007, nothing in this subpart relieves the
licensee from complying with other applicable federal, state, and
local regulations governing any other toxic or hazardous properties
of the radioactive materials that may be disposed of under this
subpart. Depending on the type, activity, origin, physical state, and
cor position of the radioactive material being disposed of, the
NRC, EPA, or both may have regulatory jurisdiction for disposal of
wastes. The laboratory is responsible for knowing and complying
with the applicable regulations (NRC, EPA, Agreement States, and
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local jurisdictions) for the waste it generates. Guidance on
managing the hazardous waste aspects of mixed wastestreams is
provided in the RCRA chapter of the SHEMG.
Section 20.2002 of 10 CFR Part 20 provides the method for
obtaining NRC approval of proposed disposal procedures other
than those authorized in the regulations. These procedures would
also be used to gain approval of a proposal to treat radioactive
waste by incineration.
Requirements governing disposal by release into sanitary sewerage
are contained in Section 20.2003. These regulations:
• Require that the material be soluble, and
• Impose monthly concentration limits, and annual limits on
the quantity of radioactive material that can be disposed to
the sewer.
In addition to NRC regulatory standards, local sewer use
ordinances should be consulted to determine if special discharge
notifications or discharge limitations are imposed on radiological
wastewater contributions to the sanitary sewer.
Guidance: EPA facilities should institute a disposal log system for
radioactive waste discharges to the sanitary sewer. Disposal logs
such as Exhibit 2 to this chapter should be used to collect.
information on the following:
• Type and activity levels of radioactive material discharges
• Quantity of discharges
• Date of discharges
• Monthly roll-up of discharge quantities.
The laboratory's Radiation Safety Manual or separate memoranda
should establish and communicate a formal policy to ensure
conformance with sewer disposal log completion procedures and
documentation requirements.
Section 20.2004 establishes requirements for treatment or disposal
of licensed material by incineration. As it applies to most EPA
facilities, incineration would only be permitted for liquid ,.
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RECORDS
(10CFR20SubpartL)
Subpart L of 10 CFR Part 20 contains a number of requirements
related to radiation safety program records. Section 20.2101
specifies standard units of measure that must be used in recording
certain numerical values, and requires that clear distinctions be
made in records among the various quantities required to be
recorded.
Section 20.2102 stipulates that licensees maintain records radiation
of protection programs, including provisions of the program which
must be maintained until the license is terminated, and records of
audits of the program which must be maintained for three years.
Section 20 2103 requires the facility to maintain records of the
results of surveys and calibrations required by Sections 20.1501 and
20.1906(b) for three years. The following records must be retained
until the Commission terminates the license requiring
the record:
Results of surveys to determine the dose from external
sources if used in the absence of or in combination with
individual monitoring data, in the assessment of individual
dose equivalents
• Results of measurements and calculations used to determine
individual intakes of radioactive material and in the
assessment of internal dose
Results of air sampling, surveys, and bioassays required
pursuant to Section 20.1703(aX3) (i) and (ii)
• Results of measurements and calculations used to evaluate
the release of radioactive effluents.
Section 20.2104 requires that a good faith effort be made to obtain
records of prior occupational dose for each individual that is
allowed to enter a restricted area. Whether records can be obtained
or not, a determination of year to date exposure is required.
The licensee may accept, as a record of the occupational dose that
the individual received during the current year, a written signed
statement from the individual, or from the individual's most recent
employer for work involving radiation exposure, that discloses the
nature and the amount of any occupational dose that the individual
may have received during the current year. It is also permissible to
obtain reports of the individual's dose equivalents) from the most
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recent employer for work involving radiation exposure, or the
individual's current employer (if the individual is not employed by
the licensee) by telephone, telegram, electronic media, or letter.
This section also requires licensees to record the exposure history
of each individual on NRC Form 4, or other clear and legible
record The form or record must show each period in which the
individual received occupational exposure to radiation or
radioactive material and must be signed by the individual who
received the exposure.
Section 20.2105 contains requirements for records of planned
special exposures. In the highly unlikely event that a planned
special exposure occurs at an EPA facility, this section of the
regulations should be consulted.
Section 20.2106 requires each licensee to maintain records of doses
received by all individuals for whom monitoring was required.
These records must include, when applicable:
• The deep-dose equivalent to the whole body, eye dose
equivalent
• Shallow-dose equivalent to the skin, and shallow-dose
equivalent to the extremities
• The estimated intake or body burden of radionuclides, the
committed effective dose equivalent assigned to the intake
or body burden of radionuclides, the specific information
used to calculate the committed effective dose equivalent,
and the total effective dose equivalent when required by
Section 20.1202
• The total of the deep-dose equivalent and the committed
dose to the organ receiving the highest total dose.
This section also specifies that record entries are to made at least
annually and be recorded on NRC Form 5 or equivalent. It further
requires that records of dose to an embryo/fetus with the records of
dose to the declared pregnant woman. The declaration of
pregnancy shall also be kept on file, but may be maintained
separately from the dose records.
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Additional records include the Section 20 2107 requirement to
maintenance of record until license termination sufficient to
demonstrate compliance with the dose limits for individual members
of the public. Section 20.2108 requires records of waste disposal.
REPORTS
(10CFR20SubpartM)
Subpart M of 10 CFR Part 20 specifies the requirements for
reporting to NRC, namely:
Theft or loss of licensed material (Section 20.2201)
• Events involving byproduct, source, or special nuclear
material possessed by the licensee that may have caused or
threaten to cause radiation exposures to individuals in
excess of limits (Section 20.2002)
• Reports of exposures, radiation levels, and concentrations
of radioactive material exceeding limits (Section 20.2203)
• Reports of planned special exposures (Section 20 2004)
Reports of individual monitoring (Section 20.2006).
Depending on the potential severity of an event, some incidents
require immediate telephone reporting with follow-up written
reports, while others require only written reports within a specified
time interval.
Because these regulations are extremely detailed and many apply
only to certain types of licensees or under specified conditions, each
EPA facility should review them carefully for applicability and
include procedures for implementing them in the laboratory's
Radiation Safety Manual.
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Section 7-07
Reporting of Defects and Non-Compliance - 10 CFR Part 21
The regulations at 10 CFR Part 21 apply to all licensees and certain
unlicenced vendors. The requirements of this part are intended to
ensure that equipment deficiencies or failures that could create a
substantial safety hazard are reported to the NRC. The reporting
enables the NRC to determine if a defect is generic in nature so that
appropriate measures can be taken to ensure protection of public
health and safety.
EVENTS OR
CONDITIONS THAT
REQUIRE REPORTING
(10 CFR 21.1)
Reporting of noncompliance is required if a facility, activity, or
basic component fails to comply with the Atomic Energy Act or
any NRC rule, regulation, order, or license related to substantial
safety hazards.
Reporting of defects is required if a facility, activity, or basic
component contains defects which could create a substantial safety
hazard.
A substantial safety hazard means the loss of a safety function to
the extent that there is a major reduction in the degree of protection
provided to ensure public health and safety. A substantial safety
hazard exists if there is a potential for moderate exposure to, or
release of, licensed material.
Guidelines for determining moderate exposure are as follows:
• Greater than 25 rem (whole body or its equivalent to other
body parts) to occupationally exposed workers in a period
of a year or less
• Exposure of 0.5 rem (whole body or its equivalent to other
body parts) to an individual in an unrestricted area in a •
period of a year or less.
A guideline for determining potential for release of licensed material
is as follows:
• Release of materials in amounts reportable under the
- provisions of 10 CFR 20.2203(a)(3XH).
It is unlikely that an EPA facility would ever encounter a situation
that would meet the definition of "substantial safety hazard." .
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However, some devices containing relatively high activity sealed
radioactive sources, such as certain X-ray fluorescence equipment,
could cause radiation exposures that would meet the criteria for
reporting if a design or manufacturing defect were present.
REPORTING
PROCEDURES
(10 CFR 21.21)
Defects and noncompliance must be evaluated to determine
whether or not a substantial safety hazard exists as soon as
practicable and, in all cases, within 60 days of discovery.
If the evaluation above cannot be completed within 60 days, an
interim report should be prepared and submitted to the NRC
through the director or responsible officer of the facility. This
interim report should:
• Describe the defect or noncompliance that is being
evaluated
State when the evaluation will be completed
Be submitted in writing within 60 days of discovery.
The facility director or responsible officer must be informed as soon
as practicable, and in all cases, within five working days after the
completion of the evaluation if a defect or noncompliance exists.
The facility director or responsible officer must notify the_NRC
when he or she obtains information indicating a defect or
noncompliance as follows:
Initially, by facsimile at (301) 816-5151 or by telephone at
(301) 816-5100 within two days following receipt of the
information by the director or responsible officer
Written notification within 30 days following receipt of the
information by the director or responsible officer.
The written report by the director or responsible officer must
include the following:
• Name and address of the individual or individuals informing
the NRC •
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• Identification of the facility, activity, or basic component
which contains the defect or noncompliance
• Nature of the defect or noncompliance and the safety hazard
which is created or could be created
• The date on which the information of the defect or
noncompliance was obtained
• In the case of a basic component, the number and location
of all such components in use at the facility
The corrective action that has been, is being, or will be
taken; the name of the individual responsible for the action;
and the length of time that has been or will be taken to
complete the action
• Any advice related to the defect or noncompliance that has
been, is being, or will be given to purchasers or licensees.
PROCUREMENT Procurement documents must indicate that the provisions of 10
DOCUMENTS CFR Part 21 apply, when the procurement is for items or services
(10 CFR 21.31) that are associated with licensed activities, and in which a defect or
failure to comply with any NRC requirement could create a
substantial safety hazard.
MAINTENANCE OF A written record of evaluations of all defects and noncompliance
RECORDS identified by the facility must be prepared and maintained for a
(10 CFR 21.51) minimum of five years.
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Section 7-08
Rules of General Applicability to Domestic Licensing of
Byproduct Material -10 CFR Part 30
GENERAL
REQUIREMENTS FOR
BYPRODUCT
LICENSES
(10 CFR Part 30)
Part 30 prescribes rules applicable to facilities that manufacture,
produce, transfer, receive, acquire, own, possess, or use byproduct
material. The regulations in this part describe types of licenses and
procedures for obtaining licenses. In addition, there are
requirements for the renewal and amendment of an existing license.
The application procedures for a specific license are addressed in
Part 30.32 and include:
• Preparing and submitting to the NRC the application in
duplicate on NRC Form 313, "Application for Material
License," in accordance with the instructions in 10 CFR
30.6
For an application involving a sealed source or device that
contains a sealed source, identifying the source or device by
manufacturer and model number- as registered with the NRC
• Having the application signed by the applicant, licensee or
duly authorized person
• Arranging for payment of the application fee
• Answering any questions the NRC has to assist them in
determining whether the application should be granted or
whether a license should be modified or revoked.
Renewals are filed on NRC Form 314 and amendments on NRC
Form 313; these are filed in accordance with 10 CFR 30.32.
Apart from licensing procedures, Part 30 contains requirements
regarding notification to the NRC and record keeping. The NRC
must be notified of changes in emergency plans, license expiration,
and contamination events. Records must be maintained that are
important to decommissioning, and that show the receipt, transfer,
and disposal of licensed byproduct material.
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TYPES OF LICENSES
(10CFR3031)
Licenses for byproduct material are of two types: general and
specific. Specific licenses are issued to named persons upon
applications filed pursuant to the regulations in 10 CFR Parts 30,
32 through 36, and 39. 10 CFR Part 30 primarily establishes
generic license application procedures, notification, and
recordkeeping requirements, whereas Parts 32 through 36 and 39
contain supplementary technical license requirements for different
types of byproduct material uses and applications. General licenses
are effective without the filing of applications to the NRC or the
issuance of licensing documents to particular persons.
EPA facility licenses typically contain several standardized
conditions that are adopted from the general license requirements in
10 CFR Part 31. In particular, licenses authorizing the use of
sealed sources for use in calibration and analytical equipment
frequently incorporate requirements for conducting leak tests and
physical inventories on a semiannual basis. Further, records of
these activities must be retained pursuant to license compliance for
three years after the next required leak test or the byproduct
materials are transferred or disposed.
Guidance: EPA facilities should identify the required frequency
for performing leak tests and physical inventories under the
conditions of their NRC license. A scheduling and "tickler" system
should be instituted to ensure conformance with established
frequency requirements for performing leak tests and physical
inventories. Documentation of these activities should also be
maintained, preferably in chronological order, to substantiate
compliance with license requirements and to facilitate effective
review of program records in the event of an NRC inspection.
SITUATIONS
REQUIRING A
LICENSE
AMENDMENT
(10 CFR Part 30, Sections
30 32, 30 33, and 30.34)
The application and supporting documents provided to the NRC for
a license to conduct licensed activities normally become
incorporated into the license by reference. Approval of the license
is contingent upon the laboratory operating in accordance with
these representations. Unless the license states otherwise, the
laboratory must operate in accordance with the procedures and
equipment as described in the original license application until such
time as the laboratory provides changes to the NRC and receives
wriuen approval to institute the changes.
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Common errors made by byproduct licensees involving failure to
apply for a license amendment or renewal include:
Implementing personnel changes in key positions such as
the Radiation Safety Officer
• Inattention to the license expiration date resulting in failure
to file a timely renewal application
Relocating or expanding the use or storage of radioactive
material to buildings, rooms, or areas that were not
specified in the original license application
Replacing a device containing a sealed radioactive source
with a model, or one made by a different manufacturer,
other than as specified in the original license application
Changes in mission or initiation of new projects that
necessitate using different isotopes or larger quantities of
radioactive material than currently specified in the license
Implementing revisions to the facility Radiation Safety
Manual, or other procedures that were submitted with the
license application and incorporated into the license by
reference, without prior NRC approval.
PROCEDURES FOR The major points to remember in filing for a license renewal are
APPLYING FOR A that:
LICENSE RENEWAL
OR AMENDMENT • Renewals are to be filed on Form NRC 314. Even though
(10 CFR Pan 30, Sections the NRC has acted upon renewals filed by letter rather than
30.32, 30.37, and 30.38) the form, the form is specified as the renewal mechanism in
10 CFR Parts 30.32 and 30.37. NRC staff have indicated
that they prefer-the form to be used for renewals
Renewals filed not less than 30 days prior to expiration
remain in effect until the NRC acts on the renewal
application.
Failure to file a timely license renewal may place the laboratory in
the position of operating without a license. This can be grounds for
revocation of the license.
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Renewal applications require re-submittal of all information
required for an initial license application. NRC Regulatory Guide
10.7, "Guide for the Preparation of Applications for Licenses for
Laboratory and Industrial Use of Small Quantities of Byproduct
Material," specifies the types and level of detail of information that
are considered acceptable by the NRC staff for providing them with
sufficient information to make determinations on license
applications for the types of activities with radioactive materials
encountered at EPA facilities.
Guidance: Prospective NRC licensees and EPA facilities -with
existing NRC licenses should consult with Exhibit 3, Licensing
Process, when determining license application, amendment, and •
renewal requirements under the NRC regulations.
The major points to remember in filing for a license amendment are
that:
Amendments are to be requested using Form NRC 313.
Even though the NRC has acted upon amendments filed by
letter rather than the form, the form is specified as the
amendment mechanism in 10 CFR Parts 30.32 and 30 38.
Discussions with the NRC staff has indicated that they
prefer the use of the form for amendments
• Amendments should be filed in a timely manner.
The facility should specify both the changes desired in the license
and the reasons for the changes in the amendment application. The
changes must not be implemented until the amendment is approved
by the NRC. When a change has been forced by events not under
the control of the licensee, a telephone call to the NRC Regional
Office (followed up by an amendment application) is recommended
to preclude being cited for a violation of the license.
No fee is required to accompany an application for renewal or
amendment of a license, except as provided in 10 CFR 170 31.
The individual preparing the license application should ensure that
representations and information provided with the application are
correct and complete since both may be incorporated into the
license by reference.
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For an application for an NRC license to be approved, including all
renewal and amendment applications, the application must address
the following:
The application is for a purpose authorized by the ABA
Proposed equipment and facilities for the proposed licensed
activities are adequate to protect health and minimize
danger to life or property
Training and experience of proposed users are adequate
The proposed use will not significantly affect the
environment; if a significant effect is expected additional
requirements must be met.
REPORTING
REQUIREMENTS
(10 CFR Part 30, Sections
30.50 and 30 55)
This section of 10 CFR Pan 30 requires licensees to report certain
incidents involving radioactive material to the NRC. Licensees are
required to notify the NRC as soon as possible, but not later than 4
hours after the discovery of an event that prevents immediate
protective actions necessary to avoid exposures to radiation or
radioactive materials that could exceed regulatory limits, or releases
of licensed material that could exceed regulatory limits (events may
include fires, explosions, toxic gas releases, etc.).
Licensees are also required to notify the NRC within 24 hours after
the discovery of any of the following events involving licensed
material:
• An unplanned contamination event that requires access to
the contaminated area, by workers or the public, to be
restricted for more than 24 hours, involves a quantity of
material greater than five times the lowest annual limit on
intake specified in Appendix B of 10 CFR Part 20
An event that requires unplanned medical treatment at a
medical facility of an individual with spreadable radioactive
contamination on the individual's clothing or body
• An unplanned fire or explosion damaging any licensed
material or any device, container, or equipment containing
licensed material when the quantity of material involved is
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greater than five times the lowest annual limit on intake
specified in appendix B of 10 CFR Part 20 and the damage
affects the integrity of the licensed material or its container
Initial notification is to be made by telephone to the NRC
Operations Center. To the extent that the information is available
at the time of notification, the information provided in these reports
must include the caller's name and call back telephone number, a
description of the event, including date and time, the exact location
of the event, the isotopes, quantities, and chemical and physical
form of the licensed material involved, and any personnel radiation
exposure data available. A written follow-up report is required
within 30 days.
Licensees authorized to possess tritium are also required to report
promptly by telephone any incident involving a known or suspected
attempt to commit a theft or unlawful diversion of more than 10
curies of such material at any one time or more than 100 curies of
such material in any one calendar year. The initial report shall be
followed within fifteen (IS) days by a written report submitted to
the appropriate NRC Regional Office which sets forth the details of
the incident and its consequences
Guidance: Guidance for internal reporting •within EPA and for
consultation prior to notifying NRC is contained in the SHEMG,
Chapter 38, "Radiation Safety and Health Protection Program.
The guidance calls for internal reporting of a broader range of
occurrences than is required by NRC regulations.
TRANSFERS OF
LICENSED MATERIAL
(10 CFR Part 30, Sections
30.41 and 30.51)
Section 30.41 of 10 CFR Part 30 prohibits the transfer of licensed
material to any individual or organization that is not authorized to
receive it, and contains specific methods that licensees are required
to use to verify that the intended recipient is authorized prior to
making the transfer. In general, it is necessary to obtain a copy of
the intended recipient's license, certification from the recipient that
they are authorized to receive the material, or confirmation from
the appropriate licensing authority (NRC or Agreement State) that
the recipient is authorized.
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Section 30 SI requires licensees to maintain records of the receipt,
transfer, and disposal of byproduct material. Unless otherwise
specified in a specific facility license:
Records or receipt of byproduct material must be
maintained for at least three years following transfer or
disposal of the material
• Records of disposal must be retained until NRC terminates
the license.
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Section 7-09
General Domestic Licenses for Byproduct Material - 10 CFR Part 31
GENERAL DOMESTIC
LICENSES FOR
BYPRODUCT
MATERIAL
(10 CFR Part 31)
10 CFR Part 31 establishes general licenses for the possession and
use of byproduct material contained in certain items and a general
license for ownership of byproduct material. This part also
describes the requirements of each of the general licenses, and the
records that must be maintained for measuring, gauging, and
controlling devices as described by the general license.
ITEMS AND
MATERIALS LICENSED
(10 CFR Part 31 Sections
31.3, 31.5, and 31.8)
A general license for byproduct material is any license granted by »
10 CFR Part 31. General licenses are granted by the regulation
itself, without application to NRC, and there will not usually be any
documentation at the facility to indicate that the general license
exists.
A general license permits laboratories to transfer, receive, acquire,
own, possess, and use byproduct material that is incorporated in
static elimination devices and ion generating tubes.
A general license permits laboratories to transfer, receive, acquire,
own, possess, and use byproduct material contained in devices
designed and manufactured for the purpose of detecting, measuring,
gauging or controlling:
• Thickness
• Density
• Level
• Interface location
Radiation
• Leakage
• Qualitative or quantitative chemical composition
• Producing light or an ionized atmosphere.
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A general license also allows laboratories to own, receive, acquire,
possess, use and transfer americium-241 in the form of calibration
or reference sources. However, this applies only to persons in a
non-Agreement State or any government agencies that hold a
specific license issued pursuant to 10 CFR Part 30.
TERMS AND Static elimination devices must not contain more than 500
CONDITIONS OF microcuries of polonium-210 per device. Ion generating tubes must
LICENSE not contain more than 500 microcuries of polonium-210 per device
(10 CFR Part 31 Sections or more than 50 millicuries of tritium per device.
31.3, 315, and 31.8)
Measuring, gauging and controlling devices are required to meet
the following conditions:
Labels, which bear the statement that removal is prohibited,
cannot be removed from the device
• Instructions and precautions provided on the labels must be
implemented
• The device must be tested for leakage and proper operation
of the on-off mechanism and indicator, if any, at no longer
than 6-month intervals or as indicated on the label. This
does not apply to devices containing krypton; tritium; not
more than 100 microcuries of other beta and/or gamma
emitting material; or not more than 10 microcuries of alpha
emitting material. Additionally, this does not apply to
devices being held in their original shipping container
Testing, installation, servicing, and removal from installation
involving the radioactive material, its shielding or
containment shall be performed either in accordance with
label instructions or by a person holding a specific license to
perform such activities
• Records showing compliance with the activities indicated
above are to be maintained as specified in the following
section
• Upon failure of or damage to the shielding or on-off
mechanism or upon detection of 0.005 microcurie or more
of removable radioactive material, the device will be
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removed from service until repaired by the manufacturer or
person holding a specific license for repairs; or disposed of
by transfer to a person holding a specific license to receive
the material contained in the device
Such failure, damage or leakage must be reported to the
NRC Regional Office within 30 days
• The device must not be abandoned or exported
Transfer or disposal of the device is only by transfer to a
person having specific license pursuant to 10 CFR Parts 30
and 32
Such transfer^ unless to receive a replacement device, must
be reported to the NRC Regional Office within 30 days
• Transfer to another general licensee can only occur if the
device remains in use or is held in storage in the original
shipping container.
There must be no more than five microcuries of americium-241 is in
any one location of storage or use. In addition, the source or
storage container for americium-241 must bear a label containing
the following statement:
• The receipt, possession, use and transfer of this source,
Model —, Serial No. --, are subject to a federal license and
the regulations of the United States Nuclear Regulatory
Commission or of a State with which the Commission has
entered into an agreement for the exercise of regulatory
authority. Do not remove this label.
CAUTION- RADIOACTIVE MATERIAL - THIS
SOURCE CONTAINS AMERICIUM-241. DO NOT
TOUCH RADIOACTIVE PORTION OF THIS SOURCE.
(Name of manufacturer or initial transferor)
Americium-241 must be handled as follows:
The source shall not be transferred, abandoned, or disposed
of except by transfer to a person authorized by 10 CFR Part
31.8 or an Agreement State
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The source must be stored in a closed container that is
adequately designed and constructed
The source cannot be used for purposes other than
calibration of radiation detectors or the standardization of
other sources.
Manufacture, import, and export of americium-241 are not
authorized by the general license.
RECORDS FOR Records must show the names of persons performing, and dates of,
MEASURING. testing, installing, servicing, and removing radioactive material and
GAUGING. OR its shielding from the facility
CONTROLLING
DEVICES Unless the source or device has been transferred or disposed of,
(10 CFR Part 31.5) records must be retained as follows:
Each record of a test for leakage or radioactive material
must be retained for three years after the next required leak
test
• Each record of a test of the on-off mechanism and indicator
must be retained for three years from the date of the
recorded event.
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Section 7-10
Specific Domestic Licenses of Broad Scope for Byproduct Material - 10 CFR Part 33
SPECIFIC DOMESTIC
LICENSES OF BROAD
SCOPE
(10 CFR Part 33)
Part 33 prescribes requirements for the issuance of specific licenses
of broad scope for byproduct material and certain regulations
governing holders of such licenses The provisions of this part are
in addition to, but do not substitute, the regulations in 10 CFR Part
32.
TYPES OF SPECIFIC
LICENSES
(10 CFR Part 33.11)
There are three types of licenses specified in 10 CFR 33.11. They
differ by form of byproduct material and quantity allowable by the
license. Laboratories must base their choice upon the type and
quantity of byproduct material they expect to need for the
accomplishment of their mission.
A "Type A specific license of broad scope" authorizes receipt,
acquisition, ownership, possession, use, and transfer of any
chemical or physical form of the byproduct material specified in the
license, but not exceeding quantities specified in the license. The
quantities specified are usually in the millicurie range.
A "Type B specific license of broad scope" authorizes receipt,
acquisition, ownership, possession, use, and transfer of any
chemical or physical form of the byproduct material specified in 10
CFR Part 33.100, Schedule A. The possession limit fora-Type B
broad license is as follows:
If only one radionuclide is possessed, the limit is the
quantity specified for that radionuclide in 10 CFR Part
33.100, Schedule A, Column I
• If two or more radionuclides are possessed, the limit must
be found deterministically. For each radionuclide,
determine the ratio of the quantity possessed to the
applicable quantity specified in 10 CFR Part 33.100,
Schedule A, Column I, for that radionuclide. The sum of
the ratios for all radionuclides possessed must not exceed
unity.
A "Type C specific license of broad scope" authorizes receipt, *
acquisition, ownership, possession, use, and transfer of any
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chemical or physical form of the byproduct material specified in 10
CFR Part 33.100, Schedule A. The possession limit for a Type C
broad license is as follows:
• If only one radionuclide is possessed, the limit is the
quantity specified for that radionuclide in 10 CFR Part
33.100, Schedule A, Column H
If two or more radionuclides are possessed, the limit must
be found deterministically. For each radionuclide,
determine the ratio of the quantity possessed to the
applicable quantity specified in 10 CFR Part 33.100,
Schedule A, Column n, for that radionuclide. The sum of '
the ratios for all radionuclides possessed must not exceed
unity.
As shown by these characteristics, the Type A license has the
broadest range for tailoring the license authorizations to the
laboratory's needs. The Type B license provides for a broad range
of radionuclides but has limitations on the quantities that may be
possessed. The Type C license has a similar broad range but
provides for only 1/100th of the quantity that may be possessed
under a Type B license.
TERMS AND
CONDITIONS OF
SPECIFIC LICENSES
(10 CFR Part 33.17)
Unless specifically authorized pursuant to other parts of 10 CFR,
laboratories licensed under broad scope shall not perform the
following activities:
• Conduct tracer studies in the environment involving direct
release of byproduct material
• Receive, acquire, own possess, use, transfer, or import
devices containing 100,000 curies or more of byproduct
material in sealed sources used for irradiation of materials
• Conduct activities for which a specific license issued by
NRC under 10 CFR Parts 32, 34, or 35 is required
Add or cause the addition of byproduct material to any
food, beverage, cosmetic, drug or other product designed
for ingestion or inhalation by a human being.
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Type A licenses allow byproduct material to be used only by
individuals approved by the Radiation Safety Committee. Similarly,
Type B licenses allow byproduct material to be used only by or in
direct supervision of the RSO. Byproduct material in a Type C
license may only be used by individuals who satisfy the
requirements of 10 CFR Part 33.15.
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Section 7-11
Domestic Licensing or Source Material - 10 CFR Part 40
DOMESTIC LICENSING The regulations in 10 CFR Part 40 establish procedures and criteria
OF SOURCE for the issuance of licenses to receive title to receive, possess, use,
MATERIAL transfer, or deliver source and byproduct materials The regulations
(10 CFR Part 40) in this part also establish requirements for the physical protection of
import, export, and transient shipments of natural uranium.
Licenses for source material and byproduct material are of two
types* general and specific.
GENERAL LICENSES
(10 CFR Parts 40.25 and
40.26)
Licenses for long-term care and custody of residual radioactive
material at disposal sites are general licenses. General licenses are
effective without the filing of applications with NRC.
A general license allows use and transfer of not more than IS
pounds of source material at any one time for research
development, educational, commercial, or operational purposes. If
authorized to transfer pursuant to this license, more than ISO
pounds of source material cannot be received in any one year.
A general license is also offered for the possession of a transient
shipment of natural uranium, other than in the form of ore or ore
residue, in amounts exceeding SOO kilograms. NRC must be
notified of transient shipments and include the information required
in 10 CFR Part 40.23. —
A general license under 10 CFR Part 40 permits EPA facilities to
receive, acquire, possess, use, or transfer depleted uranium
contained in industrial products or devices for the purpose of
providing a concentrated mass in a small volume of the product or
device. Form NRC 244 must be filed as specified in 10 CFR Part
40.2S. Activities under this general license must include the
following:
• Depleted uranium shall not be introduced into a chemical,
physical, or metallurgical treatment or process
• Depleted uranium cannot be abandoned
• Transfer or disposal must only be by transfer in accordance
with 10 CFR Part 50.51
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• Within 30 days of any transfer, a report should be filed in
writing to NRC.
A general license also allows EPA facilities to receive title to own
or possess byproduct material as defined in 10 CFR Part 40.26
without regard to form or quantity
SPECIFIC LICENSES
(10 CFR Parts 40.31 and
40.34)
Specific licenses for source material are issued upon applications
filed pursuant to the regulations in 10 CFR Part 40. Applications
are filed by using Form NRC 313.
Each application to possess uranium hexaflouride in excess of SO
kilograms in a single container or 100 kilograms total requires a
specific license and must contain the information specified in 10
CFR Part 40.31.
Each application for a specific license to manufacture industrial
products and devices containing depleted uranium must contain the
information specified in 10 CFR Part 40.34.
CONDITIONS OF
SPECIFIC LICENSES
(10 CFR Part 40 35)
The following apply to the terms and conditions specified under
specific licenses issued pursuant to 10 CFR Part 40:
• The level of quality control required by the license in the
installation of the depleted uranium into the product or
device must be maintained
• Each unit must be labeled to identify the manufacturer of
the device; the number of the license which the device was
manufactured or initially transferred; the fact that the device
contains depleted uranium; the quantity of depleted uranium
in the device; and that the device is subject to a general
license
Before being installed in each device, "Depleted Uranium"
must be impressed through plating or covering
• A copy of the general license and of Form NRC 244 must
be furnished to each person to which source material is •
being transferred
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All transfers must be reported to the Director, Office of
Nuclear Material Safety and Safeguards, NRC and
responsible Agreement State Agency, if applicable
Records must be kept showing the name, address, and a point of
contact for each general license to whom depleted uranium is
transferee.
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Section 7-12
Domestic Licensing of Special Nuclear Material - 10 CFR Part 70
MATERIAL
(10 CFR Part 70)
DOMESTTr LICENSING The regulations at 10 CFR Part 70 establish procedures and criteria
OF SPECIAL NUCLEAR for the issuance of licenses to receive title to, own, acquire, deliver,
receive, possess, use, and transfer special nuclear material.
Licenses of special nuclear material are of two types: general and
specific; the different licenses are described in this section.
Special nuclear material is defined in 10 CFR Part 70, Section 70.4,
and means (1) plutonium, uranium-233, uranium enriched in the
isotope 233 or in the isotope 235, and any other material which the
NRC, pursuant to the provisions of the Atomic Energy Act,
determines to be special nuclear material, but does not include
source material; or (2) any material artificially enriched by any of
the foregoing, but does not include source material.
GENERAL LICENSES
(10 CFR Part 70.19)
A general license provided in 10 CFR Part 70 is effective without
the filing of applications with NRC or the issuance of licensing
documents.
For a laboratory that holds a specific license issued by NRC that
authorizes receipt, possession, use, or transfer of byproduct
material, source material, or special nuclear material, a general
license is issued to receive title to, own, acquire, deliver, receive,
possess, use, and transfer plutonium in the form of calibration or
reference sources. This general license applies only to calibration
or reference sources which have been manufactured or initially
transferred in accordance with the specifications contained in a
specific license, and does not authorize the manufacture, import, or
export of calibration or reference sources containing plutonium.
Plutonium calibration sources are the major form of special nuclear
material likely to be used by EPA facilities. Even when used under
general license, facility personnel need to be aware that they must
comply with the conditions of license specified in the regulations:
• The general license is subject to the provisions of Sections
70.32, 70.50, 70.51, 70.52, 70.55, 70.56, 70.61, 70.62, and
70.71, and to the provisions of 10 CFR Parts 19, 20 and 21
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• Possession, at any one time, at any one location of storage
or use, of more than 5 microcuries of plutonium in such
sources is prohibited
Receipt, possession, use or transfer of such sources is
prohibited unless the source, or the storage container, bears
a label which includes the following statement or a
substantially similar statement which contains the
information:
"The receipt, possession, use and transfer of this source, Model
—, Serial No. —, are subject to a general license and the
regulations of the United States Nuclear Regulatory Commission or
of a State with which the Commission has entered into an
agreement for the exercise of regulatory authority. Do not remove
this label."
CAUTION-RADIOACTIVE MATERJAL-THIS SOURCE
CONTAINS PLUTONIUM. DO NOT TOUCH RADIOACTIVE
PORTION OF THIS SOURCE.
(Name of Manufacturer or Initial Transferor)
• Sources shall not be transferred, abandoned, or disposed of
except by transfer to a person authorized by a license from
the NRC or an Agreement State to receive the source
• Except when the source is being used, it must be stored in a
closed container adequately designed and constructed to
contain plutonium which might otherwise escape during
storage
• The source must not be used for any purpose other than the
calibration of radiation detectors or the standardization of
other sources.
SPECIFIC LICENSES
(10 CFR Parts 70 32 and
70.39)
The majority of EPA analytical and research operations will not
require a specific license for special nuclear material. Requirements
for specific licenses are described in 10 CFR Part 70, and are issued
upon applications filed pursuant to the regulations. Guidance for
preparing applications for special nuclear material licenses of less
than critical mass quantities are available in Regulatory Guide 10.3.
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If the laboratory were to hold a license to possess and use special
nuclear material in a quantity exceeding one effective kilogram,
except for use as sealed sources, it must maintain and follow:
A program for control and accounting of special nuclear
material pursuant to 10 CFR Parts 70 and 74
A measurement control program for special nuclear material
pursuant to 10 CFR Parts 70 and 74
Records of changes to the material control and accounting
program made without prior NRC approval for a period of
five years from the date of the change. A report is required:
within two months if the change pertains to uranium-233,
uranium enriched to 20 percent or more of uranium-235, or
plutonium, except plutonium containing 80 percent or more
by weight of the isotope 238; or within six months if the
uranium enrichment is less than 20 percent, or plutonium
has greater than 80 percent of plutonium-238
• A safeguards contingency plan pursuant to 10 CFR Part 32
• Reporting requirements pursuant to 10 CFR Part 70.50
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Section 7-13
Packaging and Transportation of Radioactive Material - 10 CFR Part 71
GENERAL
REQUIREMENTS FOR
TRANSPORTATION OF
LICENSED MATERIAL
(10 CFR Part 71, Sections
71 5,71.10, 71.43 and
71.47)
10 CFR Part 71 is applicable to individuals who package licensed
byproduct material and arrange for transportation to other locations
beyond the laboratory boundary.
The laboratory staff must consider the requirements of 10 CFR Part
71 and Parts 20, 21, 30, 39, 40, 70, and 73, as appropriate, during
packaging and transport of licensed material.
10 CFR Part 71, Section 71.S requires that all shipments of licensed
material comply with applicable requirements of Department of
Transportation regulations in 49 CFR Parts 170 through 189. Even
though some DOT regulations may not be strictly applicable
because the shipment is not in interstate or foreign commerce or
may not be transported by civil aircraft, the NRC regulations in
Section 71.S require that the shipment must conform to the DOT
regulations to the same extent as if the regulations were applicable.
Exemptions to the 10 CFR Part 71 regulations are provided in
Section 71.10 for a package containing radioactive material having
a specific activity not greater than 0.002 microcuries/ gram, no
more than a Type A quantity, or americium or plutonium in special
form and limited quantity.
The general standards for packages addressed in Section 71.43
would normally be applicable to shipments received or made by
EPA laboratories. The general standards for packages used to ship
byproduct material address:
Minimum outside package dimensions
Indicators of tampering
Internal containment systems
Reactivity of package components and contents
Restrictions and requirements related to features for venting
Test standards.
Section 71.47 establishes standards for external radiation on
packages. For EPA laboratory shipments, the radiation level must
not normally exceed 200 millirem per hour at any point on the
external surface of the package, and the transport index must not
exceed 10.
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OPERATING
CONTROLS AND
PROCEDURES FOR
PREPARING
PACKAGES OF
LICENSED MATERIAL
FOR
TRANSPORTATION
(10CFR71 SubPartG)
Subpart G of 10 CFR Part 71 provides regulatory standards on
operating controls and procedures to be followed when shipping
licensed material. These provisions apply to all licensees who
transport licensed material or deliver licensed material to a carrier
for transport. Several of the major requirements are addressed in
the following paragraphs.
Section 71.85 requires that, prior to using a package to ship
radioactive material, the package must be verified to be free of
obvious defects and that required markings are present.
Section 71.87 requires that, prior to each shipment, the licensee
must determine that the packaging is proper and in good condition
for the contents to be shipped. External radiation levels must be
within specified limits, and the level of removable contamination on
the package surface must be as low as reasonably achievable.
Sufficient wipe tests must be taken of the package to yield a
representative assessment of the removable contamination. A table
in this section or the regulations gives the limits on acceptable
radioactivity as determined by these tests. NRC requires that
instruments used to assess removable contamination or radiation
levels on packages be calibrated for the type of measurement being
performed, and sufficiently sensitive to detect contamination at the
levels specified in the regulation.
Section 71.89 requires the shipper to ensure that any special
instructions needed to open the package have been sent or
otherwise made available to the consignee prior to delivery of the
package to a carrier for transport.
Section 71.91 requires that records of license material shipments
must be maintained for a period of at least three years after
shipment. This section also specifies the minimum information that
is required for these records.
NRC Regulatory Guide 7.7, "Administrative Guide for Verifying
Compliance with Packaging Requirements for Shipments of
Radioactive Material", provides recommendations for practices
considered acceptable by the NRC for meeting the requirements of
10 CFR Part 71, Subpart G.
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Section 7-14
Tables and Exhibits
Exhibit 1
Radiation Safety Training Guidelines
Training
Category
Training Audience/Frequency
Training Elements
Basic
Radiation
Safety
Training
Each worker prior to, or at the tune of,
enrollment into a formal monitoring and
dosunetry program
Biennial refresher training
Overview of EPA and Laboratory
Radiation Safety and Health
Protection Program
Fundamentals of ionizing radiation
and its biological effects
Basic concepts of radiological
protection
Understanding of special
considerations related to prenatal
radiation exposure
Advanced
Radiation
Safety
Training
Initial training is mandatory for
Individuals engaging in emergency
response activities potentially involving
ionizing radiation exposures
Individuals engaging in field work where
significant potential for exposure exists
Immediate supervisors of field workers
who routinely engage in assignments
potentially involving ionizing radiation
exposures
Individuals responsible for recognizing
and requesting expert radiation safety and
health physics support
Safety, Health and Environmental
Management Program Managers and
Radiation Safety Officers prior to
assuming radiation program management
duties
A biannual refresher course is recommended
for the above categories of individuals.
The training objectives at the advanced
level are to.
• Familiarize personnel with EPA and
NRC-accepted procedures and
techniques for conducting radiation
surveys. Hands on familiarization
with survey equipment and materials
should be included
• Educate personnel regarding the
criteria for securing expert radiation
safety or health physics consultation
• Teach personnel to adopt work
practices and supervisory techniques
for ensuring that worker exposure is
consistent with ALARA principles.
Eihibits
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Exhibit 2
Sewer Disposal Inventory Log
Date of
Disposal
Laboratory/
Room Number
Authorized
User
(Initials)
Monthly Totals
(per individual radioisotope)
Radioscope/
Activity Level
Volume of
Discharge
Exhibits
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Exhibit 7-3
NRC Licensing Process
(Per 10 CFR and Regulatory Guide 10.7)
Application
for New
License
Amendment
to License
Complete
NRC Form
3131
Renewal of
License
Complete
either NRC
Form 3131 or
Letter detailing
Amendment
Complete NRC
Form 3131 at
least 30 Days
Prior to License
Expiration
I
Retain One
Copy of
Submission at
the Facility
Submit Two Copies of Forms
with any Licensing Fee Per 10
CFR 170 to NRC's Division of
Fuel Cycle and Material Safety,
Office of Nuclear Material Safety
and Safeguards
Exhibits
7-73
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SAFETY, HEALTH, AND
ENVIRONMENTAL MANAGEMENT
PROGRAM GUJOE
Guide No.
Issued .
Revleed
FEDERAL INSECTICIDE, FUNGICIDE, AND RODENTICIDE ACT (FIFRA)
PROGRAM
SCOPE OF THE PROGRAM
This Program Guide provides en overview of
the requirements EPA {facilities must fulfill to
comply with the regulations, guidance, and
procedures associated with the Federal
Insecticide, Fungicides and Rodentfcide Act
(FIFRA) of 1947, as amended. FIFRA gave
EPA the statutory authority to regulate
pesticides. All federal agencies must comply
with the provisions of FJIFRA. The major
provisions of FIFRA are registration and
classification procedures, disposal and
storage of pesticides and containers, worker
protection standards, the certification of
pesticide applicators, and experimental use
permits. Most EPA (agilities contract
pesticide services. EPA must ensure that all
contractors comply wttb FIFRA. Contractors
may store pesticides at an EPA facility and
require EPA to dispose of the pesticides.
Therefore, EPA facility staff must be familiar
with the proper storage and disposal
procedures. Although rare, some EPA
laboratories experiment with pesticides.
These facilities must follow registration and
classification procedures and apply for
experimental use permits.
REGULATORY REQUIREMENTS
The key or basic elements of the FIFRA
Program required by law and/or EPA policy
are to:
• Register applicable pesticide products
• Dispose of or store pesticides, pesticide
containers, or pesticide container
residue properly
Specify appropriate training and
certification requirements for all
pesticide applicators In all service
contracts
Maintain documentation on-site verifying
that commercial applicators have proper
certification.
AUTHORITIES
The following documents are the sources of
the legal authority that establishes the
applicability and requirements of this
program.
• 7 United States Code (USC) 136-136y,
Federal Insecticids, Fungicide, and
Rodenticide Act (1947) as amended in
1988
• Title 40 Code of Federal Regulations
(CFR), Parts 150-172 (Pesticide
Programs)
• EPA Safety, Health, and Environmental
Management Guidelines.
REFERENCES
The documents listed below can help you
implement the FIFRA program.
• North Carolina Agricultural Extension
Service, Pesticides and Water Quality
Fact Sheets
• State of Michigan, Office of Waste
Reduction Services, Waste Reduction
Checklist Fact Sheet
-------
• California Department of Health
Services, Toxic Substance Control
Program Alternative Technology
• Federal Insecticide, Fungicide, and
Rodenticide Act (FIFRA) Docket
(Pesticides Docket)
• Government Institutes, Inc.,
Environment^] | aw Handbook. 13th
Edition. April 1995.
IMPLEMENTATION ACTIVITIES
The following list gives an overview of the
activities that this program will require. To
implement and operate this program, you
must
Develop an on-srte system for
maintaining records of pesticide
applications and applicator certificates
Provide EPA pesticide applicators or
commercial pesticide contractors with
compatibility information in selecting
personal protective equipment (PPE)
Provide technical direction and input to
support the implementation of
integrated pest management (IPM)
procedures
Participate In Agency-sponsored
training forums and reviewing other
training materials
Maintain an archive of FlFRA-relaled
information that can be made available
for public review.
IMPLEMENTATION IMPLICATIONS
The management systems and internal
controls required to implement this program
include:
• Procedures to ensure that EPA
pesticide applicators or commercial
pesticide contractors register, store and
dispose of pesticides properly.
• A system to track pesticide applications
at facilities
• Procedures to ensure that certifications
for all pesticide applicators are current
• Procedures to determine if all pesticide
applicators use the appropriate PPE
• A centralized FIFRA documentation
archive
• FIFRA training to promote and ensure
staff awareness and educate staff on
specific implementation procedures.
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Safety, Health and Environmental
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Federal Insecticide, Fungicide, and Rodentlcide Act
Section 08-01
Table of Contents
FIF 08-01 Table of Contents
FIF 08-02 Introduction
Purpose 08-3
Scope 08-3
Authority 08-3
Objectives 08-3
Responsible Officers 08-3
References 08-3
FIF 08-03 Registration and Classification Procedures - 40 CFR Part 152
Introduction 08-5
Pesticide Registration and Classification Procedures 08-5
FIF 08-04 Disposal and Storage of Pesticides and Containers - 40 CFR Part 165
Introduction 08-6
Procedures Not Recommended 08-6
Recommended Procedures for Pesticide Disposal 08-6
Disposal of Containers 08-7
Storage of Pesticides and Containers 08-8
Pesticide Related Waste Storage and Disposal 08-10
FIF 08-05 Worker Protection Standards and Certification of Pesticide Applicators -
40 CFR Parts 170-171
Introduction 08-11
Worker Protection Standards Subpart A-Provisions 08-11
Certification of Pesticides Applicators 08-11
FIF 08-06 Subpart A - Federal Issuance of Experimental Use Permits - 40 CFR Part 172
Introduction 08-12
General Requirements 08-12
Scope of Requirements 08-12
Table of Contents 08-1
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Federal Insecticide, Fungicide, and Rodenticide Act
FIF 08-07 Pesticide Regulations Under Other Federal Statutes
Introduction 08-15
Food, Drug and Cosmetics Act (FDCA) 08-15
Clean Air Act (CAA) 08-15
Federal Water Pollution Control Act of 1972 (FWPC) 08-15
Solid Waste Disposal Acts (SWDA) 08-15
Occupational Safety and Health (OSHA) 08-15
Federal Pesticides Monitoring Program 08-16
Additional Information 08-16
FIF 08-08 Integrated Pest Management
Introduction 08-17
Approaches 08-17
FIF 08-09 Exhibits
Exhibit 08-1 Pesticides Classified for Restricted Use 08-19
Exhibit 08-2 Pesticide Compatibility Information Chart 08-25
Exhibit 08-3 Suggestions for Safe Storage 08-28
Exhibit 08-4 Sample Pesticide Application Record Book 08-29
Exhibit 08-5 Contacts for Additional Pesticide Information 08-30
Exhibit 08-6 List of Acronyms 08-32
Table of Contents 08-2
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Federal Insecticide, Fungicide, and Rodenticide Act
Section 08-02
Introduction
PURPOSE
This chapter provides policy, guidance, information and procedures
for complying with federal, state, and local regulations on pesticide
management.
SCOPE
This chapter addresses pesticide use at EPA facilities and covers
both research involving pesticides and actual on-site pesticide
applications.
AUTHORITY
Federal Insecticide, Fungicide and Rodenticide Act (FIFRA); 40
CFR Parts 152-172; Executive Order 12088.
OBJECTIVES
The objectives of this chapter are to:
• Ensure that facility pesticide research and application
operations conform to applicable federal, state, and local
pesticide management regulations
• Increase awareness of FIFRA requirements to facilitate the
implementation of effective management systems that
minimize pesticide risks to EPA employees, facilities, and
the environment
• Clarify selected aspects of the FIFRA standards applicable
to EPA facilities.
RESPONSIBLE
OFFICER
The use and disposal of pesticides at EPA facilities should be
monitored by the Safety, Health, and Environmental Manager. For
pesticide use that is related to research, the Safety, Health, and
Environmental Manager should coordinate with the primary
investigator on the project to ensure proper identification and
classification of pesticide reagents and wastes.
REFERENCES
Topics discussed in this chapter were developed from the following
sources:
Introduction
08-3
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Safety, Health and Environmental
Management Guidelines December 1997
, Federal Insecticide, Fungicide, and Rodenticide Act
• 7 USC 136-136y, Federal Insecticide, Fungicide, and
Rodenticide Act (1947) as amended in 1988
40 CFR Parts 152-172
• Preambles from proposed and final FIFRA regulations
• Environmental Law Handbook, Government Institutes, Inc.
13th Edition, April, 1995.
Introduction
08-4
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Federal Insecticide, Fungicide, and Rodenticide Act
Section 08-03
Pesticide Registration and Classification Procedures - 40 CFR Part 152
INTRODUCTION
PESTICIDE
REGISTRATION AND
CLASSD7ICATION
PROCEDURES
The requirements and criteria for the registration and re-registration
of pesticide products under FIFRA section 3 and associated
regulatory activities affecting registration are outlined in 40 CFR
Part 152.
Pesticide products containing the active ingredients listed in Exhibit
08-1 at the end of this chapter have been classified for restricted use
and are limited to use by or under the direct supervision of a
certified applicator.
Guidance: EPA contract personnel should ensure that all
pesticide service contracts specify the appropriate training and
certification requirements for the pesticide applicators.
From analysis of EPA SHEMD audit reports and corrective action
tracking information, certified applicators at EPA facilities
primarily were found to support industrial, institutional, structural,
and health-related pest control. Requisite training for these
applicators includes:
• Practical knowledge of a wide variety of pests, including
their life cycles, types of formulations appropriate for their
control and methods of application that avoid
contaminating food, damaging and contaminating habitat,
and exposing people and pets to the pesticides
• Practical knowledge of specific factors that may lead to a
hazardous condition, including continuous exposure in the
various situations encountered in this category
• Practical knowledge of the environmental conditions
related to this particular activity.
EPA contract personnel also should require that certified
applicators provide a list of all pesticides to be used at the EPA
facility, the corresponding MSDSfor each pesticide, and a current
list of references.
Pesticide Registration and Classification Procedures
08-5
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Federal Insecticide, Fungicide, and Rodenticide Act ^^^
Section 08-04
Disposal and Storage of Pesticides and Containers - 40 CFR Part 165
INTRODUCTION
PROCEDURES NOT
RECOMMENDED
RECOMMENDED
PROCEDURES FOR
PESTICIDE
DISPOSAL
This part establishes regulations and procedures for the safe
disposal or storage of packages and containers of pesticides, and
for the safe disposal or storage of excess amounts of pesticides.
EPA facilities should ensure that persons do not dispose of or store
(or receive for disposal or storage) pesticides, pesticide containers,
or pesticide container residue in a manner that:
• Is inconsistent with the manufacturer's product label
• Involves open dumping or open burning on land (unless
allowed by state or local regulations)
• Involves discharge to publicly owned treatment works
(POTWs) or navigable waters regulated by the Clean Water
Act, unless the discharge is covered by, and in compliance
with, applicable pretreatment standards or an National
Pollution Discharge Elimination System (NPDES) permit
• Violates any applicable state or federal pollution control
standard.
Organic pesticides (not including organic mercury, lead, arsenic,
and cadmium) should be disposed of by one of the options listed
below:
• Incineration at a permitted treatment, storage, and disposal
facility (TSDF) or municipal solid waste incinerator that
meets the requirements for a pesticide incinerator and that
ensures complete destruction, and is in compliance with
Clean Air Act emission regulations
• Land disposal at specially designated landfills if incineration
is not available.
Metallo-organic pesticides (not including mercury, lead, arsenic and
cadmium) may be disposed of by one of the options listed below:
Disposal and Storage of Pesticides and Containers
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• Appropriate physical or chemical treatment to recover
heavy metals, followed by incineration or land disposal if
incineration is not available
• Other chemical degradation or deep well injection methods
after consultation with the Regional Administrator.
All organic, inorganic, and metallo-organic pesticides including
organic mercury, lead, arsenic, cadmium, and all inorganic
pesticides may be disposed of by one of the options listed below:
• Chemical deactivation to convert the waste to nonhazardous
with recovery of heavy metal compounds
• Encapsulation and burial in a specially designed landfill if
chemical deactivation is not available.
DISPOSAL OF
CONTAINERS
Pesticides come in various containers, including bags, boxes, and
plastic buckets. After using all of the product, the containers may
still have residues harmful to human health and the environment.
Therefore, the containers need to be disposed of properly to
mitigate any risks. Many of the pesticides only will be used in small
quantities at EPA facilities and may be disposed of by contractors.
EPA facilities should ensure through contractual language that
these provisions are adhered to by the contractor.
Group 1 containers are combustible containers that previously
contained organic or metallo-organic pesticides (not including
organic mercury, lead, arsenic, or cadmium). These containers
should be disposed of by one of the options listed below:
• Incineration in a pesticide incinerator
• Land disposed in a specially designated landfill if
incineration is not available.
Group 2 containers are non-combustible containers that previously
held organic or metallo-organic pesticides (not including organic
mercury, lead, arsenic, or cadmium). These containers should be
managed by one of the options listed below:
• Triple rinsing with an appropriate solvent and returning the
containers in good condition to either the manufacturer or
Disposal and Storage of Pesticides and Containers
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to a drum reconditioner for reuse with the same chemical
class of pesticide
• Triple rinsing with an appropriate solvent and puncturing
them to allow drainage followed by transport to a facility
for scrap metal recycling or disposal.
Group 3 containers are both combustible and non-combustible
containers that previously contained organic mercury, lead, arsenic,
or cadmium. These containers should be managed by:
• Triple rinsing with an appropriate solvent and puncturing
them to allow drainage with final disposal in a sanitary
landfill
• Encapsulating and burying them in a specially designated
landfill if triple rinsing is not performed
STORAGE OF
PESTICIDES AND
CONTAINERS
Storage Facilities
Residues and rinse liquids should be added to spray mixtures in the
field. If this is not appropriate, they should be disposed of in the
manner prescribed for each of the above specified types.
These guidelines are applicable only to those pesticides classified as
highly toxic or moderately toxic and whose labels are required to
bear the signal words "danger," "poison," or "warning" or the skull
and crossbones symbol. Home and garden pesticides, and
pesticides classified as slightly toxic, are not covered under these
guidelines. EPA should inventory and monitor its storage facilities
even if pesticide application is performed by a contractor.
Pesticide storage facilities should be designed to ensure that:
• Pesticides are maintained in a well ventilated room or
building that is equipped with fire protection
• Storage areas have adequate security with locks and fences
• Identification signs should be placed on rooms, buildings,
and fences to advise of the contents and warn of hazardous
nature
• Provisions for personnel and equipment decontamination
are in place
Disposal and Storage of Pesticides and Containers
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• Washwater from decontamination procedures is collected
and managed as a pesticide waste.
Operational Procedures
Safety Measures
Protective Clothing
Storage areas should be operated to ensure that:
• Containers are stored with labels plainly visible
• Pesticides are segregated by formulation and stored under a
sign with the name of the formulation
• Complete inventories with number and identity of containers
in storage are maintained
• Containers are inspected regularly for corrosion and leaks,
and absorbent spill materials are available.
Pesticide storage areas should be managed to ensure that:
• Food, drink and tobacco products are not used or stored in
the pesticide area
• Protective gloves are worn by personnel applying or
handling pesticides (refer to Exhibit 08-2, Pesticide
Compatibility Information Chart, at the end of this chapter
for assistance in selecting gloves made from the proper
material)
• Hand washing is required prior to eating or smoking and
immediately after loading or transferring pesticides
• Periodic physical examinations are performed for personnel
using organophosphate orN-alkyl carbamate.
Personnel handling or applying pesticides should be equipped with:
• Protective clothing when handling concentrated pesticides
• Respirators or gas masks when handling certain pesticides
to protect from absorption of the pesticides through skin
and inhalation of fumes. Respirators or gas masks with
proper canisters approved for the particular type of
exposure noted in the label directions should be used.
Disposal and Storage of Pesticides and Containers
08-9
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(Refer to Exhibit 08-2, Pesticide Compatibility Information Chart,
for assistance in selecting protective clothing and respirators.)
PESTICIDE - All remaining wash water from rinsing pesticide containers and
RELATED WASTE other pesticide-related waste should be managed as excess
STORAGE AND pesticides and disposed of as such. These wastes should not be
DISPOSAL disposed of by adding them to an industrial effluent stream if (1)
like wastes are not already part of the effluent stream, and if (2) the
addition would result in a violation of the standards established
pursuant to sections 304 and 307 of the Federal Water Pollution
Act as amended. Exhibit 08-3 at the end of this chapter provides a
list of suggestions for safe storage.
Disposal and Storage of Pesticides and Containers
08-10
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Federal Insecticide. Fungicide, and Rodenticide Act
Section 08-05
Worker Protection Standards and Certification of Pesticide Applicators -
40 CFR Parts 170-171
INTRODUCTION
WORKER
PROTECTION
STANDARDS
SUBPART A -
PROVISIONS
CERTIFICATION OF
PESTICIDES
APPLICATORS
Workplace practices designed to reduce the risks of illness or injury
resulting from occupational exposure are discussed in 40 CFR Part
170. Requirements for certifying pesticide applicators are discussed
in 40 CFR Part 171.
Under FIFRA (7 U.S.C. 136 et seq.) section 12(a)(2)(6), it is
unlawful for any person "to use any registered pesticide in a manner
inconsistent with its labeling."
This part outlines the training and certification requirements for
commercial applicators of restricted use pesticides.
Guidance: EPA contract personnel should ensure that all
pesticide service contracts specify the appropriate training and
certification requirements for the pesticide applicators. Facilities
should maintain documentation on-site verifying that commercial
applicators of pesticides at their facilities are certified by their
state, county or municipality. At a minimum, contractor pesticide
applicators should meet training provision specified by
certification in accordance with 40 CFR Part 170 Subparts B&C
as -well as any additional training provisions required by a
certification issued pursuant to 40 CFR 171.
Exhibit 08-4, Sample Pesticide Applicator Record Book, provides
an example of an on-site log used for maintaining records of
pesticide applicators.
Worker Protection Standards and Certification of Pesticide Applicators
08-11
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Federal Insecticide. Fungicide, and Rodenticide Act
Section 08-06
Subpart A - Federal Issuance of Experimental Use Permits -
40 CFR Part 172
INTRODUCTION
GENERAL
REQUIREMENTS
SCOPE OF
REQUIREMENTS
This part outlines the procedures for persons wishing to accumulate
information necessary to register pesticide products not registered
or register pesticide products for a different use under Section 3 of
FIFRA.
Guidance: This part is primarily applicable to persons applying to
register pesticides. EPA facilities conducting special projects
related to pesticide registrations may be subject to the following
provisions under this section.
Experimental use permits are required when persons seek to gather
information necessary to register a new pesticide or register a
previously approved pesticide for a new use.
Experimental use permits are not required when substance or
mixture of substances is put through greenhouse or laboratory tests
or limited field trials for the sole purpose of determining the
substance's value as a pesticide or determining its toxicity or other
properties. To receive this exclusion, facilities should not exceed
the following experiment limits:
• For the purposes of paragraphs (b)(lX") and (b)(l)(iii) of
this section, the following types of experimental tests are
presumed not to need an EUP:
- A small-scale test involving use of a particular
pesticide that is conducted on a cumulative total of
no more than 10 acres of land per pest, except that:
•• When testing for more than one target pest
occurs at the same time and in the same
locality, the 10 acre limitation shall
encompass all of the target pests.
•• Any food or feed crops involved in, or
affected by, such tests (including, but not
limited to, crops subsequently grown on such
land which may reasonably be expected to
contain residues of the tested pesticides)
Subpart A - Federal Issuance of Experimental Use Permits
08-12
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shall be destroyed or consumed only by
experimental animals unless an appropriate
tolerance or exemption from a tolerance has
been established under the Federal Food,
Drug, and Cosmetic Act (FFDCA) for
residues of the pesticide.
- A small-scale test involving the use of particular
pesticide that is conducted on a cumulative total of
no more than 1 surface acre of water per pest,
except that:
When the testing for more than one target
pest occurs at the same time and in the same
locality, the 1 acre limitation shall encompass
all of the target pests.
•• Waters which are involved in or affected by
such tests are not used for irrigation
purposes, drinking water supplies, or body
contact recreational activities.
•• Testing shall not be conducted in any waters
which contain or affect fish, shellfish, plants,
or animals taken for recreational or
commercial purposes and used for food or
feed, unless an appropriate tolerance or
exemption from a tolerance has been
established under the FFDCA for residues of
the pesticide.
- Animal treatment tests involving the use of a
particular pesticide that are conducted only on
experimental animals, which will not be used for
food or feed, unless an appropriate tolerance or an
exemption from a tolerance has been established for
animal products and byproducts under the FFDCA
for residues of the pesticide.
Guidance: Facilities requesting an experimental use permit should
submit an application in triplicate to the Registration Division,
Office of Pesticide Programs, EPA, Washington, DC 20460 as far
in advance as possible of the intended shipment date. Permits are
usually approved for one year. Extensions may be requested.
Subpart A - Federal Issuance of Experimental Use Permits
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Contents of the applications should follow the requirements in 40
CFR section 172.4 and include the following:
• General information including name, address, purpose and
objectives of proposed testing, a description of the
proposed testing procedure, description and specific results
of any appropriate prior testing of the product conducted
by the applicant, and proposed method of storage and
disposition of any unused experimental use pesticide and
its container
• Requirement for tolerance if the experimental use pesticide
may result in residue that can reasonably be expected to
result in or on food or feed, the applicant should follow the
requirements under 40 CFR 172.4(2) including the
submission of evidence that a tolerance or exemption has
been established, submission of a petition proposing an
establishment of a tolerance or exemption of a tolerance
under section 408 of the federal Food, Drug and Cosmetic
Act or exemption of a regulation under section 409 of the
Food, Drug and Cosmetic Act.
Subpart A - Federal Issuance of Experimental Use Permits
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Section 08-07
Pesticide Regulations Under Other Federal Statutes
INTRODUCTION
FOOD. DRUG. AND
COSMETICS ACT
fFDCAl
CLEAN AIR ACT
FEDERAL WATER
POLLUTION
CONTROL ACT OF
1972 fFWPQ
SOLID WASTE
DISPOSAL ACTS
fSWDAl
OCCUPATIONAL
SAFETY AND
HEALTH ACT fOSHAl
Federal statutes other than FIFRA include provisions regulating
pesticides. These statutes may involve regulatory authority under
other federal agencies. Below is a summary of the other federal
statutes that regulate pesticides.
FDCA enables EPA to set tolerances for pesticide residues in food.
Tolerances are usually set two orders of magnitude below the level
at which the pesticide has a demonstrated adverse effect on
experimental animals.
Pesticides may be regulated under section 112 of the CAA
pertaining to hazardous air pollutants (HAPs). Hazardous air
pollutants are defined as substances which "no ambient air quality
standard is applicable and which in the judgment of the
Administrator may cause or contribute to an increase in mortality or
an increase in severe irreversible or incapacitating reversible
illness." The aerosols resulting from pesticide application may be
considered HAPs in some cases, but this section of the CAA has
not been applied to pesticides thus far.
At least three provisions of the FWPC are applicable to pesticides.
Under section 301, pesticide manufacturers must apply for
discharge permits if they release effluent into any body of water.
Hazardous and ubiquitous pesticides may be controlled under
section 307 governing "toxic substances." Within one year of being
listed as a "toxic substance," industrial users are required to achieve
the special discharge standards set for the chemical. Section 208
identifies and oversees agricultural pollution, regulated at the state
level.
Section 204 of the SWDA, as amended by the Resource
Conservation and Recovery Act of 1976, gave EPA limited
authority to conduct research, training, demonstrations, and other
activities regarding pesticide storage and disposal. RCRA gave
EPA an important tool for controlling the disposal of pesticides,
particularly the waste from pesticide manufacturers.
EPA and the Department of Labor share overlapping authority
under FIFRA and OSHA for protecting agricultural workers from
pesticide hazards. In 1990, EPA and the Department of Labor
Pesticide Regulations Under Other Federal Statutes
08-15
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Safety, Health and Environmental
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Federal Insecticide. Fungicide, and Rodenticlde Act
concluded a memorandum of understanding (MOU) to facilitate
joint enforcement of their laws.
FEDERAL
PESTICIDES
MONITORING
PROGRAM
ADDITIONAL
INFORMATION
Federal agencies work together to monitor the impact of pesticides
to human health and the environment. The Food and Drug
Administration (FDA) and the United States Department of
Agriculture (USDA) assist EPA in monitoring pesticide residues in
food. The FDA poison control center compiles current statistics on
chemical poisoning in people. The USDA Animal and Plant Health
Inspection Service conducts spot checks on pesticides in meats and
poultry based on samples taken at slaughter houses. The
Department of Interior (DOI) samples pesticide residues in fish and
performs experiments to determine the effects of pesticides
introduced into aquatic environments. DOI also conducts periodic
nationwide water sampling. The National Oceanic and
Atmospheric Administration monitors aquatic areas for pesticide
levels. The Department of Transportation records accidents
involving pesticides in shipping and distribution.
Several organizations have been established to provide the
governmentand the public with additional information on pesticides.
Exhibit 08-5 provides a selected list of these contracts.
Pesticide Regulations Under Other Federal Statutes
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Section 08-08
Integrated Pest Management
INTRODUCTION
APPROACHES
Integrated pest management (IPM) programs combine chemical,
cultural, and biological practices into one program to manage pest
populations. IPM stresses non-chemical forms of pesticide
management. IPM incorporates preventive practices, such as
timely planting, crop rotation, and surveying fields for pest density;
remedial practices, such as timely and spot spraying of pesticides
only when required; and guidelines for considering economic
thresholds, which ure reached when pests damage enough crops to
make growing the crops uneconomical. These practices reduce the
amount of chemical? used by applying pesticides only when
necessary at the mir'mum effective rate.
EPA has jo'ned .vith thi USD A under a Memorandum of
Underst?ntfng signed in August 1994 to provide more biological
and culti'rd '..ethods of pest management which can reduce risks to
human h*alt'. and the ervl/oiment, reduce pesticide resistance, and
ensure economical agrlcn'tural production. Working with pesticide
users, USDA v\ EPA have identified priority crop/pest
combinations th't are vulnerable to having limited efficacious pest
management tools. UCDA has established a competitive grants
program for the:e p.™r'ty research needs and EPA has committed
to expedit'ng the re3«s*r?tion of new pesticide products which result
from this research.
EPA shoal 1 work w*t! 15 pesticide contractors to ensure that they
are empL ying irtegn^H pe:t management approaches when
servicing EPA facll^ec. "Tie following c'.a.t provides suggested
IMP techr? yes11>" r-. -ed"ce the oven!l quap.!i*y of pesticides
applied a* E_ A f^ci'I >:.
J2 i.-
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Integrated Pest Management Approaches
Identify and monitor pests
Develop a pesticide needs inventory
Landscape with indigenous plants which promotes natural pest resistance
Practice soil sampling
Purchase pesticides in containers with design features that prevent spilling and
leaking through splashing and dripping
Buy only the amount of pesticide needed
Use first in first out procedures for storage to avoid shelf life issues
Use less persistent, teachable pesticides (consult EPA's list of leachable pesticides)
Use contact pesticides that do not need to be incorporated into the soil
Do not exceed recommended application rates
Avoid excess mixing of pesticides
Keep applicator equipment properly calibrated to control pesticide droplet size and
deposition
Add dyes to the pesticides to facilitate uniform application and monitoring rates
Select an appropriate pesticide mixing/loading area, avoiding high runoff areas, to
reduce damage to the environment from spills
Practice spot application of pesticides
Integrated Pest Management
08-18
-------
Safety, Health and Environmental
Management Guidelines December 1997
Federal Insecticide. Fungicide, and Rodenticlde Act
Pesticides Classified for Restricted Use '
Active Ingredient
Acrolein
Acrylonitrile
Aldicarb
Ally! alcohol
Aluminum phosphide
Azinphos methyl
Calcium cyanide
Carbofuran
Chlorfenvinphos
Chloropicrin
Formulation
• Sole active ingredient, no
mixtures registered
• In combination with carbon
tetrachloride, no registrations
as the sole ingredient
• As sole ingredient
• No mixtures registered
• All formulations
• Sole active ingredient, no
mixtures registered
• All liquids with concentration
greater than 13.5 percent (pet)
• All other formulations
• Sole active ingredient, no
mixtures registered
• All concentrate suspensions
and wettable powders 40% and
greater
• All granular formulations
• All granular and fertilizer
formulations
• All concentrate solutions or
emulsifiable concentrates 21%
and greater
• All formulations greater than
2%
• All formulations
• All formulations 2% and less
Criteria Influencing Restriction
• Inhalation hazard to humans.
Residue effects on avian species
and aquatic organisms
• Accident history of both
acrylonitrile and carbon
tetrachloride products
• Accident history
• Acute dermal toxitity
• Inhalation hazard to humans
• Same as above
• Same as above
• Acute inhalation toxicity
• Acute dermal toxicity
• Acute inhalation toxicity
• Hazard ton non-target
organisms
1 Adopted from the table in 40 CFR § 152.175.
Exhibit 08-1
08-19
-------
Safety, Health and Environmental
Management Guidelines December 1997
Federal Insecticide, Fungicide, and Rodenticide Act
Active Ingredient
Formulation
Criteria Influencing Restriction
Clonitralid
All wettable powders 70% and
greater
All granulars and wettable
powders
Pressurized sprays 0.55% and
less
Acute inhalation toxicity
Effects on aquatic organisms
Cycloheximide
All formulations greater than
4%
All formulations 0.027 to 4%
All formulations 0.027 and less
Acute dermal toxicity
Demeton
1 pet fertilizer formulation,
1.985 pet granular formulation
All granular formulations,
emulsifiable concentrates, and
concentrated solutions
Domestic uses: Acute oral
toxicity. Acute dermal toxicity
Non-domestic outdoor uses.
Residue effects on avian and
mammalian species
Dicrotophos
All liquid formulations 8% and
greater
Acute dermal toxicity. Residue
effects on avian species (except
for tree injections)
Dioxathion
All concentrate solutions or
emulsifiable concentrates
greater than 30%
Concentrate solutions or
emulsifiable concentrates 30%
and less and wettable powders
25% and less
All solutions 3% and greater
2.5% solution with toxaphene
and malathion
Acute dermal toxicity
Same as above
Eihibit08-l
08-20
-------
Safety, Health and Environmental
Management Guidelines December 1997
Federal Insecticide, Fungicide, and Rodenticide Act
Active Ingredient
Formulation
Criteria Influencing Restriction
Disulfoton
All emulsifiable concentrates
65% and greater, all
emulsifiable concentrates and
concentrate solutions 21% and
greater with fensulfonthion 43%
and greater, all emulsifiable
concentrates 32% and greater
in combination with 32%
fensulfothion and greater
Non-aqueous solution 95% and
greater.
Granular formulations 10% and
greater
Same as above
Acute inhalation toxicity
• Acute dermal toxicfty
• Acute inhalation toxicity
Ethoprop
Emulsifiable concentrates 40%
and greater
All granular and fertilizer
formulations
Acute dermal toxicity
Ethyl parathion
All granular and dust
formulations greater than 2 pet,
fertilizer formulations, wettable
powders, emulsifiable
concentrates, concentrated
suspensions, concentrated
solutions.
Smoke fumigants
Dust and granular formulations
2 pet and below
Inhalation hazard to humans.
Acute dermal toxicity. Residue
effects on mammalian, aquatic,
avian species
Inhalation hazard to humans
Other hazards - accident history
Fenamiphos
Emulsifiable concentrates 35%
and greater
Acute dermal toxicity
Fonofos
Emulsifiable concentrates 44%
and greater
Emulsifiable concentrates
12.6% and less with pebulate
50.3% and less
Acute dermal toxicity
Methamidophos
Liquid formulations 40% and
greater
Dust formulations 2.5% and
greater
Acute dermal toxicity; residue
effects on avian species
Residue effects on avian species
Exhibit 08-1
08-21
-------
Safety, Health and Environmental
Management Guidelines December 1997
Federal Insecticide. Fungicide, and Rodenticide Act
Active Ingredient
Formulation
Criteria Influencing Restriction
Methidathion
All formulations
All formulations
Same as above
Methomyl
As sole active ingredient in 1
pet to 2.5 baits (except 1 pet fly
bait)
All concentrated solution
formulations
90 pet wettable powder
formulations(not in water
soluble bags)
90 pet wettable powder
formulations (in water soluble
bags)
All granular formulations
25 pet wettable powder
formulations
In 1.24 pet to 2.5 pet dusts as
sole active ingredient and in
mixtures with fungicides and
chlorinated hydrocarbon,
inorganic phosphate and
biological insecticides
Residue effects on mammalian
species.
Other hazards - accidents
history
Same as above
Methyl Bromide
All formulations in containers
greater than 1.5 Ib.
Containers with no more than
1.5 Ib of methyl bromide with
0.25 pet to 2.0 pet chloropicrin
as an indicator
Container with not more than
1.5 Ib having no indicator
Same as above
Same as above
Exhibit 08-1
08-22
-------
Safety, Health and Environmental
Management Guidelines
Federal Insecticide. Fungicide, and Rodenticide Act
December 1997
Active Ingredient
Formulation
Criteria Influencing Restriction
Methyl parathion
All dust and granular
formulations less than 5 pet
Microencapsulated
All dust and granular
formulations 5 pet and greater
and all wettable powders and
liquids.
Other hazards-accident history.
All foliar applications restricted
based on residue effects on
mammalian and avian species
Residue on effects on avian
species. Hazard to bees
Acute dermal toxicity. Residue
effects on mammalian and avian
species
Nicotine (alkaloid)
Liquid and dry formulations
14% and above
All formulations
Liquid and dry formulations
1.5% and less
Acute inhalation toxicity
Effects on aquatic organisms
Paraquat (dichloride)
and paraquat
bis(methyl sulfate)
All formulations and
concentrations except those
listed below
Pressurized spray formulations
containing 0.44 pet Paraquat
bis(methyl sulfate) and 15 pet
petroleum distillates as active
ingredients
Liquid fertilizers containing
concentrations of 0.025 pet
paraquat dichloride and 0.03
percent atrazine; 0.03 pet
paraquat dichloride and 0.37
pet atrazine, 0.04 pet paraquat
dichloride and 0.49 pet atrazine
Other hazards. Use and
accident history, human
toxicological data.
Phorate
Liquid formulations 65% and
greater
All granular formulations
Acute dermal toxicity
Residue effects on avian species
(applies to foliar applications
only)
Residue effects on mammalian
species (applies to foliar
application only)
Effects on aquatic organisms
Exhibit 08-1
08-23
-------
Safety, Health and Environmental
Management Guidelines December 1997
Federal Insecticide, Fungicide, and Rodenticide Act
Active Ingredient
Formulation
Criteria Influencing Restriction
Phosphamidon
Liquid formulations 75% and
greater
Dust formulations 1.5% and
greater
Acute dermal toxioity
Residue effects on mammalian
species
Residue effects on avian species
Picloram
All formulations and
concentrations except tordon
101R.
Tordon 101R forestry herbicide
containing 5.4 pet picloram and
20.9 pet 2.4-d
Hazard to non-target organisms
(specifically non-target plants
both crop and non-crop)
Sodium Cyanide
All capsules and ball
formulations
Inhalation hazard to humans
Sodium
fluoroacetate
All solutions and dry baits
Acute oral toxicity. Hazard to
non-target organisms. Use and
accident history
Strychnine
All dry baits, pellets and powder
formulations greater than 0.5
pet
All dry baits, pellets and powder
formulations
All dry baits, pellets and powder
formulations 0.5 pet and below
Same as above
Acute oral toxicity. Hazard to
non-target avian species. Use
and accident history
Hazard to non-target organisms
Same as above
Sulfotepp
Sprays and smoke generators
Inhalation hazard to humans
Zinc Phosphide
All formulations 2% and less
All dry formulations 60% and
greater
All bait formulations
All dry formulations 10% and
greater
Acute inhalation toxicity
Hazard to non-target organisms
Acute oral toxicity
Exhibit 08-1
08-24
-------
Safety, Health and Environmental
Management Guidelines December 1997
Federal Insecticide, Fungicide, and Rodenticide Act
Pesticide Compatibility Information Chart
Restricted
Pesticide
•Personal
Protection
** Respirator
Recommendation
Incompatible
Substances
Acrdein
Clothing* Any poss
Goggles: Any possi
Wash. Immed contam
Eyewash (flamm)
NIOSH/OSHA
2.5 ppm: SA:CF/PAPROV
5 ppm: CCRFOV/GMFOV/SCBAF/SAF
§: SCBAF:PD.PP/SAF:PD.PP:ASCBA
Oxidizers, acids, alkalis.
ammonia, amines
(Note: polymerizes readily
unless inhibited)
Acrylonrtnle
Clothing: Repeat
Goggles: Reason prob
Wash: Immed wet
Quick Drench
NIOSH
SCBAF:PD.PP/SAF:PD, PP:ASCBA
Strong oxidizers, aads &
alkalis; bromine; amines
(Note: may polymerize
spontaneously or when
heated in presence of strong
alkali unless inhibited
Ally! alcohol
Clothing: Any
poss/liq/Repeat
Goggles' Reason prob
Wash: Immed contam
Quick Drench
NIOSH/OSHA
50 ppm: SA:CF/PAPROV
100 ppm- CCRFOV/GMFOV/SCBAF/
SAF/PAPRTOV
150 ppm: SAF:PD,PP
§SCBAF:PD. PP/SAF: PD. PP:
ASCBA
Strong oxidizers, acids,
carbon tetrachloride
Azinphos methyl
Clothing. Reason prob
Goggles. Reason prob
Wash: Immed contam
Quick Drench
NIOSH/OSHA
2mg/m3: SA/SCBA/CCROVDMFu
5mg/m3: PAPROVDMFu/SA.CF
10 mg/m3:
CCRFOVHiE/PAPRTOVHiE/SAT CF/SC
BAF/SAF/GMFOVHiE
20mg/m3: SAPD.PP
§: SCBAF. PD.PP/SAF:PD.PP.ASCBA
Strong oxidizers, acids
Chloropicrin
Clothing: Any poss
Goggles: Any poss
Wash: Immed contam
Eyewash, quick drench
NIOSH/OSHA
2.5ppm: SArCF/PAPROV
4 ppm: SCBAF/SAF/CCRFOV/GMFOV
§: SCBAF:PD. PP/SAF:PD. PP: ASCBA
Strong oxidizers
(Note: With strong initiation,
the heated material under
confinement will detonate)
Demeton
Clothing: Any poss
Goggles: Any poss
Wash: Immed contam
Eyewash, quick drench
NIOSH/OSHA
1 mg/m3: SA/SCBA
2.5mg/m3: SACF
5mg/m3: SCBAF/SAF/SAT: CF
20 mg/m3: SA:PD:PP
§: SCBAF:PD, PPP/SAF:PD. PP:
ASCBA
Strong oxidizers, alkalis,
water
Endrin
Clothing- Any poss
Goggles: Any poss
Wash: Immed contam
Eyewash, quick drench
NIOSH/OSHA
1 mg/m3: CCROVDMFu/SA/SCBA
2.5mg/m3: SACF/PAPROVDMFu
5 mg/m3:
CCRFOVHiE/SCBAF/SAF/GMFOVhiE/P
APRTOVHiE/SAT:CF
100mg/m3- SAPD.PP
200mg/m3: SAF:PD, PP
§SCBAF:PD. PP/SAF:PD.PP:ASCBA
Strong oxidzers, strong
acids, parathion
Exhibit 08-2
08-25
-------
Safety, Health and Environmental
Management Guidelines December 1997
Federal Insecticide. Fungicide, and Rodentlcide Act
Restricted
Pesticide
EPN
Hydrocyanic acid
Methyl Bromide
Nicotine
(alkaloid)
Sodium Cyanide
Sodium
fluoroacetate
Strychnine
•Personal Protection
Clothing Anyposs
Goggles: Anyposs
Wash: Immedcontam
Eyewash, quick drench
Clothing: Any poss
Goggles: Anyposs
Wash" Immedcontam
Eyewash, quick drench
Clothing: Anyposs
Goggles Reason prob
Wash. Immedwet
Quick drench
Clothing Anyposs
Goggles: Anyposs
Wash Immed contam
Eyewash, quick drench
Clothing: Any poss
Goggles: Anyposs
Wash- Immedcontam
Eyewash, quick drench
Clothing: Anyposs
Goggles: Reason prob
Wash: Immedcontam
Quick drench
Clothing: Repeat
Goggles: NR
Wash: Prompt contam
"Respirator
Recommendation
NIOSH/OSHA
5 mg/m3: SA/SCBA
12.5 mg/m3: SA:CF
25 mg/m3: SCBAF/SAF/SATCF
50 mg/m3: SA.-PD.PP
§SCBAF:PD,PP/SAF:PD.PP:ASCBA
NIOSH/OSHA
47 ppm: SA/SCBA
50 ppm: SACF/SCBAF/SAF
§: SCBAF-PD.PP/SAF:PD,PP:ASCBA
NIOSH
SCBAF:PD.PP/SAF:PD1PP.ASCBA
NIOSH/OSHA
5mg/m3: SA/SCBA
12.5 mg/m3: SA:CF
25mg/m3: SCBAF/SAF/SAT:CF
35mg/m3: SAF:PD,PP
§ SCBAF: PD.PP/SAF; PD, PP:ASCBA
NIOSH/OSHA
50mg/m3: SA/SCBA
§: SCBAF: PD, PP/SAF:PD,PP:ASCBA
NIOSH/OSHA
0.25 mg/m3. DM
0.5mg/m3: DMXSQ/SA/SCBA
1.25mg/m3: PAPRDM/SA:CF
2.5mg/m3: PAPRTHiE/SCBAF/SAF
HiEF/SAT:CF
5mg/m3: SAPD.PP
§: SCBAF:PD,PP/SAF:PD,PP:ASCBA
NIOSH/OSHA
0.75mg/m3: DM
1.5mg/m3: DMXSQ/SA/SCBA
3mg/m3: PAPRDM/SA:CF/HiEF/SCBAF/
SAP
§: SCBAF:PD.PP/SAF:PD/PPASCBA
Incompatible Substances
Strong oxidizers
Amines, oxidizers, acids,
sodium hydroxide, calcium
hydroxide, sodium
carbonate, water, caustics,
ammonia
(Note: Can polymerize at
122-140; F)
Aluminum, magnesium,
strong oxicfizere
(Note: Attacks aluminum to
form aluminum trimehtul
which is spontaneously
flammable)
Strong oxidizers, acids
Strong oxidizers, such as
acids, acid salts, chlorates &
nitrates
None
Strong oxidizers
Exhibit 08-2
08-26
-------
Safety, Health and Environmental
Management Guidelines December 1997
Federal Insecticide. Fungicide, and Rodenticide Act
Restricted
Pesticide
TEPP
•Personal
Protection
Clothing- Anyposs
Goggles. Anyposs
Wash: Immedcontam
Eyewash, quick drench
"Respirator
Recommendation
NIOSH/OSHA
0.5mg/m3 SA/SCBA
1.25mg/m3: SA:CF
2.5 mg/m3: SCBAF/SAF/SAT/CF
10mg/m3: SA:PD.PP
§: SCBAF:PD,PP/SAF:PD,PP:ASCBA
Incompatible
Substances
Strong oxidzers. alkalis.
water
(Note: Hydrolyzes quickly in
water to form
pyrophosphoric aad)
§ — Emergency or planned entry into unknown concentrations or IDLH conditions
If concentration is not noted, recommendation applies to all concentrations
'Legend to Personal Protection Recommendations
Clothing—Workers should wear appropriate equipment to prevent:
Anyposs
Repeat
Reason prob
Any poss/liq/repeat
—Any possibility of skin contact
— Repeated or prolonged skin contact
— Reasonable probability of skin contact
— Any possibility of liquid contact and repeated or prolonged vapor
contact with skin
Goggles — Workers should wear eye protection when:
Any poss — Any possibility of eye contact
Reason prob — Reasonable probability of eye contact
Wash — Workers should wash:
Immed contam — Immediately wash when skin becomes contaminated
Immed wet — Immediately wash when skin becomes wet
Prompt cont — Promptly wash when skin becomes contaminated
"Legend to Respirator Recommendations
Acronym Definition
SA Supplied air respirator
SCBA Self-contained breathing apparatus
HiEF Air-purifying. fulMace piece respirator with a high efficiency particubte filter
CCRFOV Any chemical respirator with full-face piece and organic vapor cartridge(s)
CCRFOVHiE Any chemical respirator with fulMace piece and organic vapor cartndge(s) in combination with a high-efficiency particubte
filter
CCRCVDMFu Any chemical respirator with fun-face piece and organic vapor cartridge(s) In combination with a dust. mist, and fume filer
DM Any dust and mist respirator
DMXSQ Any dust and mist respirator except single-use and quarter-mask respirators
GMFOV Any air-purifying, fulMace piece respirator (gas mask) with a chin-style, front- or backmounted organic vapor canister
GMFOVHiE Any air-purifying, full-face piece respirator (gas mask) with a chin-style, front- or backmounted organic vapor canister
having a high-efficiency paiteutate flRer
HIEF Any air-purifying, fulMace piece respirator wtti high efficiency paniculate filter
PAPRDM Any powered, air-purifying respirator with a dust and mrst fitter
PAPRhEE Any powered, air-purifying respirator with a high efficiency paniculate liter
PAPROV Any powered, air-purifying respirator with organic vapor cartridges
PAPROVOMFu Any powered, air-purifying respirator with organic vapor cartridge(s) hi combination with a dust. mist, and fume filter
PAPRTOV Any powered, alr-punfyhg respirator with a tight-fitting facepteoe and organic vapor cartridges)
SAF Any supplied air respirator with a full facepiece
SAF:PO.PP Any supplied air respirator with a f ul facepiece and is operated In a pressure-demand or other positive pressure mode
SAF:PO.PP ASC Any suppled air respirator with a ful facepleoe and is operated In a pressure-demand or other positive pressure mode In
BA combination with an auxlary self-contained breathing apparatus operated hi a pressure-demand or other positive
pressure mode
SA:PD,PP Any supplied air respirator operated In a pressure-demand or other positive pressure mode
SATCF Any supplied air respirator that has a tight-ftting facepiece and b operated hi a continuous flow mode
SCBAF Any setf-contained breathing apparatus with a ful facepiece
SCBAF-PD.PP Any self-contained breathing apparatus wtti a ful facepteoe and b operated hi e pressure-demand or other positive
pressure mode
Exhibit 08-2
08-27
-------
Safety, Health and Environmental
Management Guidelines December 1997
Federal Insecticide, Fungicide, and Rodenticide Act
Suggestions for Safe Storage
Several straightforward actions can be taken to ensure pesticides are stored safely at EPA
facilities. The following simple checklist identifies several of these safe practices.
S Keep pesticide materials in a locked room or cabinet.
/ Store containers in an upright position and off the ground.
S Glass bottles should always be stored within a metal can, not necessarily closeable such as
a coffee can, to contain spillage if the bottle breaks.
/ Be sure that all caps are tightened securely on bottles and cans. Remove and properly
dispose of all leaky containers.
/ Maintain a pesticide inventory for the storage area.
/ Do not store weed killers close to other materials such as wettable powders, dust
formulations, or granular insecticides. Weed killers such as 2,4-D and 2,4,5-T are highly
volatile and can contaminate other materials especially when placed in close contact in
confined quarters.
/ Store wettable powders, dusts, and granules of pesticide products in a cool, dry place.
/ Do not store liquid pesticides in a place where the temperature will fall below 40 degrees
F.
/ Avoid storing pesticides in sunlight — photo degradation of resins in plastic containers
and container fixtures may weaken and break at the point of attachment, especially if the
container is plastic and the fixtures are metal.
/ Do not carry over pesticide products whose labels have been lost or are not complete and
legible
/ Purchase pesticides in the smallest quantity necessary. This practice will reduce storage
problems and eliminate any potential shelf life issues.
/ Keep a spill cleanup kit in the pesticide storage and mixing area.
Exhibit 08-3
08-28
-------
Safety, Health and Environmental
Management Guidelines December 1997
Federal Insecticide, Fungicide, and Rodenticide Act
Sample Pesticide Applicator Record Book
Handler's Name Certification Expiration Application Area of Application
George Smith P048356793002 12/31/97 9/21/95 Area Surrounding
Exhibit 08-4
08-29
-------
Safety, Health and Environmental
Management Guidelines December 1997
Federal Insecticide, Fungicide, and Rodentlcide Act
Contacts for Additional Pesticide Information
Pesticide Information Network (PIN)
Provides contacts directory, pesticide applicator training bibliography, pesticide monitoring
inventory, pesticide environmental fate and effects data summaries, and current regulatory
information on pesticides in special review, canceled or suspended pesticides and restricted use
product information.
Primary Contact: Leslie Davies Milliard
Telephone: (703) 305-7499
Fax: (703) 305-6309
Access: Personal Computer and Modem
Hours: 24 hours a day, 7 days a week
National Pesticide Telecommunication Network (NTPN)
Free service providing a variety of information concerning pesticides; pesticide product
information; information on recognition and management of pesticide poisonings; toxicology and
symptomatic reviews; referrals for laboratory analyses, investigation of pesticide incidents, and
emergency treatment information; safety information; health and environmental effects; and
cleanup and disposal procedures.
Primary Contact: Dr. Jack Hayes
Telephone: (800) 858-7378 (general public)
(800) 858-7377 ( Medical and government personnel)
Fax: (806) 743-3094
Hours: 8 AM to 6 PM (Central)
National Pesticide Information Retrieval System (NPIRS)
Subscription database of the Center for Environmental and Regulatory Systems (CERIS).
Provides information on pesticide products (current and historical) which have been registered by
EPA. Registration support documents, commodity/tolerance data, Material Safety Data Sheets,
Fact Sheets, and state product registration data are provided. Includes access to CERIS-Net,
which provides e-mail and news, EPA Pesticide Regulatory (PR) Notices, the full text of the
Federal Register updated daily, and the Code of Federal Regulations for EPA, USDA, Labor,
Transportation, and FDA.
Primary Contact: Virginia Walters
Telephone: (317) 494-6614
Fax:(317)494-9727
Hours: 8 AM to 5 PM (Eastern)
Exhibit 08-5
08-30
-------
Safety, Health and Environmental
Management Guidelines December 1997
Federal Insecticide. Fungicide, and Rodentlcide Act
Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA) Docket (PESTICIDES
DOCKET)
The docket consists of the Federal Register Docket which houses background documents and
public comments on proposed action announced by the Office of Pesticide Programs (OPP) in the
Federal Register, the Special Review and Registration Standard Docket which includes all
Position Documents, Registration Standards, Science Chapters, public comments, references,
letters, other pesticide documents received by OPP, and minutes of meetings between EPA and
outside parties concerning pesticides under Special Review and those evaluated in the
Registration Standards process, and Special Dockets, which are created when OPP wants to place
documents on public display.
Primary Contact: Robin Cames
Telephone: (703) 305 -5805
Fax: (703) 305-5884
Hours: 8 AM to 4:30 PM
Physical Location
US Environmental Protection Agency
Office of Pesticide Programs Public Docket
Crystal Mall, Building #2, Room 1132
1921 Jefferson Davis Highway
Arlington, VA 22202
Exhibit 08-5
08-31
-------
Safety, Health and Environmental
Management Guidelines December 1997
Federal Insecticide, Fungicide, and Rodenticide Act
List of Acronyms
CAA Clean Air Act
DOI Department of Interior
DOT Department of Transportation
FDA Food and Drug Administration
FDCA Food, Drug and Cosmetics Act
FIFRA Federal Insecticide, Fungicide and Rodenticide Act
HAP Hazardous Air Pollutant
IPM Integrated Pest Management
NPDES National Pollution Discharge Elimination System
OSHA Occupational Safety and Health Act
POTW Publicly Owned Treatment Works
SDWA Safe Drinking Water Act
TSDF Treatment, Storage and Disposal Facility
USDA United States Department of Agriculture
Exhibit 084
08-32
-------
SAFETY, HEALTH, AND
ENVIRONMENTAL MANAGEMENT
PROGRAM GUIDE
Guide No.
Issued A/77
Revised --
TOXIC SUBSTANCES CONTROL ACT (TSCA) PROGRAM
SCOPE OF THE PROGRAM
This Program Guide provides an overview of
the requirements EPA facilities must fulfill to
comply with the regulations, guidance, and
procedures associated with the Toxic
Substances Control Act (TSCA) Program.
TSCA was enacted by Congress in 1976 to
provide a regulatory framework for
comprehensively dealing with risks posed by
the manufacture and use of chemical
substances. TSCA covers a diverse set of
requirements including premanufacture
notification, chemical testing, recordkeeping
and reporting, chemical importing and
exporting, the voluntary 33/50 program,
imminent hazard provision, and specific
restrictions on chemicals considered high
risk (e.g., asbestos, polychlorinated
biphenyls (PCBs), chlorofluorocarbons
(CFCs), dioxins). The key TSCA issue with
EPA facilities is the management of PCBs;
therefore, the focus of this Program Guide is
on PCBs. In particular, this program guide
provides information on the management of
PCBs including their use in electrical
equipment, research and laboratory
analysis, and manifestation and ultimate
disposal.
REGULATORY REQUIREMENTS
The key or basic elements of this program
required by law and/or EPA policy are to:
Ensure PCBs at concentrations equal to
or exceeding 50 parts per million (ppm)
are managed in accordance with the
TSCA regulations
Ensure PCB concentration levels are not
diluted below the 50 ppm limit
environment unless otherwise stated in
the regulations
Place markings on all PCB containers
and equipment in accordance with the
regulations
Comply with PCB storage and disposal
requirements in accordance with the
TSCA regulations
Keep records on file as described in the
TSCA regulations
Comply with notification and reporting
requirements.
AUTHORITIES
The following documents are the sources of
the legal authority that establish the
applicability and requirements of this
program.
Toxic Substance Control Act, 15 United
States Code, 2601, et seq.
Title 40 Code of Federal Regulations
(CFR), Part 761
EPA Safety, Health, and Environmental
Management Guidelines
EPA Facility Safety, Health, and
Environmental Management Manual
REFERENCES
The documents listed below can help you
implement this program and specifically are
intended for facility operations.
Manage PCBs in a totally enclosed
-------
Environmental
Government Institutes. Inc.. 9th Edition
May 1987 .
Environmental Rennrtpr Bureau of
National Affairs
IMPLEMENTATION ACTIVITIES
The following list gives an overview of the
activities that this program will require To
implement and operate this program you
must: 7
Manage PCB-containing materials
whose concentration levels are equal to
or exceeding 50 ppm in accordance with
federal, state, and local TSCA
requirements applicable to laboratory
operations
Manage PCBs in a totally enclosed
manner unless otherwise
authorized under the TSCA regulations
Insist that all PCB containers and
equipment be properly marked or
labeled in accordance with the TSCA
regulations or separate PCB permits
Store and dispose of PCBs in
accordance with TSCA regulations
Develop procedures for organizing and
compiling facility records in accordance
with the TSCA regulations
Be familiar with notification and reporting
requirements under TSCA.
IMPLEMENTATION IMPLICATIONS
The management systems and internal
controls required to implement this program
include:
Procedures to ensure compliance with
federal, state, and local TSCA PCB
requirements
PCB inventory control to track the types
and quantities of PCBs and PCB items
used, handled, stored, and disposed of
A system to manage facility records
A system for tracking changes to PCB
regulations under TSCA
TSCA training to promote staff
awareness and educate staff on specific
implementation procedures assobiated
with PCBs.
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Section 09-01
Table of Contents
TSC 09-01 Table of Contents
TSC 09-02 Introduction
Purpose 09-3
Scope 09-3
Authority . . . . . . . ... 09-3
Policy . . 09-3
Objectives . . . . 09-3
Responsible Officers . 09-4
References . 09-4
TSC 09-03 PCB Management 40 CFR Part 761
PCB Definitions . . 09-7
General Applicability ... . 09-7
Authorizations . 09-10
Marking Requirements 09-13
Marking PCB Standards . 09-14
PCB Disposal . . . . 09-14
Storage for Disposal . .. 09-17
Recordkeeping . . . . . ..... . 09-21
EPA Identification Numbers . .... ... 09-23
Notification of Waste Activity .... . . . ... 09-23
Manifests . . 09-23
Retention of Manifests . . 09-25
TSC 09-04 Exhibits
Exhibit 09-01 PCB Transformer Inspection Log . . . 09-27
Exhibit 09-02 DOT Specification Containers for Storing PCBs 09-29
Exhibit 09-03 Annual PCB Document . . . 09-30
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Section 09-02
Introduction
PURPOSE This chapter provides policy, guidance, information and procedures to
ensure that EPA laboratories operate in full compliance with EPA
regulations on PCB management.
SCOPE
This chapter addresses PCB management at EPA facility operations,
including the use of PCBs in electrical equipment, use in research and
laboratory analysis, and storage and manifesting of PCBs for ultimate
disposal
AUTHORITY
Section 6 (e) of the Toxic Substances Control Act (TSCA) and regulations
promulgated pursuant to TSCA found at 40 CFR Part 761
POLICY
EPA facilities and operations shall comply with the requirements set forth
in the Code of Federal Regulations, Title 40 Part 761, this Chapter,
applicable Office of Toxic Substances memoranda and policy documents,
and other applicable federal, state, county and municipal regulatory
requirements relating to management of PCBs
OBJECTIVES
Effective PCB management is designed to:
• Protect employees, the public and the environment from PCB
contamination
• Increase employee awareness of the safety, health, and environmental
risks associated with PCBs
• Promote sustained regulatory compliance at EPA laboratory
operations.
RESPONSIBLE
OFFICERS
Due to the varied nature of PCB operations at EPA facilities, the
responsibility for PCB management may fall under the purview of several
facility representatives. Typically, the use and disposal of PCBs in the
laboratory is handled by the Safety, Health and Environmental
Management (SHEM) Managers, while the management of PCB
equipment such as transformers is often supervised by facility engineers and
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maintenance staff In addition, analytical and research staff must be
cognizant of PCB management requirements to ensure that PCB standards,
experimental residues, and wastes are managed to avoid unacceptable risks
Finally, prudent PCB waste handling is esential where PCBs are mixed with
hazardous or radioactive waste streams
REFERENCES Topics discussed in this chapter were developed from the following
sources:
• OCJFR Part 761
• 40 CFR Section 268.32
• 49 CFR Parts 172 and 173
• Federal Register. December 21, 1989 (53 FR 52752)
• Federal Register December 21,1990 (55 FR 52402)
• Federal Register. December 20, 1991 (56 £R 66124)
• Federal Register June 23, 1993 (58 FR 34205)
• Federal Register. December 6, 1994 (59 FJL 62787)
• Memo. Denise Keehner, Chief, Chemical Regulation Branch, Office of
Toxic Substances (OTS), to Howard Wilson, Manager, Environmental
Compliance Program, August 13,1987
• Memo. Denise Keehner, Chief, Chemical Regulation Branch, OTS, to
Howard Wilson, Manager, Environmental Compliance Program,
October 20, 1988
• Memo. John Smith, Acting Chief, Chemical Regulation Branch, OTS,
to Howard Wilson, Chief, Environmental Compliance Branch,
September 25, 1989
• TSCA PCB Compliance Program Policy 6-PCB-2, A.E Conroy H,
Director Compliance Monitoring Staff, OTS, August 16, 1983
• TSCA PCB Compliance Program Policy 6-PCB-6, A E. Conroy H,
Director Compliance Monitoring Staff, August 16, 1983.
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(Note Copies of TSCA Compliance Program Policies may be obtained by
calling the TSCA Hotline at 202-554-1404 )
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DEFINITIONS
PCB Article
PCB Article Container
PCB Authorizations
PCB Container
PCB Equipment
PCB Large Capacitor
PCB Small Capacitor
PCB Transformer
Section 09-03
PCB Management - 40 CFR Part 761
Any manufactured article, other than a PCB container, that contains
PCBs and whose surface(s) has been in direct contact with PCBs
This term includes capacitors, transformers, electric motors, pumps,
and pipes
Any package, can, bottle, bag, barrel, drum, tank, or other device
used to contain PCB articles or PCB equipment, and whose
surface(s) has not been in direct contact with PCBs
Provisions of 40 CFR 761.30 that allow certain uses of PCBs.
Any package, can, bottle, bag, barrel, drum, tank, or other device
that contains PCBs or PCB articles and whose surface(s) has been
in direct contact with PCBs.
Any manufactured item, other than a PCB container or a PCB
article container, that contains a PCB article or other PCB
equipment This term includes microwave ovens, electronic
equipment, and fluorescent lights ballasts and fixtures
A device for accumulating and holding a charge of electricity and
consisting of conducting surfaces separated by 1.36 kg (3 Ib ) or
more dielectric fluid.
A device for accumulating and holding a charge of electricity and
consisting of conducting surfaces separated by less than 1 36 kg (3
Ib) of dielectric fluid
Any transformer that contains 500 ppm PCBs or greater.
GENERAL
APPLICABILITY
(SUBPART A)
SO ppm Limit
Part 761 applies to all persons who manufacture, process, distribute
in commerce, use or dispose of PCBs and PCB items
Unless otherwise indicated, the applicability of the PCB regulations
addressed in this chapter pertain only to PCBs or PCB items in
concentrations equal to or greater than 50 ppm.
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Operations
EPA facilities are not involved in manufacturing or processing
PCBs. EPA facilities do, however, conduct certain laboratory
operations involving PCBs and use electrical equipment containing
PCBs Examples of TSCA-regulated operations typically found at
EPA facilities include:
Dilution
Use-
• Operating and servicing PCB transformers, capacitors, and
other PCB electrical equipment
• Use of small quantities for research and analysis of PCBs, but
not for the development of a PCB product (see authorization
section)
Distribution of quality assurance sample for laboratory analysis
• Performing PCB analysis on soil, water, oil and other samples in
support of Agency environmental program enforcement
• Use of fluorescence microscopy immersion oil containing PCBs
Disposal - Facilities designating PCB items, PCB liquids or PCB
solid waste (soils or rags) for disposal This includes samples and
laboratory waste from PCB analysis that are no longer needed for
enforcement purposes and that will not be returned to the sample
collector.
TSCA requirements for marking and disposal become more
stringent with an increase in PCB concentration. EPA facilities
must be aware that the applicability section of TSCA regulations
(761.1 (b)) clearly states that "No provision specifying a PCB
concentration may be avoided as a result of any dilution, unless
otherwise specifically provided"
An EPA facility would violate the PCB regulations if it mixed < 50
ppm oil with z SO ppm oil in a common container in an attempt to
circumvent the TSCA PCB regulations by reducing the combined
concentration to below regulated levels. Likewise, a facility would
be violating the PCB regulations if when testing waste oil for
disposal it mixed > 500 ppm PCB oil with < 500 ppm PCB oil in
order to avoid the incineration requirement. If these two
concentrations were combined, the mixture must be considered as
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> 500 ppm even if the actual combined concentration is < 500 ppm
due to the dilution*1
1 Certain exceptions to the dilution prohibition have been proposed for
laboratory operations in the 12/6/94 Federal Register (59 FR 62788 )
A few operations pertaining to PCS analysis, however, would not
meet the definition of dilution For example
• Gas chromatograph analysis of PCBs typically involves a
syringe wash step where the injection syringe is cleaned with
solvent between sample injections
Guidance: Facilities should not consider the slight PCB
contamination in the solvent wash as dilution of PCBs and it
should only be treated as PCB waste if resultant concentration is >
50 ppm PCBs. Otherwise the wash waste should be managed as a
solvent waste and be manifested and disposed of accordingly.
Solvent extraction of PCBs from water may result in trace
amounts of residual PCBs remaining in the aqueous layer of the
extraction. According to the TSCA Compliance Program
Policy 6-PCB-2, when PCBs are extracted from water samples,
the organic phase must be disposed according to the resulting
concentration of PCBs or according to the type of solvent
present. The Policy further states that "The aqueous phase may
be disposed of by means of filtration to remove any residual
PCBs (e g activated carbon) provided the filter medium is
disposed of in accordance with the regulations for solids
containing that concentration of PCBs, and the water .. is
discharged in accordance with a National Pollutant Discharge
Elimination System (NPDES) permit granted under the Clean
Water Act"
In the majority of situations, however, EPA facilities should manage
all PCB waste according to the original PCB concentration unless
otherwise directed through Agency policy statements. In order to
fulfill this requirement, facilities should consider tracking PCB
concentrations as PCB materials are stored and managed. Labeling
waste containers only as "PCBs" does not convey whether the
waste is ^50 ppm PCBs or began at such a concentration
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Uncertainty could lead to either increased disposal costs as wastes
are managed conservatively as regulated or improper disposal of
regulated wastes that began at PCB concentrations 250 ppm
AUTHORIZATIONS
(761 30)
Generally, the TSCA regulations prohibit the use of PCBs and PCB
items in any manner other than totally enclosed However, the
TSCA PCB regulations allow for certain uses of PCBs and PCB
items that are not totally enclosed, provided that specific
management conditions are followed These PCBs and PCB items
are described below.
PCB Transformers
Registration - All PCB transformers must be registered with local
fire response personnel (761.30 (a)(l)(vi)) The registration must
provide the
• Location of the transformer (building address and specific room
or outdoor location)
• Principal constituent of the dielectric fluid
• Name and telephone number of person(s) to contact at the
facility in the event of a fire
Guidance: PCB transformer registration information should be
sent by registered mail to verify compliance with this requirement
(the SHEM Manager should maintain this verification on file at
the facility).
Quarterly Inspection - Facility personnel must conduct a quarterly
visual inspection of each transformer in use or stored for reuse.
This can take place any time during January-March, April-June,
July-September, October-December, as long as there is a minimum
of 30 days between inspections (761 30(a)(l)(ix))
The following inspection and maintenance information is required
to be maintained at a facility for three years after disposing of the
transformer (761 30(a)(l)(xii)):
• Location
• Date of inspection
• Person performing inspection
• Location of any leaks
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• Amount of fluid released from any leak
• Date of any cleanup or maintenance
• Description of cleanup or maintenance
Policy: Facilities must prepare a log to record the above required
inspection information. Exhibit 09-01 at the end of this chapter
provides a sample inspection log.
Use Conditions - Facilities are prohibited from using or storing
PCB transformers in a manner that poses an exposure risk to food
or feed
The following table outlines the requirements for operating a PCB
transformer located in or near a commercial building (761.30 (ii-v))
Table 1
PCB Transformer Requirements
Requirements for
PCB Transformers
Located In or Near
Commercial Bldgs
Network with Higher Secondary
Voltage
Network with Lower Secondary
Voltage
Radial with Higher Secondary
Voltage
Radial with Lower Secondary Voltage
Prohibi
ted
after
Oct. 1,
1990
X
Electrical
protection for
high current
faults by
Oct 1, 1990
NA
X
X
X
Electrical
protection
for low
current
faults by
Oct. 1,
1990
NA
X
Registered
with
building
owners as
of Dec 1,
1985*
NA
X
X
X
* This requirement is for the registration of a PCB Transformer with building owners when the transformer is located in
or within 30 meters of a commercial building
PCB Capacitors
After October 1, 1988, PCB large capacitors rated at high and low
voltages must be used only within a restricted access electrical
substation or in a contained and restricted access indoor installation
that also provides containment (761 30(l)(l)(ii))
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PCB Analysis by EPA
Labs for Enforcement
TSCA regulations do not specifically address using PCBsfor EPA
laboratory operations to support enforcement programs for TSCA
and the Comprehensive Environmental Response, Compensation
and Liability Act (CERCLA). The Office of Toxic Substances, in a
October 20, 1988 memo to the Manager of the Environmental
Compliance Program of EHSD, stated that "EPA's authority to
conduct their analysis [on enforcement samples] is an implied
authority; EPA is responsible for enforcement of its PCB
regulations, and it could not effectively enforce without authority to
analyze and maintain samples for enforcement actions."
PCBs in Small
Quantities for
Research and
Development (R&D)
Under the TSCA regulations, laboratories are allowed to usefor
PCBs indefinitely for research and development in a "other than
totally enclosed."
40 CFR 761 3 defines the conditions for operating under this
exclusion. The original package of PCB material must have been in
one or more hermetically sealed containers of 5 ml volume or less,
and the PCBs must be used for scientific experimentation or
analysis and not for the development of a PCB product
The manufacture, processing, or distribution in commerce of small
quantities of PCBs for research and development is permitted only
for persons who have been granted an exemption under TSCA
Guidance: EPA laboratories must make certain that they have
obtained their PCB material from companies who have TSCA
approval for manufacturing small quantities of PCBsfor research
and development (a list of companies is given in 761.80 (g)).
MARKING
REQUIREMENTS
(761 40)
Under TSCA, certain structures, PCB equipment and
PCBcontainers require a PCB mark to be placed on them in
aprominent position. The marking requirement identifies PCBs or
PCB equipment to protect emergency response personnel.
Excessive marking of items such as laboratory doors, gas
chromatographs, or refrigerators is inappropriate and defeats the
intent of the marking provisions. Facilities are required to place
marks on PCB transformers, PCB large high-voltage capacitors,
PCB large low-voltage capacitors when taken out of service, PCB
containers, and PCB storage areas as described below
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PCB Transformers
Facilities operating a PCB transformer (dielectric fluid containing *
500 ppm PCBs) are required to place a large PCB mark on the
transformer PCB contaminated transformers (dielectric fluid with
50 to 500 ppm PCBs) do not require the official PCB mark in 40
CFR 761 45.
Means of Access
Vault doors, machinery room doors, fences or other means of
accessing PCB transformers must be labeled with a PCB mark.
PCB Large High- and
Low-Voltage
Capacitors
Facilities are required to label all large PCB capacitors witha large
PCB mark. If the capacitor is protected behind a fence, or is
installed on a power line pole or other structure, this requirement
may be met by marking the fence, structure or pole The facility
must keep a record in this situation to identify the capacitor
Storage Areas
Each storage area used to store PCBs and PCB items for disposal
must be designated with a PCB mark.
PCB Containers
All containers holding PCBs in concentrations *50 ppm, whether in
storage for disposal or while being collected in the laboratory,
require the large PCB mark
If in any of the above situations a large PCB mark is required but
there is inadequate space to accommodate the mark, a small mark
may be used in its place
MARKING PCB
STANDARDS
(761.45^
The small PCB mark can be reduced proportionally to a minimum
of 1 by 2 cm. While this may not be small enoughto accommodate
the labeling of PCB standard vials, the mark may be used to label
the box in which the PCB standards are stored
PCB DISPOSAL
(761 60)
When PCBs and PCB items are removed from service for final
disposition, disposal must be undertaken in accordance with
specific regulatory standards in 40 CFR 761 60 Generators of
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PCB waste or equipment destined for disposal should identify PCB
concentration and type of PCB item to determine applicable
disposal requirements
Land Disposal
Restrictions Resource
Conservation and
Recovery Act
(RCRA)
Although TSCA is the primary responsible legislation addressing
PCB disposal, regulations promulgated under RCRA have affected
the disposal of hazardous wastes that contains PCBs Specifically,
the land disposal restrictions for "California List" wastes identified
in 40 CFR 268.32 prohibit the land disposal of liquid hazardous
wastes containing PCBs at a concentration of 50 ppm or greater
(effective July 8, 1987) In addition, land disposal restrictions also
apply to nonliquid hazardous wastes containing halogenated
organic compounds (HOCs) (e.g., PCBs) at concentrations greater
than 1,000 ppm (effective November 8, 1988).
These land disposal restrictions only apply, however, when the PCB
waste also meets the definition of hazardous waste Therefore, if
the PCBs are not contained in a hazardous waste, they would not
be subject to the land disposal restrictions Examples of TSCA
laboratory waste regulated by LDR include hexane solvents mixed
with PCBs and PCB degradation study residues (containing >1000
ppm HOCs) The following steps will assist facilities in identifying
their responsibilities for the proper disposal of hazardous waste and
non hazardous waste containing PCBs
• The facility must first identify whether the PCBs are mixed with
a hazardous waste.
• If the PCBs are not mixed with a hazardous waste then they
would not meet the criteria for California list wastes and the
facilities would be subject to the TSCA disposal requirements in
40 £FR 76160.
• If the PCB waste meets the definition of a hazardous waste, the
facility would be subject to both RCRA and TSCA disposal
requirements The RCRA land disposal restrictions are more
stringent than TSCA and therefore would be the most
applicable regulations in this situation
The RCRA land disposal restrictions cover all full quantity
generators, and 100-1000 kg/month generators. Conditionally
exempt small quantity generators are presently excluded from this
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regulation (see 40 CFR Part 268 (c)(4)). Technically, this allows
conditionally exempt generators to continue using chemical waste
landfills for the disposal of mineral oil and other liquid PCBs in
concentrations from SO to 500 ppm having a flash point greater
than 60 degrees Celsius
Guidance: Despite the exemption for conditionally exempt small
quantity generators, EPA facilities should comply \vith the
procedural and substantive provisions of the land disposal
restrictions regardless of their generator status.
The following table outlines the PCB disposal options under TSCA,
taking into account land disposal restrictions under RCRA
Table 2
PCB DISPOSAL OPTIONS FOR EPA LABORATORIES
PCB Category with CFR Section
PCB Transformers -> 500 ppm
1 Undramed (761 60 (b)(l )(i)(A))
2 Drained & solvent flushed
PCB Contaminated Transformers and
other contaminated electrical equip -
50-500 ppm
1 Drained (761 60 (b)(5)(i)(B))
PCB Large Capacitors -> 3 Ibs
dielectric fluid at >500 ppm
(76160(bX2)(in)(A))
PCB Small Capacitors -<3 Ibs
dielectric fld(761 60 (b)(2)(n))
Mineral oil dielectric fluid from PCB
contaminated electric equipment -50-
500 ppm
TSCA
Incinerator
(761 60)
X
X
X
High
Efficiency
Boiler
(76 160) (a))
X
Chemical
Waste
Landfill
(761 75)
X
X
Alternative
Method
(76160(e))
X
Solid
Waste
Disposal
X
X
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PCB DISPOSAL OPTIONS FOR EPA LABORATORIES
PCB Category with CFR Section
Liquids other than mineral oil with 50-
500ppm(761 60(a)(3))
1 Flash Point <60<>c (Ignitable
hazardous waste)
2 Flash Point >60oc (Meets
hazardous waste definition)
3 Flash Point >60°c (Does not meet
hazardous waste definition)
Non liquid PCBs - soil, rags or other
debns >50 ppm (761 60 (a)(4))
1 Does not meet definition of
hazardous waste
2 < 1000 ppm PCBs and meets the
definition of hazardous waste
3 > 1000 ppm PCBs and meets the
definition of hazardous waste
All other PCBs with >50 ppm (761 60
(a)(D)
TSCA
Incinerator
(761 60)
X
X
X
X
X
X
X
High
Efficiency
Boiler
(76 1.60) (a))
X
•
Chemical
Waste
Landfill
(761 75)
X
X
X
Alternative
Method
(76160(e))
X
X
X
Solid
Waste
Disposal
Common Containers
(761 60(g))
PCB testing procedures allow generators to collect waste PCB oil
in a single common container and then test the mixture for PCB
concentration. No other substances or chemical mixtures, such as
non-PCB oils or oils contain more than 500 ppm PCBs may be
added to the container. Laboratories may therefore collect
laboratory waste from research or analysis in the same container
provided that none of the additions to the container affects the
regulatory requirements through dilution (refer to the discussion on
dilution in GENERAL APPLICABILITY)
The common container option also exists for EPA facilities using
PCB equipment to facilitate testing of mineral oil dielectric fluid it
the equipment. Facilities may mix the fluid in a single container,
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before testing, provided that none of the fluid is known or assumed
to contain above 500 ppm PCBs or is categorized as non-PCB oil
STORAGE FOR
DISPOSAL
(761 65)
PCBs or PCB items designated for disposal mustimmediately be
placed in an appropriate DOT specification container and
transferred to proper storage to await disposal That date on which
the PCBs or PCB items were taken out of service must be marked
on the PCB article or container. The facility must remove the
article or container and properly ensure its disposal within one year
from the date it was placed into storage for disposal For example,
a PCB transformer placed into storage for disposal on June 1 would
have to be incinerated by June 1 of the following year
Although the PCB regulations provide a total of one year to
dispose of PCB waste, the generator of PCB waste, according to
TSCA Compliance Policy 6-PCB-6, must allow the disposal facility
90 days in which to dispose of the waste before the one-year
deadline occurs. The policy states that "EPA will allocate
enforcement liability for a failure to dispose of PCB waste within
one year after it is placed into storage between the generator and
the ultimate disposal facility based on the contribution by either
party to the violation " For example, a disposal facility receiving
PCB waste just 60 days before the one-year deadline and who is
unable to incinerate the material until 30 days after the deadline
would not be held liable, while the generator would be liable for
one-third of the standard penalty Laboratories presenting the
waste to a disposal facility 30 days before the deadline would be
liable for two thirds of the standard penalty if the disposal facility
was unable to destroy the waste before the one-year deadline.
Facilities are directed to Compliance Policy 6-PCB-6 for the
complete liability chart.
Acceptable Containers
While in storage for disposal, or 30-day temporary storage, PCBs
and PCB items must be placed in proper containers -DOT-
approved containers for the management of PCB wastes are
identified in 49 CFR 173.202 and .204. A detailed list of DOT-
specification containers that may be used to store PCB wastes prior
to disposal is provided in Exhibit 09-02 of this chapter
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Storage Facility
A facility used to store PCBs and PCS items designated for
disposal must meet the following requirements.
• Adequate roof and walls to prevent rain water from reaching
the stored PCBs and PCB items
• Adequate floor with continuous curbing at least six inches high
The containment volume must be equivalent to twice the
internal volume of the largest PCB article or container, or 25
percent of the total internal volume of all PCB articles or
containers in storage, whichever is greater
• No drain valves, floor drains, expansion joints or any other
openings that would allow liquids to flow from the curbed area
• Floors and curbing constructed of smooth and impervious
materials such as Portland cement
• Located above the 100-year floodplain (This information can
be obtained through local county surveyor offices )
Temporary Storage
for Disposal
(761.65(C))
The regulations allow certain PCBs and PCB items to be stored for
up to 30 days in a temporary storage area that meets fewer
requirements than those for storage for disposal The following
items may be stored temporarily as long as each item is marked
with the date it was removed from service
• Non-leaking PCB articles and equipment
• Leaking PCB articles and equipment, provided that the items
are placed in a non-leaking container with sufficient absorbent
material to absorb any PCB liquid.
• PCB containers holding nonliquid PCBs in the form of soils,
rags, and so forth
• PCB containers holding liquid PCBs at a concentration from 50
to 500 ppm, provided a spill, prevention, control, and
countermeasure (SPCC) plan has been prepared for the area in
accordance with 40 CFR Part 112 if any containers exceed 110
gallons
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Non-leaking PCB large high-voltage capacitors and PCB-
contaminated electrical equipment that have not been drained
when on pallets next to a proper storage facility This is only
allowed when the facility's unfilled storage space is equivalent
to 10 percent of the total internal volume of all of the
equipment stored outside of the facility As an additional
requirement, capacitors and equipment temporarily stored under
these conditions are subject to weekly inspections
Storage at Point of
Generation
Many EPA facilities generate waste from PCB sample
extractionanalysis Such PCB wastes typically are collected in a
container located in or under a laboratory fume hood TSCA
regulations do not address whether this method of collection of
PCBs constitutes storage or temporary storage for disposal A
memorandum from John Smith, Acting Chief of the Chemical
Regulation Branch, to Howard Wilson, Chief of Environmental
Compliance Branch, dated September 25, 1989, provides some
interpretation on this issue. The memorandum states that
laboratory storage of PCB wastes in a hood is acceptable for
storage provided a suitable containment pan (glass or steel) with 6-
inch curbing is used. The memorandum also notes that storing
PCBs under a hood is not considered temporary storage for
disposal and therefore the 30-day storage limit and SPCC plan
requirement do not apply.
Guidance: When collecting PCB waste in the laboratory or under
a lab hood, EPA facilities should use one-gallon DOT
specification containers. A suggested commercial source for this
type of container is Label Masters, 5724 North Pulaski Rd,
Chicago, III. 60646, (1-800-621-5808). Another commercial
source is
Laboratory Safety Supply, P.O. Box 1308, Jonesville, WI 53547-
1368, (1-800-356-0783). These containers require the PCB mark
because they meet the definition of PCB containers (see 761.40)
and must be marked with the date that PCB waste storage for
disposal first commenced.
Enforcement and
Research Samples and
Standards
The authorizations provided to EPA laboratories for enforcement
support and research and development do not exempt them from
TSCA regulations covering marking, storage and disposal If the
PCB Management
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Returning samples
forto the sample
collector (761 65(i))
Toxic Substances Control Act
resulting waste material from laboratory operations was
contaminated with PCBs at an original concentration of 50 ppm or
greater, the laboratories would need to appropriately manage this as
PCB contaminated waste. OPPTS, however, has allowed EPA
laboratories to store enforcement samples and standards until the
enforcement case is complete. As soon as there is no reason to
maintain the samples, the samples must immediately be placed into
storage for disposal and the one-year storage limit would begin to
run on that day
EPA laboratories have, in the past, performed PCB research
exposing mice, birds, and aquatic animals to PCBs. Laboratory
animals that have been exposed to PCBs during research can be
stored and disposed of according to the final PCB concentration in
the animal.
Facilities that keep laboratory samples on-site, either the sample
litigation purposes or for future return to the sample collector, are
not storing PCBs for disposal Consequently, no manifest is
required for laboratories returning analyzed PCB samples to the
sample collector When returning samples, laboratories must
• Comply with DOT and U.S. Postal Service shipping
requirements
• Accompany the sample with the sample collector's name,
mailing address and telephone number, laboratory's name,
mailing address and telephone number, the quantity of the
sample, the date of shipment, and a description of the sample
• Package the sample so that it does not leak, spill, or vaporize
RECORDKEEPING
(761.180)
Facilities must prepare and maintain on file a written annual
document log covering PCB use, storage, and disposal at the
facility during the calendar year (January-December), if during the
year they used or stored at one time:
• A PCB transformer, or
• 50 or more large capacitors (i e, capacitors which contain 1.36
kg (3 Ibs.) of dielectric fluid), or
• 45 kilograms (99.4 Ib.) of PCBs in PCB containers
PCB Management
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Exhibit 09-03 provides a sample template for an Annual Document
Log SHEMD has created an electronic format to help prepare the
annual document log The format allows space for supporting
records and lays out a method to generate certain required totals.
When used with a computer, the totals and summary information
are calculated and presented automatically A copy of the log can
be down-loaded from the OA website at dc_www wic.epa.gov/oa
Guidance: To calculate the -weight ofPCBs in containers the
facility may refer to the PCB Spill Cleanup Policy (761.125(b))
which provides an example stating that 270 gallons of 500 ppm
PCBs in oils as being equal to 1 pound of pure PCBs. Using this
formula, 1 ppm PCBs in oil is equivalent to 7.5 Ib. PCBs /1
million gallons of oil.
Facilities may use the following equation to calculate the weight of
PCBs in containers
(PCB in ppm) x f75lb PCBs) = fib. PCBs)
(million gals oil) (million gals oil)
(Ib PCBs) x (gals of oil in container) = (Ib. of PCBs)
(million gals oil)
(Ib. of PCBs) x (0.45 kg/ Ib.) = (kg of PCBs)
After inserting numbers from the Spill Cleanup Policy example, the
equation works out as follows:
(500 ppm) x (75lb PCBs) = (3750 Ib. PCBs)
(million gals oil) (million gals oil)
(3750 Ib PCBs) x (270 gallons oil) = 1.0 U>. pure PCBs
(million gals oil)
(1 0 Ib. PCBs) x (0.45 kg/lb.) = 0.45 kg PCBs
Note. This calculation does not provide the weight of the dielectric
fluid, but rather the weight of pure PCBs contained in the dielectric
fluid Therefore this formula can not be used to calculate the
weight of dielectric fluid in a capacitor to determine if it meets the
definition of small or large capacitor
PCB Management
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Toxic Substances Control Act
October 1997
If facilities meet any of the previous criteria for transformers,
capacitors, or containers with PCBs, they must develop and
maintain records on the disposition of ail PCBs and PCB items at
the facility. These records are used to compile the annual
document log that must be completed by July 1 of the following
year. There is no requirement for the submission of an annual
document log to any TSCA representative; TSCA requires that
facilities maintain the document on file at the facility The records
and documents contributing to the annual document log must be
maintained for a period of three years after the facility stops using
or storing PCB items in the regulated quantities
The annual records include:
All signed manifests
• All certificates of disposal
Information required for the annual d ocument log varies depending
on what types of PCBs are on-site at the end of the calendar year or
were shipped off-site for disposal during the calendar year Exhibit
09-03 provides a data collection construct that can be used for the
PCB Annual Document Log.
Recordkeeping
Guidance: EPA facility representatives are encouraged to create
a central file for all PCB records. Even though certain provisions
in the regulations allow facilities to dispose of records after a
period of time, SHEMD is recommending that EPA facilities retain
these records indefinitely. Besides records for the annual
document log, the PCB regulations necessitate the development of
the following types of documentation to demonstrate compliance
with PCB management standards:
• Records of quarterly visual inspection and related maintenance
information of PCB transformers (see 761.30)
• Records of PCB transformer registration with local fire
response personnel (see 761.30)
• Records of monthly visual inspection of the PCB storage for
disposal area (see 761.65)
PCB Management
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Toxic Substances Control Act
Records of weekly visual inspections of the temporary or
interim PCB storage for disposal area (see 761.65).
EPA Identification
Numbers (761.202)
Upon receipt of the notification form (see 761.205), EPA will
assign a unique PCB identification number to each facility.
Facilities that already possess a RCRA identification number will
receive that number as their PCB identification number.
Notification of Waste
Activity (761 205)
Facilities generating (and storing in long-term storage for disposal
areas), transporting, or disposing of PCB waste must notify EPA of
these activities using EPA Form 7710-53 Facilities engaged in
PCB waste handling prior to February 5, 1990, were required to
notify by April 4, 1990 Facilities beginning such PCB handling
after February 5, 1990, must notify prior to engaging in PCB waste
handling.
Manifests (761 207)
Facilities that generate and ship PCB waste off-site
must complete a uniform hazardous waste manifest for that material
using EPA Form 8700-22 Generators should acquire manifests
from the state to which the waste is being shipped (consignment
state) If this is not possible, they may acquire manifests from their
state hazardous waste officials If manifests are not available from
either source, they may obtain copies of the manifests from
commercial printers.
Manifest Contents - In addition to general facility information,
several items must be entered on a TSCA manifest These include a
proper DOT description (described below), the earliest date of PCB
removal from service for disposal, unique identifying number for
each container, type of PCB waste for each container, and serial
number of any PCB article not held in containers or bulk shipment
Proper DOT Description - The Department of Transportation
(DOT) has amended its regulations regarding proper description of
PCB waste before transport. EPA facilities are recommended to
use a hierarchical approach to the identification and classification of
PCB waste
Facilities must first ascertain whether the PCB waste meets any of
the characteristics of a hazardous waste as provided in 40 CFR Part
PCB Management
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Toxic Substances Control Act
261 Subpart C When PCBs are mixed with other hazardous
wastes, the facilities must determine the appropriate DOT hazard
class (e g., corrosive, flammable, oxidizer) and identify the waste
accordingly. SHEM Managers should refer to 49 CFR 173 2a to
assist them in "Classification of a material having more than one
hazard" For example, because "Miscellaneous hazardous
materials" is the only hazard class applicable to PCBs and is the
lowest hazard class identified in 49 CFR 173.2a, a mixture that
meets the hazard class definition of a flammable liquid would be
reported as such. An example of this would be a mixture of low
concentrations of PCBs in methanol If the PCB waste does not
meet the criteria for reportable quantity (RQ), then the proper DOT
description would be
• Waste flammable liquid, n o s (methyl alcoh UN1230, n
(PCBs)
(Add RQ to the en d of the description if the PCBs meet the
criteria for RQ as defined in the following section)
PCB waste that does not fit the definition of hazardous waste, and
is not otherwise contaminated, should next be compared with the
definition of a hazardous substance in 49 CFR 172 8 (DOT
regulated wastes) In order for PCB waste (not otherwise
contaminated) to be reported as a hazardous substance for the
purposes of transportation, it must meet both of the following
requirements
• The waste must contain a quantity of PCBs, in a single
package, that equals or exceeds the RQ of 1 Ib (see
RECORDKEEPING section for assistance in calculating the
weight of PCBs)
• When in a mixture, the PCBs must exist in a concentration
by weight that equals or exceeds 20 ppm (see 49 CFR
172 8. Definition of "Hazardous Substance" and 172.101,
Appendix).
According to DOT regulations in 49 CFR 172.203(c), if a PCB
waste meets the criteria of a hazardous substance the proper US
DOT description is:
• RQ, Polychlorinated Biphenyls, 9, UN2315, II
PCB Management
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Toxic Substances Control Act
Guidance provided to SHEMD from DOT staff indicates that the
following DOT description should be used if PCB waste does not
meet the definition of a hazardous waste or a hazardous substance:
• Non-DOT regulated (Polychlorinated Biphenyls)
A hazard class and ID number are not applicable in the above
situation and are therefore not included in the DOT description.
Retention of
Manifests
(761.209)
Facilities are required to maintain signed manifests for three years
from the date the PCB waste was accepted by the initial
transporter.
Guidance: SHEMManagers should consider retaining PCB waste
manifests and related Certificates of Destruction for longer than
the three year mandatory time period to document compliance with
PCB management standards. Additionally, an extended retention
period is useful for documenting the quantity and type of PCB
wastes that are sent for off-site treatment and disposal in the event
that a potentially responsible party search is conducted under the
Comprehensive Environmental Response, Compensation and
Liability Act (CERCLA). Accordingly, EPA facilities should retain
PCB manifests and Certificates of Destruction indefinitely.
Exception Reports
and Certificates of
Disposal (761 21 Sand
.218)
As with hazardous waste, generators are required to contact the
transporter and/or the disposal facility if a signed manifest is not
returned within 35 days After 45 days, the generator is required to
submit an Exception Report to the EPA Regional Administrator
The report must include a copy of the manifest and a letter
indicating efforts taken to secure a signed copy.
For any regulated PCB waste, disposal facilities must return a
Certificate of Disposal (CD) within 30 days of disposal indicating
how and when the waste was disposed. For PCBs sent for disposal
within nine months of being taken out of service, the CD must be
received within 13 months after the PCBs were taken out of
service If the CD is not received within 13 months, or if it
indicates that the waste was disposed beyond one year from the
date the waste was removed from service, a One-year Exception
Report must be filed This report must include a copy of the
manifest, the date the PCBs were removed from service, the date
PCB Management
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Toxic Substances Control Act
they were transferred off-site, the identities of all parties handling
the PCBs after leaving the facility, and any information as to why
disposal did not occur within the allotted time.
PCB Management
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Toxic Substances Control Act
PCB Transformer Inspection Log
Facility Address
Building Name
Room#
Outdoor Subst
Transformer Location1
PCB Transformer/Storage Facility Inspection and Maintenance Log
Date and
Inspector's Initials
Inspection or
Maintenance
i
Inspection Results (Provide
volume and location of leaks)
Describe Remedial Action
Describe Maintenance
Action
PCB Management
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Exhibit 09-01
09-28
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Safety, Health and Environmental
Management Guidelines
October 1997
Toxic Substances Control Act
Department of Transportation (DOT) - Specification Containers
for PCB Waste Storage
Non-Bulk Packaging for PCB Liquids
Non-Bulk Packaging for PCB Solids
Steel drum- 1A1 or 1A2
Aluminum drum' 1B1 or 1B2
Metal drum other than steel or aluminum INI or
1N2
Plastic drum 1H1 or 1H2
Fiber drum 1G (with liner)
Wooden barrel: 2C1
Steel jerrican: 3Al or 3A2
Plastic jerrican: 3Hlor3H2
Plastic receptacle in steel, aluminum, fiber or
plastic drum 6HA1, 6HB1, 6HG1 or 6HH
Plastic receptacle in steel, aluminum, wooden,
plywood or fiberboard box 6HA2, 6HB2, 6HC,
6HD2 or 6HG2
Steel drum 1A1 or 1A2
Aluminum drum 1B1 or 1B2
Plywood drum ID
Plastic drum. 1H1 or 1H2
Fiber drum1 1G
Metal drum other than steel or aluminum INI
orlN2
Wooden barrel- 2Clor2C2
Steel jerrican- 3A1 or 3A2
Plastic jerrican. 3Hlor3H2
Steel box 4A1
Steel box with liner 4A2
Aluminum box 4B1
Aluminum box with liner 4B2
Natural wood box 4C1
Natural wood box, sift proof 4C2
Plywood box- 4D
Reconstituted wood box 4F
Fiberboard box: 4G
Expanded plastic box 4H1
Solid plastic box. 4H2
Plastic receptacle in steel, aluminum, fiber or
plastic drum 6HA1, 6HB1, 6HG1 or 6HH
Plastic receptacle in steel, aluminum, wooden,
plywood or fiberboard box 6HA2, 6HB2,
6HC, 6HD2 or 6HG2
Exhibit 09-02
09-29
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Toxic Substances Control Act
xAnnual PCB Document
Disposition
PCB Items
Remaining in
Service
PCB Items Placed
in Storage for
Disposal
PCB Items
Transferred
PCB Items
Disposed
PCB Hems
Number of items
Total Weight (kb) of PCBs
Number of items
Total Weight (kb) of PCBs
Number of items
Total Weight (kb) of PCBs
Number of items
Total Weight (kb) of PCBs
PCB
Transformers
PCB Large
Capacitors
Other PCB
Articles (non-
transformers or
capacitor
articles)
PCB Article
Containers
PCBs or
PCB Items
in
Containers
Bulk
PCBs
TOTALS
-
o
oo
-
.
0
o.o
-
.
o
oo
.
.
o
oo
-
Exhibit 09-03
09-30
-------
SAFETY, HEALTH, AND
ENVIRONMENTAL MANAGEMENT
PROGRAM GUIDE
Guide No. //
Issued 6/98
Revised
RESOURCE CONSERVATION AND RECOVERY ACT PROGRAM
SCOPE OF THE PROGRAM
This Program Guide provides an overview of the
requirements EPA facilities must fulfill to
comply with the regulations, guidance, and
procedures associated with the hazardous waste
management provisions under Subtitle C of the
Resource Conservation and Recovery Act
(RCRA) RCRA Subtitle C regulates hazardous
waste management from "cradle to grave " The
full scope of RCRA encompasses solid waste
management, hazardous waste management,
waste oil. land disposal restrictions (LDRs), and
underground storage tanks (USTs) This
chapter focuses on hazardous waste
identification and classification, generator
requirements, storage and disposal
requirements, recycling and the LDRs
REGULATORY REQUIREMENTS
The key or basic elements of the RCRA Program
required by law and/or EPA policy are to
• Manage all hazardous waste handling from
generation through disposal in a prudent
and fully compliant manner
• Properly identify and characterize (i e ,
characteristic or listed) solid waste that may
be defined as hazardous
• Identify and comply with any additional
hazardous waste listings, characteristics, or
management standards imposed b> state or
local regulations
AUTHORITIES
The following documents are the sources of the
legal authority that establish the applicability and
requirements of this program.
• Resource Conservation and Recovery Act, as
amended
• Title 40 CFR Parts 260 through 280
REFERENCES
The following documents listed below can help
you implement the RCRA program.
• 40 CFR Parts 260 through 280
• Russell Phifer and William McTigue, Jr,
Lewis, Handbook of Hazardous Waste
Management for Small Quantity Generators
• EPA. EPA Facility Waste Stream
Characterization Manual
• Office of Solid Waste and Emergency
Response (OSWER), Waste Analysis at
Facilities that Generate. Treat Store, and
Dispose of Hazardous Wastes
• Federal Register (specific volumes and page
numbers cited where applicable)
• Office of Solid Waste and Emergency
Response (OSWER) directives (cited where
applicable)
• Regulatory Development Branch (RDB)
policy correspondence
-------
IMPLEMENTATION ACTIVITIES
The following list gives an overview of the
activities that the RCRA program will require.
Specifically, to implement and operate this
program, you must.
• Identify and characterize hazardous waste
and track hazardous waste generation
• Segregate P-listed wastes from other types
of listed and characteristic wastes to avoid
generating larger quantities of acute waste
that could possibly change the facility's
generator status
• Ensure only federal and state licensed or
permitted transporters are used for
transporting hazardous wastes on public
highways
• Store hazardous waste in a secure area
• Manage hazardous waste in accumulation
or permitted storage areas by date Waste
in storage for disposal for the longest period
of time should be the first shipped off-site
for disposal
• Provide material safety data sheets
(MSDSs) and posters in and near hazardous
waste storage areas and laboratories to
guide employees in the safe management of
incompatible waste streams
• Using only licensed and RCRA permitted
treatment, storage, and disposal facilities for
off-site hazardous wastes management.
facility within generator time limits for on-
site accumulation.
Documentation of hazardous waste container
and accumulation area inspections
A hazardous waste training program,
including detailed and accurate personnel
training records
A process for reviewing hazardous waste
manifests for technical accuracy and
compliance with regulatory standards.
Contractual mechanisms or interagency
agreements for securing permitted hazardous
waste disposal vendors
A current copy of the state hazardous waste
regulations and the federal RCRA
regulations
IMPLEMENTATION IMPLICATIONS
The management systems and internal controls
required to implement this program include
• A current log that quantifies waste
generation volumes each month for
monitoring generator status
• A standardized system for tracking
hazardous waste to ensure the waste is
being sent to and received by an approved
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Environmental Compliance Manual June 1998
Resource Conservation and Recovery Act
Section 11-01
Table of Contents
RCRA 11-01 Table of Contents
RCRA 11-02 Introduction
Purpose . . 11-5
Scope .... . .. 11-5
Authority . .... 11-5
Objectives . ... .... 11-5
Responsible Officers . . . .11-6
References . 11-6
RCRA 11-03 Identification of Hazardous Waste - 40 CFR Part 261
Introduction . 11-7
Definition of Solid Waste .. 11-7
Definition of Hazardous Waste . 11-8
Exclusions from Subtitle C 11-8
Li sted Hazardous Waste . 11-10
Characteristic Hazardous Waste . . 11-15
Mixtures . 11-17
Derived-From Wastes . . 11-18
State Regulated Hazardous Waste . . 11-18
Low-Level Radioactive Mixed Waste 11-20
Empty Containers . . . . 11-21
RCRA 11-04 Requirements for Generators - 40 CFR Part 262
Generator Regulations . 11-23
Hazardous Waste Determination 11-23
Generator Classification . ... . . . 11-23
Episodic Generation . . ... 11-25
Conditionally Exempt Small Quantity Generators . ... 11-26
EPA Identification Numbers . .. .11-28
Hazardous Waste Manifest 11-28
Accumulation Standards .. . . . 11-29
Hazardous Waste Minimization . .... .. 11-33
Table of Contents 11-1
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Resource Conservation and Recovery Act
RCRA 11-05 Standards for TSDFs - 40 CFR Parts 264/265
General Background . . . 11-35
General Facility Standards . . . . .... .. . 11-36
Preparedness and Prevention . .. 11-38
Contingency Plan and Emergency Procedures . 11-40
Use and Management of Containers . 11-41
RCRA 11-06 Special Requirements for Recyclable Materials - 40 CFR Part 266
Recyclable Materials .11-41
Used Fluorescent Lamps . . . . . 11-41
Used Oil Management . .... . 11-44
Spent Solvents . . . . 11-44
Precious Metals . . . 11-45
Spent Lead-Acid Batteries 11 -45
RCRA 11-07 Land Disposal Restrictions - 40 CFR Part 268
Introduction 11-47
Notification and Certification Requirements 11-47
Treatment Standards . . 11-52
Dilution Prohibition .. ..... . . 11-54
Storage Prohibition ... ... 11-56
Treatment in Accumulation Tanks and Containers . 11-56
RCRA 11-08 Exhibits
Exhibit 11-1 Waste Characterization Record ... 11-59
Exhibit 11-2 Hazardous Waste Tracking Sheet ... .. .. . . 11-60
Exhibit 11-3 Alphabetized List of F001-F005 Solvents . . 11-61
Exhibit 11-4 Hazardous Waste Determination Hierarchy . . . 11-62
Exhibit 11-5 Accumulation Site Inspection Log . 11-63
Exhibit 11-6 Personnel Training Attendance Form . . . . 11-64
Exhibit 11-7 Chemical Incompatibility Matrix ..... 11-65
Exhibit 11-8 Dilution Prohibition Decision Flow-Chart . . . 11-66
Exhibit 11-9 State Hazardous Waste Program . 11-67
Exhibit 11-10 List of Acronyms . . . . 11-68
TABLES
F-Li stings for Common Laboratory Wastes .... . . . . . 11-14
C Contaminant Regulatory Levels ... .. ... .. . .. 11-19
Generator Classifications . . . 11-24
Table of Contents 11-2
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Resource Conservation and Recovery Act
Counting Hazardous Waste . .11-25
Generator Classification Determines Length of Accumulation Time ... . . . 11-30
RCRA Generator Summary . . . 11-34
Sample Response Form ... . . ... 11-40
Summary of Basic Notification and Certification Requirements . 11-48
Summary of Record keeping Requirements Potentially Applicable to
Generators of Hazardous Waste 11 -49
Table of Contents 11-3
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Environmental Compliance Manual
Resource Conservation and Recovery Act
June 1998
Section 11-02
Introduction
PURPOSE
SCOPE
The Resource Conservation and Recovery Act (RCRA) of 1976
gave the U.S Environmental Protection Agency (EPA) the
responsibility of regulating solid waste, a subset of which is
hazardous waste. RCRA addresses a range of topics relating to
solid waste management, those most relevant to EPA facilities
include hazardous waste management, waste oil, land disposal
restrictions (LDRs), and underground storage tanks (USTs).
This chapter of the Environmental Compliance Manual (ECM)
emphasizes the hazardous waste management provisions under
Subtitle C of RCRA Many activities at EPA facilities are affected
by these regulations, which address the management of hazardous
waste from "cradle to grave," meaning from the point of initial
generation to permanent disposal
This chapter provides descriptive information on regulatory
requirements, guidance, recommended procedures, and
management tools to assist EPA facilities in complying with
Subtitle C of RCRA and to mitigate the risks of hazardous waste
management
Subtitle C of RCRA regulates the various facets of hazardous waste
management. This chapter focuses on the RCRA regulations
affecting EPA operations, such as hazardous waste identification
and classification, generator requirements, storage and disposal
requirements, recycling and the land disposal restrictions. This
chapter, however, does not address management of nonhazardous
solid waste or underground storage tanks, which are discussed in
separate chapters of the ECM
AUTHORITY
Resource Conservation and Recovery Act, as amended Title 40
CFR Parts 260 through 280
OBJECTIVES
The objective of this chapter is to clarify select portions of the
RCRA regulations that commonly apply to EPA facilities. This
chapter also provides guidance and recommended procedures
Introduction
11-5
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Resource Conservation and Recovery Act
June 1998
intended to further protect EPA employees, facilities, and the
environment.
RESPONSIBLE
OFFICERS
All persons managing hazardous waste at EPA facilities are
responsible, to some degree, for proper handling, storage and
disposal of hazardous waste Compliance with RCRA regulations
is primarily the responsibility of the Safety, Health and
Environmental Management Program (SHEMP) Manager,
Hazardous Waste Control Officer, and EPA facility management
REFERENCES
The following sources were used to develop this chapter
• 40 CFR Parts 260 through 280
• Federal Register (specific volumes and page numbers cited
where applicable)
• Handbook of Hazardous Waste Management for Small
Quantity Generators. Russell Phifer and William McTigue, Jr,
Lewis Publishers Michigan, 1988
• Office of Solid Waste and Emergency Response (OSWER)
directives (cited where applicable)
• Regulatory Development Branch (RDB) policy correspondence
• EPA Facility Waste Stream Characterization Manual
• Waste Analysis at Facilities that Generate. Treat. Store, and
Dispose of Hazardous Wastes (OSWER Directive 9938 4-03,
April 1994)
Introduction
11-6
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Resource Conservation and Recovery Act
Section 11-03
Identification of Hazardous Waste - 40 CFR Part 261
INTRODUCTION
DEFINITION OF
SOLID WASTE
(§261 2)
As a cradle-to-grave management system designed to safeguard
human health and the environment, the RCRA program regulates all
hazardous waste handling from generation through disposal The
critical first step of the hazardous waste management process is the
proper identification of solid wastes that may be defined as
hazardous When wastes are not properly identified, subsequent
management of the waste may threaten employee safety, pose fire
risks, and impair environmental quality Accordingly, it is crucial to
establish a systematic, rational approach to waste identification It
is particularly important for EPA facilities to proactively pursue
safe management practices as a model for the regulated community
Guidance: EPA facilities should establish a standardized system
for identifying and tracking hazardous waste. A tracking system
requires development of standardized waste profiles that identify
common facility wastestreams, regulated points of generation, and
proper handling techniques. Exhibits 11-1 and 11-2 present
sample waste characterization profile and tracking forms that can
be used for this purpose. The tracking forms ensure proper waste
identification and provide the basis for compliance with
subsequent hazardous waste management standards. A
standardized waste tracking system enables precise counting and
determination of generator status, compliance with accumulation
limits, and accurate manifesting. The tracking system also helps
identify source reduction and other pollution prevention
opportunities.
A solid waste is any material that is abandoned, recycled or
inherently waste-like, as explained in §261 2 Solid waste as
defined in RCRA refers not only to solids, but also to semi-solids,
sludges, liquids, and contained gases.
There are limited circumstances under which certain materials
would not be considered solid wastes when they are destined for
recycling Specifically, sludges or by-products that exhibit a
characteristic of hazardous waste, and all discarded commercial
chemical products, are not considered solid wastes when they are
reclaimed.
Identification of Hazardous Waste
11-7
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DEFINITION OF
HAZARDOUS WASTE
(§261 3)
Section 3001 of RCRA charges EPA with developing criteria for
identifying the characteristics of hazardous waste and for listing
hazardous waste based on toxicity, persistence or degradability in
nature, potential for accumulation in tissue, and other related
hazardous properties
Under the authority of RCRA §3001, EPA promulgated regulations
that classify wastes as hazardous against two major criteria. A solid
waste is considered hazardous under the RCRA statute if (1) it is
one of a number of specific chemicals or wastestreams that EPA
has listed as hazardous, or (2) it exhibits one of four hazardous
physical or chemical properties (e.g., ignitable, corrosive, reactive,
or toxic) as defined under §§261.21-.24 These hazardous waste
lists and characteristics are discussed in detail later in this chapter
In establishing the statutory definition of hazardous waste, EPA
recognized that certain waste types pose potential threats to human
health and the environment even when properly managed
Hazardous wastes that may present insidious risks are designated as
acutely hazardous wastes and are subject to special management
requirements All other hazardous wastes are considered nonacute
EXCLUSIONS FROM
SUBTITLE C
(§261 4)
Not Solid Wastes
(§241 4(a))
Not Hazardous Wastes
(§2614
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they are reclaimed for further use, but not when they are sent
off-site for disposal
Used oil filters may also be exempt from the hazardous waste
regulations Non-terne plated (e.g, automobile) oil filters are
excluded from the definition of hazardous waste if they are gravity
hot-drained and have not been mixed with a listed hazardous waste.
See §261 4(b) for a full list of solid wastes that are excluded from
hazardous waste regulations
Conditional Exclusions Laboratory Samples. Samples sent to a laboratory for the sole
(§261 4 (d) - (f)) purpose of characterization or identification are exempt from
RCRA regulations if the generator complies with the Department of
Transportation (DOT) and U S Postal Service (USPS) shipping
requirements specified in §261 4(d)(2)(ii) After the sample has
been analyzed, it may also be sent back to the sample collector
under the same exempt status. But once the sample is no longer
needed for a specific purpose (i e, analysis is complete and any
related enforcement action has concluded) and the sample is
intended for disposal, it no longer qualifies for this exclusion
Treatabilitv Studies Persons who generate or collect samples for
purposes of conducting treatability studies are exempt from
complying with regulations under Part 261 through 263 of RCRA
when the wastes are collected, accumulated prior to transportation,
or transported to the laboratory or testing facility The collector
must comply with certain shipping requirements specified by DOT
and USPS, and recordkeeping requirements as cited in
§261 4(e)(2). Once the studies are complete or the samples are no
longer required, they become subject to all applicable regulations
when either discarded by the testing facility or upon return to the
sample collector
The samples themselves and the facilities performing the treatability
studies are likewise exempt from the RCRA requirements, provided
that the facility handles the samples in strict accordance with the
procedures enumerated at §261.4(f).
Several limits are imposed on treatability study samples as part of
these exemptions. For example, the weight of treatability study
samples must not exceed 10,000 kilograms (kg) of environmental
media contaminated with nonacute hazardous waste. Additional
weight thresholds include no more than 2,500 kg of media
contaminated with acutely hazardous waste, 1,000 kg of nonacute
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hazardous waste, or 1 kg of acutely hazardous waste For
additional conditions placed on these samples, such as maximum
holding periods and shipment quantities, generators, sample
collectors and facilities that receive field samples should refer to 40
CFR§2614(e)and(f).
LISTED HAZARDOUS
WASTE
(§261 SubpartD)
F-Listed Hazardous
Wastes
(§26131)
If a solid waste has not been excluded, it is a hazardous waste if it is
specifically listed. The listed hazardous wastes in 40 CFR §§
261 31-33 comprise four groups:
• F-listed wastes
• K-listed wastes
P-listed wastes
U-listed wastes.
In establishing the lists, EPA arbitrarily identified F-, K-, P- and U-
designations. The letters carry no purpose other than to identify
particular listing categories
Each listed waste has an associated hazard code which reflects the
reason the waste was listed by the EPA Administrator. Hazardous
properties, with the designated codes in parentheses, are as follows'
ignitable (I), corrosive (C), reactive (R), and acutely hazardous (H)
Wastes are also coded if they display the toxicity characteristic (E)
in §261 24 or have been listed in §§261.31- 32 because they contain
any of the toxic constituents in 40 CFR Part 261, Appendix VIII
and exhibit toxological properties that pose potential threats to
human health and the environment when improperly managed (T)
For each F-listed and K-listed waste noted as E, T, or H, Appendix
VII in Part 261 specifically identifies the toxic constituent(s) which
forms the basis for listing. For example, F011 is listed because it
contains toxic cyanide salts.
Only a portion of the listed wastes are defined as acutely hazardous.
They are F020-F023, F026-F027, and all P-listed wastes Such
wastes are an important management consideration since they are
subject to more stringent regulatory standards
The F-list includes nonspecific.source wastes that are not
attributable to a specific industry or process unit. EPA laboratory
facilities routinely generate spent solvents (F001-F005) and
occasionally produce dioxin-contaminated wastes (F020-F023,
F026-F028) Other F-listed wastes that EPA facilities may
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occasionally receive for analysis from field investigations include
electroplating wastes (F006-F019), wastes from the production of
chlorinated aliphatic hydrocarbons (F024/F025), wood preserving
wastes (F032-F035), petroleum refinery wastes (F037, F038), and
multi-source leachate (F039)
Spent Solvents The spent solvent wastes FOO1-F005 are from
nonspecific sources. The F001 listing, however, only applies to
solvents used in degreasing operations Laboratory solvent wastes
frequently fall into one or more of the F002-F005 listings.
The spent solvent listings F001, F002 and F004 are listed due to
their toxicity; F003 is listed solely due to ignitability; and F005 is
listed for both ignitability and toxicity The solvent constituents in
the F001-FOOS listings are presented alphabetically in Exhibit 11-3
to facilitate waste identification
The scope of the spent solvent F-list was clarified in the December
31,1985, Federal Register The spent solvent list covers only those
solvents that are used for their solvent properties For example,
toluene used in a parts degreaser would be considered a form of
solvent use The list applies to solvents used in degreasing and
cleaning, as dilutents and extractants, and in reaction and synthesis
media, but only when spent According to 50 FR 53316, December
31, 1985, "a solvent is considered spent when it has been used and
is no longer fit for use without being regenerated" or otherwise
reprocessed Even if a solvent can theoretically be further used, it
will be considered spent when it is removed from service without
actual continued beneficial use
A product that contains solvent ingredients does not qualify for
spent solvent listing following use if the product itself was not
applied as a solvent. For example, although xylene performs a
solvent function when added to paint, the resulting mixture would
not carry an F-listing after use, however, xylene based thinner
would become F003 when discarded following use as a paint
stripper in equipment cleaning (see 05/20/87 interpretive letter from
Sales to Czigler; RPPC#944 1987(18))
In 1985, the spent solvent list was redefined to include solvent
mixtures containing, before use. 10 percent or more total listed
solvent (50 FR 53315, December 31, 1985). The list was also
expanded to include the still bottoms from the recovery of these
solvents The 10 percent threshold was selected based on data that
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most solvent blends contain well over 10 percent by volume of the
listed solvent constituents.
For purposes of waste identification, "before use" refers to practical
application at the facility, rather than to composition as purchased
For instance, if a solution of carbon disulfide with a concentration
of 18 percent were cut with an equal part of water prior to use in an
analytic method, the resulting spent solvent waste would not be the
listed waste F005.
To be listed as an F001, F002, F004 or F005 spent solvent waste,
the solvent product must have contained, before use, at least 10
percent of any single one of the above solvents or any combination
of the above solvents. In the case of a solvent product mixture, all
appropriate F-listings must be applied when classifying the waste.
For example, a solvent product containing, before use, 6 percent
chlorobenzene (F002) and 4 percent cresols (F004) would be
classified as F002, F004 waste when spent
The F003 listing is significantly different from the F001, F002,
F004 and F005 listings For an F003 listing, the solvent product
before use must be comprised of one of the following (1) pure
F003 constituents; (2) a technical grade of an F003 solvent, or (3) a
mixture of an F003 solvent and a total of 10 percent or more of any
combination of F001, F002, F004, or F005 solvents
Was the product used for
its solvent properties'?
Before use, did it contain
* 10% F001, F002, F004,
and/or F005?
Did it contain F003?
additional F003?
In pure or technical
grade?
Four steps should be followed to correctly identify an F-listed spent
solvent waste
Step 1. Determine whether the solvent was used for its "solvent
properties" as defined in 50 FR 53315, December 31, 1985. If
these conditions were not met, the waste will not meet F001
through F005 listing criteria (however, the waste may meet other F-
listings).
Step 2- If the waste was used as a solvent, determine whether the
solvent product contained more than 10 percent of any combination
of F001, F002, F004, or F005 solvent constituents before use
Step 3 Determine if any of the F003 listed solvents are present
To meet the F003 listing, the solvent must be 100 percent
constituents before use, a technical grade of an F003 solvent, or a
mixture with an F003 solvent that contains at least 10 percent of
one or more other F-listed solvents.
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Apply the appropriate Step 4. If the criteria in Steps 2 or 3 are met, classify the hazardous
listing(s) waste by each applicable waste code (i e, F001, F002, F003, F004
and FOOS) If only Step 3 is met, and the waste does not contain
more than 10 percent of any combination of F001, F002, F004, or
FOOS solvents before use, identify the waste as only FOOS for the
corresponding solvent constituents
For example, a spent solvent extraction that was IS percent
methylene chloride and 85 percent acetone before use would be
classified as F002, F003 waste.
Dioxin-Contaminated Wastes* The F-listed wastes F020 through
F023 and F026 through F028 result from the manufacture of
chlorinated phenolic compounds. Often these wastes are
contaminated with dioxins and generically referred to as
dioxin-contaminated wastes EPA laboratories may encounter
these wastes when performing analysis of environmental samples
originating near a past or present pesticide manufacturing
operation Chlorophenolic formulations are also used in pollutant
fate and transport modeling as well as degradation kinetics studies
Certain wastes generated by EPA laboratories may contain trace
concentrations of dixoins which are not derived from
chlorophenolic manufacturing and therefore do not meet the F020
through F023 and F026 through F028 listings Nevertheless, these
waste streams should be managed in an environmentally sound
manner, preferably by an industrial solid waste or hazardous waste
treatment or disposal facility
Upon accepting an environmental sample, it is imperative that EPA
personnel ascertain the origin of the sample in order to assign the
correct EPA hazardous waste code for appropriate disposal
Table 1 shows how the F-listings should be applied to three wastes
commonly encountered at EPA laboratories
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Table 1
F-Listings for Common Laboratory Wastes
Sample Waste
EPA Hazardous
Waste Number(s)
Explanation
Aqueous phase extraction waste
generated during analysis of semivolatile
organics. Contains water and trace
quantities of methylene chloride.
Not Hazardous
This is a process waste
contaminated with trace quantities
of solvent. OSW does not
consider this waste to meet the
F002 listing.
Solvent phase extraction waste
generated during analysis of chlorinated
herbicides. Contains ethyl ether.
(Aqueous phase contains analyte salts.)
F003
Before use, the solvent contained
pure ethyl ether.
Sample extract waste generated during
analysis of dioxins. Contains hexane,
methanol. methlene chonde and
benzene
F002, F003. F005,
possibly F021-F028
Before use, the solvents were
reagent grade: methylene
chloride (F002), benzene (F005),
and methanol (F003). The waste
also contains methanol; thus, it is
F003. Itmay beF021-F028
depending on the sample's origin.
K-Listed Wastes
(§261 32)
P- and U-Listed Wastes
(§261.33)
The K-list consists of wastes from specific hazardous waste
generating processes and specific types of industries (e g, K009 is
distillation bottoms from the production of acetaldehyde from
ethylene). Generally, each waste listing has a limited number of
generators due to the specific nature of each process
Consequently, there is usually little confusion linking generators
with applicable K-listed waste streams. EPA facilities may,
however, encounter K-listed wastes in the course of analyzing
samples from industrial operations or Superfund sites Upon
accepting an environmental sample, it is imperative that EPA
laboratory personnel determine the origin of the sample to facilitate
accurate waste classification upon disposal
P- and U-lists include commercial chemical products and
manufacturing chemical intermediates that are hazardous wastes
when discarded or intended to be discarded. This applies only to
unused formulations of these chemicals, or situations where
chemical products or intermediates are mixed with other solid
wastes for the purpose of disposal (as discussed in the definition of
hazardous waste, 40 CFR §261 3). P-listed chemicals are acutely
hazardous wastes when discarded.
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Unused chemical formulations in which a P- or U-listed chemical is
the sole active ingredient would also be regulated as a P- or
U-listed waste when discarded regardless of concentration. This
applies even to those formulations where the P- or U-listed
chemical comprises only a small percentage of the product or by-
product solution. For example, if a dilute toluene solution (where
toluene is 20 percent and water 80 percent) is formulated to be
used as a laboratory reagent, but is not used, the toluene in the
unused mixture would be the sole active ingredient, and the mixture
would be managed as U220 when discarded.
The P- and U-listings also apply to off-specification products and
spill residues of unused commercial chemical products, but not to
rags or supplies that are contaminated with these chemicals during*
non-spill cleanup and maintenance activities Thus, if a product
with the sole active ingredient toluene were discarded after
exceeding its shelf life, the U220 listing would again apply
Hazardous waste regulations cannot be circumvented by mixing
two unused P- or U-listed commercial chemical products If two
commercial chemical products that are unused and intended to be
discarded are mixed prior to disposal, the resulting mixture would
be identified by the two commercial chemical ingredients. For
example, if product grade methanol (U154) and toluene (U220)
were combined prior to disposal, the waste would be identified as
U154andU220
Guidance: EPA facilities should segregate P-ltsted wastes from
other types of listed and characteristic wastes. This will avoid
generating larger quantities of acute waste that could possibly
change the facility's generator status.
CHARACTERISTIC
HAZARDOUS WASTE
(§261 SubpartC)
In addition to the hazardous waste listings, a solid waste is a
hazardous waste if it exhibits one or more characteristics of
hazardous waste These characteristics, along with their
corresponding regulatory citation and waste code, follow:
Regulatory Citation
26121
261.22
261.23
261.24
Characteristic
Ignitability
Corrosivity
Reactivity
TC Toxicity
Waste Code
D001
D002
D003
D004 - D043
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Ignitability (§261 21)
Petroleum distillates and
stoddard solvents often
exhibit the characteristics
of ignitability
Corrosivity
(§261 22)
Excess reagents such as
nitric or sulfuric acid
commonly display the
corrosivity characteristic
Reactivity
(§261 23)
A liquid waste, other than an aqueous solution containing less than
24 percent alcohol by volume, is considered ignitable if it has a flash
point less than 60°C (140°F). The ignitability characteristic also
includes a small category of nonliquids which are capable of causing
fire through friction, absorption of moisture, or spontaneous
chemical change. In addition, compressed gases defined as
flammable under DOT standards (e g, hydrogen, oxygen,
acetylene, propane), as well as DOT defined oxidizers (e.g., nitric
acid, perchloric acid, chromic acid, hydrogen peroxide), are
ignitable hazardous wastes and carry the D001 waste code.
A waste is considered corrosive if it is aqueous and has a pH of less
than or equal to 2, or greater than or equal to 12.S, or if it is a
liquid and corrodes steel at a rate of more than 6 35 mm (0.25
inches) per year The regulations only address the concept of
corrosivity for liquid or aqueous wastes Waste sodium hydroxide
pellets, for example, are not a hazardous wastes Generators,
however, should be warned that some solids may be corrosive when
dissolved in a liquid, and thus should be handled cautiously (even
though they are not hazardous wastes).
Guidance Only the pressure filtration step ofSW-846 Method
1311 (Test Methods for the Evaluation of Solid Wastes-
Physical/Chemical Methods, Third Edition. Contact the
Government Printing Office at 202-512-1800, order number 955-
001-00000-1 to obtain a copy), the Toxicity Characteristic
Leaching Procedure, should be used to determine if wastes are not
liquids for the purpose of applying the characteristics of
ignitability or corrosivity. Negative results from other test
methods cannot conclusively demonstrate the absence of free
liquid.
The characteristic of reactivity is defined for the most part in
subjective terms. For example, if a waste is normally unstable or
reacts violently with water, it is considered a reactive hazardous
waste One quantitative criterion for determining reactivity is the
generation of cyanide and sulfide gases when exposed to pH
conditions between 2 and 12.5. Although the regulations do not
specify a regulatory level of gas generation, EPA has published
interim threshold levels of 250 mg HCN/kg waste and 500 mg H2S
/kg waste Interim thresholds and testing procedures used to
determine HCN and H2S generation are contained in SW-846
Volume II, Section 7 3. The procedures outlined in Section 7 3
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should be used in conjunction with Method 9010 for HCN and
Method 9030 for H2S to obtain a value for comparison with the
specified thresholds.
For example, if a cyanide-bearing waste generates in excess of 250
mg of gaseous HCN/kg of waste when exposed to pH conditions
between 2 and 12 5, it would be classified as a reactive hazardous
waste (D003)
Toxicity In March 1990, EPA promulgated the final Toxicity Characteristic
(§261 24) (TC) rule (55 FR 11798). This rule established the Toxicity
Characteristic Leaching Procedure (TCLP), which replaced the
extraction procedure (EP) toxicity test as the method for
determining the characteristic of toxicity The TCLP more
accurately reproduces the leaching conditions of a landfill
Additionally, the technical procedures associated with the TCLP
have allowed EPA to add 26 new organic constituents to the
contaminant list, which previously included eight metals (D004-
D011) and six pesticides (D012-D017). The TCLP procedure
yields an extract of the waste For each hazardous contaminant,
EPA has established a threshold level in this waste extract above
which the waste is considered hazardous
The TC final rule promulgated a number of parameter changes to
the originally proposed contaminant list. The entire TC constituent
list is found in Table 2
MIXTURES
(§261 3)
Characteristic Waste
and Solid Waste
Listed Waste and
Solid Waste
Mixtures of solid wastes and hazardous wastes can in some cases
be regulated as hazardous wastes
If a solid waste is mixed with a characteristic hazardous waste
through normal laboratory operations, and the mixture exhibits any
hazardous waste characteristic, the entire volume would be
considered a hazardous waste For example, if instrument effluents
from Total Kjeldahl Nitrogen analysis, which are TC toxic for
mercury (D009), are mixed with other wastewaters and the mixture
remains TC toxic, the entire resulting waste mixture would require
management as a characteristic hazardous waste.
If a solid waste or characteristic hazardous waste is mixed with and
a listed hazardous waste, the mixture would require management as
the listed hazardous waste For example, if the TC toxic mercury
solution (characteristic waste) is mixed with an F002 spent solvent
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DERIVED-FROM
WASTE
Wastes Derived from
Hazardous Wastes
(listed waste), the mixture would be regulated as F002 and,
provided the mixture still exhibits the TC for mercury, as D009
Solid waste generated from the treatment, storage, or disposal of a
listed hazardous waste will continue to be regulated as the listed
hazardous waste Therefore, still bottoms derived from on-site
recovery of spent methylene chloride solvents (F002) would need
to be disposed as F002 waste However, the regenerated
methylene chloride would no longer be hazardous waste since
products reclaimed from hazardous wastes for beneficial use are no
longer subject to Sub tide C regulation according to 40 CFR §261 3
STATE REGULATORY
HAZARDOUS WASTE
Although some states adopt the federal standards verbatim, many
exercise their right to regulate hazardous wastes management more
stringently by applying hazardous wastes controls to additional
wastestreams and adopting more restrictive standards
Some of the most common wastestreams subject to regulation at
the state level are those protected by RCRA exclusions that states
have chosen not to adopt. For example, wastes containing
polychlorinated biphenyls are not specifically regulated under the
federal RCRA program, and some are even subject to an exclusion
from certain characteristics of hazardous waste Nonetheless,
states such as Maryland, New Jersey, and Washington Have
extended their hazardous waste programs to specifically identify
these materials as hazardous wastes. Similarly, although EPA
decided that a hazardous waste listing was unwarranted for used
oil, many states, such as New Jersey, have chosen to identify used
oil as a listed hazardous waste. Other states regulate used oil as a
nonhazardous special waste or have prohibited it from disposal in
municipal solid waste landfills.
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Table 2
TC Contaminant Regulatory Levels
Contaminants
Arsenic
Banum
Benzene
Cadmium
Carbon tetrachloride
Chlordane
Chlorobenzene
Chloroform
Chromium
o-Cresol
m-Cresol
p-Cresol
Cresol
2.40
1 ,4 Dichlorobenzene
1 ,2 - Dichloroethane
1,1 - Dichloroethylene
2,4 Dinitrotoluene
Endnn
Heptachlor (and hydroxide)
Hexachlorobenzene
Hexachlorobutadiene
Hexachlorethane
Lead
Lmdane
Mercury
Methoxychlor
Methyl ethyl ketone
Nitrobenzene
Pentachloro phenol
Pyridine
Selenium
Silver
Tetrachloroethylene
Toxaphene
Trichloroethylene
2,4,5 - Trichlorophenol
2,4,6 • Trichlorophenol
2,4,5 - TP (Silvex)
Vinyl Chloride
CASNO
7440-38-2
7440-39-3
71-43-2
7440-43-9
56-23-5
57-74-9
108-90-7
67-66-3
7440-47-3
95-48-7
108-39-4
106-44-5
94-75-7
106-46-7
107-06-2
75-35-4
121-14-2
72-20-8
76-44-2
118-74-1
87-68-3
67-72-1
7439-92-1
58-89-9
7439-97-6
72-43-5
78-93-3
96-95-3
87-86-5
110-86-1
7782-49-2
7440-22-4
127-18-4
8001-35-2
79-01-6
95-95-4
88-06-2
93-72-1
75-01-4
HWNO*
D004
D005
D018
D006
001 9
D020
D021
D022
D007
D023
D024
D025
D026
D016
D027
D028
0029
0030
0012
0031
0032
0033
0034
0008
0013
D009
0014
0035
0036
0037
0038
0010
0011
0039
0015
0040
0041
0042
0017
0043
Regulatory level
(mg/l)
5
100
0.5
1
0.5
0.03
100
6
5
200
200
200
200
10
7.5
0.5
0.7
013
0.02
0.008
0.13
0.5
3
5
-D.4
0.2
10
200
2
100
5.0"
1
5 '
0.7
0.5
0.5
400
2
1
0.2
Hazardous waste number
"Wastestreams from nutrient analyses should be evaluated against the TC where pyndme is used as a reagent for
possible classification as D038
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States have also subjected additional wastestreams to regulation by
expanding the list of constituents addressed by the toxicity
characteristic While benzene is the only common petroleum
constituent regulated by the RCRA toxicity characteristic, wastes
may often be characteristically hazardous on a state-by-state basis
for total petroleum hydrocarbons (TPH), or for specific additional
hydrocarbon constituents like toluene, ethyl benzene and xylene
Guidance. EPA facilities should identify and comply with any
additional hazardous waste listings, characteristics, or
management standards imposed by state or local regulations (see
Exhibit 11-09).
LOW-LEVEL
RADIOACTIVE MIXED
WASTE
"Mixed wastes" are wastes that contain both a hazardous waste
component regulated under RCRA and a component consisting of
source, special nuclear, or by-product material regulated under the
Atomic Energy Act (AEA). Because these two components cannot
ordinarily be segregated from one another, these wastes are
governed by both EPA and Nuclear Regulatory Commission (NRC)
regulations Specific AEA and NRC requirements can be found in
the AEA chapter of this manual.
Radioactive wastes regulated under the AEA fall into three
categories high-level, transuranic, and low-level While all three
qualify as mixed wastes subject to RCRA if they are either listed or
exhibit a characteristic, low-level mixed wastes are the only type
usually encountered by facilities that are not involved in the
production of nuclear energy or weapons.
For low-level radioactive mixed wastes, the chemical hazard posed
by the RCRA component of the waste usually exceeds the risks
associated with low-level radioactivity. Nonetheless, persons who
handle low-level mixed wastes should take appropriate health and
safety precautions to safeguard against conventional and radiation
hazards. Guidance on proper protective measures given the
radioactive properties of these wastes is codified in the NRC
regulations (Title 10 CFR), which address health, safety, and
environmental requirements for radioactive wastes under the AEA.
Low-level mixed wastes potentially encountered by EPA facilities
include wastes from analytic procedures, actual waste samples from
other facilities, and discarded equipment such as lead shielding from
radio spectrometers Scintillation cocktails using organic
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solvent-based fluids are a specific example These laboratory
wastes generally consist of a radioactive compound carried in a
solvent reaction media such as xylene. When discarded, the
standard classification procedures apply, and the waste would be
regulated under RCRA as an F003 spent solvent and under
applicable NRC regulations. The RCRA generator requirements
applicable to "normal" hazardous wastes are also germane to these
mixed waste types.
As low-level radioactive mixed wastes are fully regulated by
Subtitle C controls, they are potentially subject to waste
code-specific land disposal restrictions. Since the May 8, 1992,
expiration of the two-year national capacity variance granted to
low-level mixed wastes, these wastes must meet all applicable LDR
requirements for the hazardous component of the waste
(Additional guidance on the LDR requirements applicable to
radioactive mixed wastes may be found in the LDR discussion of
this chapter)
Applicable personnel radiation monitoring requirements and safety
guidance are contained in two documents published by the EPA
Radiation Safety and Health Protection Program, Standard
Operating Practices for Laboratory Work and Standard Operating
Practices for Field Work
EMPTY CONTAINERS Residues of listed hazardous wastes that remain in containers will
(§261 7) continue to be regulated as hazardous waste unless the container is
rendered "RCRA empty" according to the procedures provided in
40 CFR §261.7. Residue in a container that has been rendered
empty in accordance with these procedures is not subject to
regulation as a hazardous waste.
Containers that held acutely hazardous waste (discussed in
§261 30) are rendered empty by triple-rinsing with a substance
capable of removing the acutely hazardous waste Since residues
from tnpie-rinsing come from containers that do not yet meet the
applicable performance standards, they must be managed as acutely
hazardous listed wastes.
Containers that have held other listed hazardous wastes are
considered empty when they meet one of two standards: (1) no
more than 2.5 centimeters (1 inch) of residue remains on the
bottom of the container, or (2) no more than 3 percent by weight of
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the total capacity remains in a container that is less than or equal to
110 gallons in size, or no more than 0.3 percent by weight of the
total capacity remains in a container that exceeds 110 gallons in
size.
To be considered for the one-inch standard, containers must first
have been emptied using all the practices commonly employed to
remove materials from that type of container Common practices
may include, but are not restricted to, pouring, pumping, aspirating,
or scraping.
Cylinders that contained hazardous compressed gases will be
considered empty when the pressure in the container reaches
atmospheric level.
Once a container has been declared empty, the container may be
appropriately managed without further control under Subtitle C of
RCRA Additional regulations applicable to the reuse of hazardous
waste containers can, however, be found in the DOT regulations in
49CFR§173 28
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Section 11-04
Requirements for Generators of Hazardous Waste - 40 CFR Part 262
GENERATOR
REGULATIONS
(Part 262)
The RCRA regulations found in 40 CFR Part 262 contain the
requirements applicable to generators of hazardous waste
Additional regulations applicable to generators are contained in 40
CFR Parts 264 through 280 Generators should review these parts
as well as Part 262 to ensure compliance with all applicable
regulations The summary table at the end of this section lists the
requirements for hazardous waste generators from Part 262
HAZARDOUS WASTE
DETERMINATION
(§26211)
The first step in determining which, if any, generator regulations are
applicable to a facility is to determine if solid wastes generated at
the facility are hazardous wastes This determination may be based
either on testing of the waste or by applying knowledge of the
materials or processes generating the waste. The hazardous waste
determination hierarchy in §262 11 (Exhibit 11-4) requires that a
generator must first determine if the solid waste is excluded from
RCRA regulation under §261 4 Second, if the waste is not
excluded, the generator must determine if the waste meets one of
the F-, K-, P-, or U-listings. Third, for the purposes of compliance
with the land disposal restrictions, or if the waste is not listed, the
generator must identify all relevant hazardous waste characteristics
(i e, ignitability, corrosivity, reactivity, and toxicity) in Subpart C
of Part 261 The final determination step ensures that all applicable
waste codes, both listed and characteristic, are assigned to afford
comprehensive treatment of all hazards associated with a waste as
mandated under the Hazardous and Solid Waste Amendments
(HSWA)of 1984.
Guidance. To afford consistent waste classification and enhance
the availability of pertinent information for DOT description, as
well as employee health and safety, EPA facilities should include
all relevant hazardous waste codes (listed and characteristic) when
performing hazardous waste determinations.
GENERATOR
CLASSIFICATION
EFA facilities must count the quantity of hazardous waste
generated each month in order to determine their generator
classification. The regulations stating which hazardous wastes are
to be counted in a generator's monthly quantity determination, are
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found in §261 5(c) and (d) While the regulations for counting
hazardous waste appear in the section of the regulations applicable
to conditionally exempt small quantity generators, all generators
must comply with the counting requirements found in §261 5(c)
and (d), not just conditionally exempt generators Generally,
wastes subject to "substantive regulation" (regulations related
directly to the accumulation, treatment, storage, transportation, or
disposal of hazardous wastes) are to be counted in a generator's
monthly quantity determination. Wastes that are not subject to
substantive regulation need not be counted The quantity of
hazardous waste generated per calendar month determines the
facility's generator status and which corresponding regulations are
applicable. Table 3 provides a summary of the quantity thresholds
for generator classifications and identifies the applicable
regulations
Table 3
Generator Classifications
Generator
Large Quantity
Generator (LOG)
Small Quantity
Generator (SQG)
Conditionally Exempt
Small Quantity
Generator (CESQG)
Quantity
> 1 000 kg/month hazardous waste
(approx >2200 Ibs.)
>1 kg/month acute waste
Between 100-1000 kg/month
hazardous waste
(approx 220-2200 Ibs.)
<100 kg/month hazardous waste
<1 kg acute waste
<100 kg acute residue
Applicable Regulations
40 CFR Part 262
40 CFR Part 262, Subparts A, B, C
(§262.34(d) is specific to SQGs), E.
and portions of Subpart D as
specified in §262.44
40 CFR §261 .5
The process of determining which hazardous wastes are subject to
"substantive regulation" is complex. Different waste management
scenarios will affect the amount of hazardous waste that is counted
toward a facility's monthly generation totals, which will impact the
facility's generator classification. Table 4 may be used as a tool for
determining which wastes (assuming the wastes are listed or exhibit
a characteristic of a hazardous waste) are counted toward a
facility's hazardous waste quantity determination. Additional
guidance on counting hazardous waste may be found in the March
24, 1986 Federal Register (51 FR 10152)
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Table 4
Counting Hazardous Waste
Waste Management Scenario
Waste placed into satellite accumulation
Waste placed directly into central accumulation
Expired or excess chemicals that have been designated as waste and will not
be recycled
Expired or excess chemicals that will be used without prior reclamation
Solvent put into a solvent reclamation unit.
if accumulated first
if not accumulated but placed directly in the recycling unit (count residuals
in this scenano)
if sent off-site for recycling
Treatment/recycling residuals (assuming material being recycled/treated was
accumulated prior to recycling and therefore already counted)
Treatment/recycling residuals (assuming matenal being recycled/treated was
not accumulated prior to recycling and therefore not already counted)
Waste disposed of down the dram to the local treatment works without prior
accumulation (disposal must be in compliance with federal, state, and local
Clean Water Act requirements) (Federal requirements in 40 CFR 403. 5(b))
Wastes accumulated for two days then disposed of down the drain (disposal
must be in compliance with federal, state, and local Clean Water Act
requirements) (Federal requirements in 40 CFR 403. 5(b))
Used oil sent for recycling
Used oil sent for disposal
Fluorescent lamps that will be disposed of or recycled
Batteries going for regeneration
Lead acid batteries going for reclamation
Batteries going for disposal
Waste going for precious metal reclamation
Is the Waste
Counted?
Yes
Yes
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
Yes
Yes
No
No
Yes
Yes
EPISODIC
GENERATION
Generators may periodically exceed or fall below their normal
generation limits in any given calendar month. In these situations
the facility must ensure compliance with the applicable generator
category in that particular month For example, if a facility typically
generates 700 kg of hazardous waste per month but due to
increased analytical work generates 1,100 kg in one month, the
waste generated in that month would be subject to large quantity
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generator standards. This would include 90-day on-site
accumulation, increased requirements for contingency planning,
personnel training, and biennial reporting Wastes generated in
other months may be managed separately and in this example would
be subject to SQG standards
Guidance. If past hazardous waste generation indicates routine
fluctuation in generator status, we recommend that facilities fulfill
the more stringent generator requirements at all times to ensure
compliance during these periods.
CONDITIONALLY
EXEMPT SMALL
QUANTITY
GENERATORS (§261 5)
A conditionally exempt small quantity generator (CESQG) may
generate up to 100 kg of hazardous waste or up to 1 kg of acutely
hazardous waste in a calendar month and be exempt from most
RCRA generator requirements There is no on-site accumulation
time limit unless imposed by state law Nonetheless, to remain
conditionally exempt, these generators should not accumulate in
excess of 1,000 kg of nonacute hazardous waste, 1 kg of acute
hazardous waste or 100 kg of spill residue from acute hazardous
waste If the 1,000 kg limit is exceeded, the entire waste volume
immediately becomes subject to all requirements for facilities that
generate between 100 and 1,000 kg of hazardous waste per month
(see 40 CFR §262.34). If the 1 kg limit for acute waste is
exceeded, that acute waste is subject to large quantity generator
standards As long as generators remain conditionally exempt, they
are not required to obtain an EPA identification number unless
stipulated by the state hazardous waste agency
Occasionally, conditionally exempt generators may generate in
excess of 100 kg of hazardous waste in a single month If this
occurs, all hazardous waste generated that month would be subject
to the 100-1000 kg per month generator requirements. Therefore,
it would be prudent to manage the waste volumes subject to
different regulatory schemes separately
Guidance To avoid the possibility of being out of compliance in
either of the above situations, EPA conditionally exempt small
quantity generators should be prepared to comply immediately
with all requirements applicable to I00-l',000 kg/month generators
in case they exceed their accumulation or generation limits (see
Table 6).
Note' Several states do not recognize the conditionally exempt
generator status. Consequently, in these states, all generators of
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hazardous waste may be regulated See Exhibit 11-9 for further
information
Guidance The conditionally exempt generator bears the burden of
proof of demonstrating that the facility is exempt from the
regulations. It is therefore essential that a log be maintained to
quantify waste generation volumes each month and that a waste
tracking system be implemented (see Exhibits 11-1 and 11-2) to
ensure the waste is being sent to and received by an approved
facility.
Waste Disposal To retain exempt status, conditionally exempt generators must
(§261 S(f) and (g)) ensure that their hazardous waste is disposed of at a permitted or
interim status RCRA treatment, storage or disposal facility (TSDF),
a facility that is licensed by a state to manage municipal or industrial
solid -waste; or a recycling/reclamation facility that legitimately
recycles the waste
EPA's Office of Solid Waste (OSW) has interpreted this regulation
to mean that a conditionally exempt small quantity generator's
waste must be shipped directly to a permitted (or interim status)
TSDF, a state-approved solid waste management facility, or a
recycler The waste may not be consolidated at an unpermitted
facility and then shipped to the permitted facility
This interpretation has a significant impact on many EPA facilities
Frequently, EPA conditionally exempt generators are located near
larger EPA facilities with regularly scheduled hazardous waste
pickups. Although it may seem convenient for CESQGs to
transport their waste to the larger EPA facility for subsequent
disposal, this practice is a violation of the regulations. CESQGs
must arrange for their hazardous waste to be transported directly to
a permitted facility. EPA facilities may consider scheduling the
hazardous waste transporter to pickup waste at all the local EPA
generator sites If this is not feasible, facility personnel may seek
written authorization from the appropriate state or Regional official
for the larger EPA facility to accept hazardous waste from the
proximal EPA CESQG
Guidance' All EPA facilities, regardless of generator status, must
ensure that only federal and state licensed or permitted
transporters are used for the transportation of hazardous wastes
on public highways.
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EPA IDENTIFICATION
NUMBERS
(§262 12)
Each generator of hazardous waste, except a CESQG, must obtain
an EPA identification number (EPA ID No) Generators may
obtain an EPA ID No by completing EPA Form 8700-12, which
can be obtained from the state hazardous waste management
agency or the appropriate EPA Regional Office
The EPA ED No. is site-specific, if a facility relocates, it will need
to apply for a new number Additionally, if the previously occupied
property is taken over by a new owner, the facility should be sure
its name is no longer associated with the past CD No This can be
accomplished by the new owner of the property, who should file a
subsequent form 8700-12 identifying the change in ownership.
Because the ID No is site-specific, an EPA facility with multiple
noncontiguous generation sites must have a different ED No for
each site
Guidance While not required, it is recommended that all EPA
generators obtain an EPA ID No. to safeguard conditionally
exempt generators in case they, on occasion, slip into regulated
generator status. Further, most transporters will not accept
hazardous -waste from a facility that does not have an EPA ID No.
To address this problem, some states will issue a temporary EPA
ID No. for CESQG waste shipments. In addition, EPA facilities
should ensure, where possible, that contractors and landlords who
generate hazardous waste have a separate EPA ID No. and that
contracts specify hazardous waste management responsibilities for
waste generated by contractors or landlords.
HAZARDOUS WASTE
MANIFESTS
(§262.20-23)
Manifests are used to track hazardous waste from the point of
generation to the point of ultimate disposal. Generators should
acquire manifests from the state to which the waste is being shipped
(consignment state). If this is not possible, they may acquire
manifests from their state hazardous waste officials. If manifests
are not available from either source, they may obtain copies of the
manifests from commercial printers The facility must sign a copy
of the original manifest that will accompany the waste to the
treatment, storage and disposal facility The facility must receive a
signed copy of the manifest from the TSDF confirming that the
waste reached its ultimate destination If a signed copy of the
msriifest is not received from the disposal facility within 45 days for
large quantity generators or 60 days for small quantity generators,
the facility must follow the exception reporting procedures in
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§262.42 Although the manifest is typically completed by the
hazardous waste transporter, it is important to review this
paperwork for accuracy prior to signing the manifest Common
manifest errors include improper waste characterization, inaccurate
DOT classification, and missing information
Guidance For exception reporting purposes, generators should
record the date of each hazardous waste shipment to track the time
required for the waste to reach the designated facility. Generators
should file the original manifest copy with the signed manifest
returned by the disposal facility. The copy of the manifest
returned from the disposal facility should be stamped with the date
it was returned to provide documentation that the manifest was
returned within the appropriate time frame. Any certificates of
destruction issued by the TSDF should also be filed with the
appropriate manifest. Contracts with transporters and disposal
facilities should include requirements to ensure that manifests are
returned to the facility within specified time frames. This
documentation must be maintained on-site for at least three years.
Facilities that generate between 100 and 1,000 kg of hazardous
waste a month may be exempt from manifest requirements if the
generator recycles the waste pursuant to a contractual agreement
with a recycler, which stipulates the waste types and recycling
frequency; and the vehicle used to transport the waste and return
the regenerated product is owned by the reclaimer This is referred
to by many as the "Safety Kleen" exemption, and is commonly
employed to manage spent solvents
ACCUMULATION Accumulation standards for generators include on-site
STANDARDS accumulation time limits, training, preparedness and prevention
(§262.34) requirements, and contingency planning. The differences in the
requirements for LQG and SQG generators of hazardous waste are
explained in each subsection. LQGs may accumulate hazardous
waste on-site for up to 90 days, while facilities generating
100-1,000 kg per month may accumulate waste on-site for 180
days, or 270 days if the waste must be transported more than 200
miles The accumulation start date is considered to be the date
waste is first placed in the accumulation drum, tank or other
container. The time period limitation does not apply while the
waste is in a satellite accumulation area. Table 5 provides the 0
accumulation standards for LQGs, SQGs, and CESQGs
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Table 5
Generator Classification Determines Length Of Accumulation Time
Generator Category
Large Quantity Generators
Small Quantity Generators
Conditionally Exempt Small
Quantity Generators
On-site Accumulation Time
< 90 days on-site
< 180 days on-site or
< 270 days if shipped > 200 miles
No time limit
On-site Quantity Limit
No Limit
6,000 kg
1 ,000 kg nonacute waste
1 kg acute waste
100 kg acute spill residue
Waste Accumulation
Units
Air Emission Standards
(Part 265, Subpart CC)
Hazardous waste containers are the most common waste
accumulation units at EPA facilities. Small and large quantity
generators accumulating hazardous waste in containers are subject
to the container management standards for TSDFs in Part 265,
Subpart I Containers and tanks accumulating hazardous waste
must be labeled "Hazardous Waste" and marked with the date that
waste initially accumulates in the container These standards are
discussed in more detail in the standards for TSDFs section Two
other waste management units may be used by generators for
accumulating hazardous waste (1) tanks that meet the Part 265,
Subpart J standards, and (2) containment buildings that meet the
Part 265, Subpart DD standards
New air emission regulations have been established in Part 265,
Subpart CC that may impact EPA laboratories accumulating
hazardous waste in containers In an effort to reduce volatile
organic emissions from hazardous waste management activities,
EPA promulgated new air emission standards on December 6, 1994
(59 FR 62896). These standards are applicable to large quantity
generators and RCRA treatment, storage, and disposal facilities that
manage hazardous waste in containers, tanks and surface
impoundments. Under these standards, EPA requires air emission
controls (e.g., leak-tight covers for containers), monitoring and
inspections, and specific recordkeeping for facilities subject to these
regulations Exemptions from these requirements are provided for
containers with a capacity of less than 0.1 cubic meter
(approximately 26 gallons), or that have an average volatile organic
concentration less than 100 parts per million by weight (ppmw) at
the point of generation In addition, for containers that have a
capacity less than 119 gallons, generators may use a container that
meets DOT specifications in 49 CFR Part 178, in lieu of meeting
the new standards. This exemption should ease the impact of these
requirements on EPA facilities.
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Guidance Using containers that meet DO T specifications for
hazardous waste accumulation in central storage areas is
recommended. This recommendation is applicable for containers
greater than 26 gallons but less than 119 gallons.
Accumulation at the
Point of Generation
(§26234(c)(l))
Generators may accumulate up to 55 gallons of hazardous waste, or
up to one quart of acutely hazardous waste, at or near the point of
generation provided they comply with marking requirements and
container management standards Accumulations of waste not
exceeding the 55-gallon limit may be stored indefinitely at the point
of generation unless otherwise specified by state law Once the
55-gallon limit is exceeded, the generator has 3 days to transfer the
excess waste to a hazardous waste accumulation area, at which
time the 90- or 180-day accumulation period begins, depending on
the generator's status For satellite accumulation points at a
laboratory, at or near the point of generation generally means
within the specific laboratory or laboratory area where the waste is
generated Once waste is moved from that room, it must be
directly transferred to a designated hazardous waste accumulation
storage area or a permitted or interim status storage area Typical
satellite accumulation points in laboratories include effluent
containers from Atomic Absorption Spectrophotometers and High
Pressure Liquid Chromatography (HPLC) units.
Based on audits of EPA laboratories, the most common satellite
accumulation problems include.
• Satellite accumulation containers not kept closed except when
adding or removing waste
• Containers not labeled "Hazardous Waste" or with other words
that describe the container's contents
• Containers not in good condition or incompatible with the
waste held
Interpretations of the satellite accumulation provisions by OSWER
allow certain wastes that may be generated throughout the facility
(e g., batteries and fluorescent lamps) to be collected at a central
location and still be subject to the reduced requirements for satellite
accumulation areas (OSWER Directive 9453 1993(01))
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Generator Training
Requirements
(§262 34(a)(4))
Preparedness and
Prevention
(§262 34(a)(4))
Contingency Plans
(§262 34(a)(4))
Recordkeeping
and Reporting
(Part 262, Subpart D)
Facility personnel conducting hazardous waste management
activities must receive training on emergency response procedures
and proper waste handling procedures that meet the personnel
training requirements for TSDFs in §265.16. Small quantity
generators are required to meet less stringent personnel training
requirements in §262.34(d)(S)(iii) CESQG facility personnel are
not required to meet personnel training requirements under RCRA,
but it is recommended. More discussion is provided on the
personnel training requirements in the standards for TSDFs section
Laboratories generating hazardous waste must be prepared to
respond to fire, explosions, and releases of hazardous waste at the
facility Large and small quantity generators must meet the
preparedness and prevention requirements for TSDFs in Part 265,
Subpart C The standards for TSDFs section provides more detail
on these provisions
In the event of a fire or explosion, the facility must have
contingency plan designed for immediate response to minimize
hazards to human health and the environment Large quantity
generators must meet the contingency plan requirements for TSDFs
in Part 265, Subpart D. RCRA does not require small quantity
generators to develop a formal contingency plan, but it is
recommended. Facilities that have existing spill prevention,
control, and countermeasures (SPCC) plans that meet the
requirements of 40 CFR Part 112 may amend the plans to
incorporate hazardous waste management provisions in lieu of
developing a separate contingency plan. The standards for TSDFs
section provides additional information on these provisions
Sound recordkeeping is a critical component in demonstrating
compliance with the RCRA regulations. A complete set of records
should include waste analysis and testing data used to identify and
characterize hazardous waste, a copy of the 8700-12 that was
submitted to the state or EPA Region, copies of hazardous waste
manifests (both originals and signed copies with a date received by
the facility), biennial hazardous waste reports (some states require
annual reports), and land disposal restriction notifications and
certifications (discussed in the LDR section).
A biennial report that details hazardous waste management
activities at large quantity generator facilities must be submitted to
the appropriate state environmental agency or EPA Regional
Office This report should include information on the quantity of
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hazardous waste generated during each even-numbered year and
the amount of hazardous waste shipped off-site Information also
must be included on waste minimization activities that have been
undertaken during the year to reduce the volume and toxicity of
hazardous waste generated at the facility Generators should note
that many states require this information on an annual basis (see
Exhibit 11-9).
HAZARDOUS WASTE As discussed above, large quantity generators must document
MINIMIZATION waste minimization activities conducted at the facility throughout
the year in their biennial report Also, generators must sign each
hazardous waste manifest that includes1 a certification for LQGs
that they have a waste minimization program in place, and a
certification for SQGs that they have made a good faith effort to
reduce the volume or toxicity of hazardous waste generated at the
facility
Waste minimization is defined as any environmentally sound
practice that reduces the toxicity or volume of waste that is
generated It consists of two predominant strategies source
reduction and recycling Source reduction is defined as the
elimination or reduction of waste that is generated, typically within
a process. Recycling consists of either reuse (i e., use of a spent
material as a viable product ingredient or substitute) or reclamation
(i e, processing of a spent material to recover useful product)
Relevant examples include reuse of a laboratory spent solvent for
lower purity applications such as degreasing (reuse) or regeneration
of spent solvents (reclamation).
The following six basic elements are common to most successful
waste minimization programs
• Top management support
• Characterization of waste generation and waste management
costs
• Periodic waste minimization assessments
• Appropriate cost allocation
• -Encouragement of technology transfer
• Program implementation and annual program evaluation
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These elements should be included in facility-specific waste
minimization plans in order to meet RCRA regulatory requirements
Such plans should be consistent with, or a pan of, facility pollution
prevention plans developed pursuant to Executive Order 128S6.
Table 6
RCRA Generator Summary
Requirements for Hazardous Waste Generators
Quantity
Limits
EPA ID
Number
On-Site
Accumulation
Quantity
Accumulation
Time Limits
Storage
Requirements
Off-site
Management
of Waste
Manifest
Biennial
Report
Personnel
Training
Contingency
Plan
Emergency
Procedures
DOT Transport
Requirements
CESQG
<100 kg/month
<1 kg acute/month
§§261.S(a)and(e)
Not required
§2615
< 1000 kg
< 1 kg acute
< 100 kg spill reside
from acute waste
§§261. 5(f)(2) and (g)(2)
None
§2615
None
§2615
Hazardous waste, state
approved solid waste, or
recycling facility
§§261. 5(f)(3) and (g)(3)
Not required
§2675
Not required
§2615
Not required
§267.5
Not required
2615
Not required
§2615
Yes
(as required by DOT)
SQG
Between 100-1000 kg/month
Part 262 and §262.34(d)
Required
§262. 12
<6000 kg
§262.34(d)(1)
< 1 80 days or
< 270 days if shipped over
200 miles §§262.34(d) and (e)
Basic requirements with most
technical standards for tanks or
containers
§§262.34(d)(2) and (3)
RCRA permitted/interim status
facility
§262.20(b)
Required
§262.20
Not required
§262.44
Basic training required
§262.34(d)(5)(iii)
Basic plan required
§262.34(d)(5)(l)
Required
§262.34(d)(5)(iv)
Yes
§§262.30-262.33
LOG
2 1000 kg/month or
>1 kg of acute
hazardous waste/month
Part 262 and §261.5(e)
Required
§262. 12
No Limit
< 90 days
§262.34(a;
Full compliance for
management waste in
tanks, containers, or
containment buildings
§262.34(3,)
RCRA permitted/interim
status facility
§262.20(b)
Required
§262.20
Required
§262.47
Required
§262.34(a)(4)
Full plan required
§262.34(a)(4)
Required
§262.34(a)(4)
Yes
§§262.30-262.33 *
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Section 11-05
Standards for TSDFs
GENERAL
BACKGROUND
State Programs
(§265 l(c)(4))
Neutralization Units
(§265 l(c)(10))
Both 40 CFR Part 264 and Part 265 apply to owners and operators
of facilities conducting hazardous waste treatment, storage and
disposal activities. Part 264 applies to facilities with RCRA Part B
permits, whereas Part 265 applies to facilities with interim status
(i e, have only submitted Part A of the RCRA permit application or
have submitted a Part B application that has not yet been
approved). Because the regulations in these two parts are
essentially identical, the regulations of Part 265 will be cited since ,
few EPA facilities have RCRA Part B permits and thus must
comply with the specific conditions of their permits which are based
on the Part 264 standards It is important to note that the
regulations under Part 265 for interim status facilities also apply to
LQGs and SQGs since the standards are incorporated by reference
in 40 CFR Part 262. Thus, this section provides additional
guidance on the standards applicable to both EPA TSDFs, as well
as generators
EPA facilities in states with authorized hazardous waste programs
must comply with state regulations Facilities located in
unauthorized states (e g., Iowa) are subject to federal hazardous
waste regulations in addition to state waste management
regulations unique to the specific state.
Guidance: All EPA facilities must have a current copy of the state
hazardous waste regulations and the federal RCRA regulations on
site. Exhibit 11-9 provides a description of states with hazardous
wastes regulations that are more stringent than the federal
program.
One relevant exemption from permitting requirements for treatment
activities at EPA facilities is for elementary neutralization units. An
elementary neutralization unit is defined as a device (tank,
container, transport vehicle or vessel) used to neutralize hazardous
wastes which exhibit only the characteristic of corrosivity or are
listed solely for that reason (40 CFR §260.10)
An elementary neutralization unit is exempt from Parts 264 and 265
of the RCRA regulations. If waste is stored prior to entering the
neutralization unit, however, it must be managed as hazardous
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waste. For example, if a laboratory generates acidic waste (pH less
than or equal to 2) through the use of an atomic absorption
spectrophotometer and stores the waste in a carboy attached to the
instrument, then that waste is hazardous waste The carboy must
be labeled as containing hazardous waste and the waste generated
must be counted toward the generator's monthly hazardous waste
accumulation.
Note See Chapter 6, Clean Water Act, for further information on
elementary neutralization units
GENERAL FACILITY
STANDARDS
(Part 265 Subpart B)
Security
(§265 14)
General Inspections
(§265 15)
Subpart B of Part 265 addresses general facility standards
applicable to owners and operators of TSDFs Portions of the
standards presented here are applicable to hazardous waste
generators through reference in 40 CFR §262 34 In addition, EPA
guidance recommends that aJi EPA generators comply with some
regulations in Part 265 which are not mandated by RCRA
Owners and operators of TSDFs must control entry to the
hazardous waste treatment, storage or disposal areas.
Guidance All EPA facilities must store hazardous waste in a
secure area. Only authorized individuals should have access to
the storage area. Additionally, each entrance to an active area
must be conspicuously marked "Danger - Unauthorized Personnel
Keep Out." Additional signage considerations include the use of
"No Smoking"postings where ignitable or reactive wastes are
being accumulated as well as posting requirements driven by other
legislation (e.g., NRC radiation postings, TSCA PCB markings).
All EPA facilities should implement a general inspection program
Such programs should be designed to prevent and detect all
incidents which may threaten human health or the environment
The inspection of such equipment should be recorded in a log sheet
such as that shown in Exhibit 11-5. Records of inspection should
be maintained for at least three years
Guidance: Spill prevention and control equipment, fire prevention
and control equipment, containment structures, communication
devices and security devices should all be inspected on a routine
basis (e.g., once every two months).
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Personnel Training Owners and operators of TSDFs and LQGs must comply with the
(§26516) RCRA personnel training requirements in §265 16 Facility
personnel engaged in hazardous waste management must meet
these training requirements within six months after assuming
responsibilities for hazardous waste management activities This
training must be renewed annually Although not required for small
quantity generators (training requirements for SQGs are specified in
§262 34(d)(5)(iii)) or CESQGs, it is recommended that all EPA
facilities generating hazardous waste comply with the training
requirements of 40 CFR §265 16
The training must be designed to ensure that EPA facility personnel
are familiar with proper waste management procedures and
emergency response procedures, equipment, and systems If a
facility, at any time and for any reason, slips into LQG status, it
must comply with all training requirements in 40 CFR §265 16 For
this reason, if a facility has the potential to be a LQG, it should
comply with 40 CFR §265 16 at all times
Guidance In order to verify compliance with personnel training
requirements, EPA facilities must maintain detailed and accurate
training records. For each training session, a report containing a
summary of the information covered, the date and length of the
training, and the signatures of those in attendance must be
prepared and placed in a training file. A sample of such a
document is shown in Exhibit 11-6. Additionally, each employee's
personnel file should contain a list of the training attended. EPA
Order 1440 should be referenced for a full list of Agency training
requirements for laboratory personnel.
EPA generators must be aware of other training regulations
applicable to hazardous waste management that may be included as
part of an overall training course A training course may be
developed to meet the regulatory requirements for training under
Occupational Safety and Health Act (OSHA) and DOT in addition
to the RCRA requirements. This may streamline the resources
required for training under the following regulations and internal
agency policies
• Hazard Communication Standard, OSHA (29 CFR 1910 1200)
• Respiratory Protection Standard, OSHA (29 CFR 1901 134)
• Hazardous Waste Site and Emergency Response Operations,
OSHA (29 CFR 1910.120)
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• Hazardous Materials Transportation, DOT (49 CFR § 173 1 (b)
and §173 700-704)
• Substance-specific training under OSHA 29 CFR Part 1910
• EPA Order 1440
• EPA Order 14402
PREPAREDNESS AND
PREVENTION
(Part 265 Subpart C)
Required Equipment
and Design
(§265 32)
The requirements of Subpart C apply not only to owners and
operators of TSDFs, but also to LQGs and SQGs When
hazardous waste storage areas are modified or newly constructed,
the preparedness and prevention standards must be incorporated
into the planning and design of the facility Inspection procedures
should be implemented to verify the facility's compliance with these
standards
All hazardous waste storage areas must have the equipment
described below
1 An internal communication or alarm system that is "readily
accessible" (i.e., within 20 feet) to persons working in the
hazardous waste storage area must be available. If no such
system activator, such as a fire alarm pull station, is readily
accessible, an air horn must be located in the storage area.
Personnel should be warned that the sounding of the air hom
indicates an emergency in the hazardous waste storage.area.
2. A communication device (e.g., telephone or two-way radio)
that is capable of summoning emergency assistance from local
authorities must be available. If a telephone is not located
within or immediately outside of the hazardous waste storage
area (i.e, within 20 feet of the working area), persons working
in the storage area must carry two-way radios in order to fulfill
this requirement
3. Portable fire extinguishers), fire control equipment, spill
control equipment and decontamination equipment must be
available. Portable fire extinguishers and spill control
equipment must be located within the hazardous waste storage
irea.
4. Water from a hose or sprinkler system or foam-producing
equipment must be accessible.
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Testing Equipment
(§265 33)
5 The area should also be designed with sufficient secondary
containment capacity to contain 10 percent of the volume of the
containers being accumulated. A base should underlay the
containers that is free of cracks or gaps and is sufficiently
impervious to contain leaks and spills until the collected
material is detected and removed
All of the emergency equipment mentioned above must be tested
and maintained regularly to ensure proper operation in case of an
emergency
Guidance Emergency equipment testing should be documented. A
form such as the one provided in Exhibit 11-5 should be used to
log the testing and maintenance of emergency equipment.
National Fire Protection Association (NFPA) pamphlets and local
fire codes should be consulted for specific emergency equipment
testing requirements.
When handling hazardous waste, personnel must have "immediate
access" to a communication device or alarm system
Guidance If such a communication device/alarm system is not
located within 20 feet of the area in which hazardous waste is
being handled, personnel must carry a two-way radio or an air
horn. Employees must not handle hazardous waste at times when
other employees are not present at the facility.
Guidance If possible, at least five feet of aisle space should be
maintained in hazardous waste storage areas to provide for the
unobstructed movement of personnel and fire, spill and
decontamination equipment.
Owners and operators of TSDFs, LQGs and SQGs must attempt to
make arrangements to familiarize local police, fire departments,
emergency response teams and hospitals with the potential hazards
at the facility
Guidance Representatives from the local fire department and
police station should be invited to tour EPA facilities at least
annually. If more than one police or one fire department might
respond to an emergency, the facility should designate a primary
emergency authority. Arrangements made with local authorities
must be documented. If the local authorities decline to enter mt»
such arrangements, the refusal should be documented.
Access to
Communications
or Alarm System
(§265 34)
Aisle Space
(§265.35)
Arrangements with
Local Authorities
(§265 37)
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CONTINGENCY PLAN
AND EMERGENCY
PROCEDURES
(Part 265 Subpart D)
Owners and operators of TSDFs and LQGs must prepare a
contingency plan in accordance with 40 CFR Part 265 subpart D
A copy of the plan must be maintained at the facility and submitted
to all local authorities which may be called upon to provide
emergency services (i.e., police, fire department, local hospital)
As stated previously, facilities that have an SPCC plan that meets
the requirements of 40 CFR Part 112 may amend the plan to
include hazardous waste management provisions in lieu of
developing a separate contingency plan.
Guidance: The local authorities should be requested to sign a
response card stating that they have received and reviewed the
plan. These should be maintained on file at the facility. A sample
response form is shown on below. The refusal of local authorities
to sign such a form should also be documented and maintained on
file.
Sample Response Form
I have received and reviewed the Environmental Laboratory's
Contingency Plan
Please check one:
D I agree with the emergency response procedures outlined in
the contingency plan
D I agree with many of the emergency response procedures
outlined in the contingency plan; however, I would like a
facility representative to call me to discuss some areas of
non-concurrence.
D I do not agree with the emergency response procedures
outlined in the contingency plan.
Signed:
Printed Name:
Date:
Job Title
Contingency Plan Amendments- If the facility holds a RCRA Part
B permit, amendment of the contingency plan constitutes a minor
(Class 1 or 2) modification to the RCRA Part B permit (51 FR
3 7912, September 28, 1988)
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Emergency Coordinator
(§265 55)
Each owner and operator of a TSDF and each LQG must designate
an emergency coordinator responsible for coordinating all
emergency response measures SQGs must also designate an
emergency coordinator according to §262 34(d)(5)
The emergency coordinator (or the designated alternate) must be
on the facility premises or on call at all times.
Guidance "On call" means being able to reach the facility within
15 minutes and being able to be contacted by phone. If the
emergency coordinator is at any time unable to be on call, an
alternate must be designated.
Emergency coordinators must be fully trained in accordance with
the OSHA requirements contained in 29 CFR §1910 120 before
participating in an emergency response action dealing with
hazardous substances
USE AND
MANAGEMENT OF
CONTAINERS
(Part 265 Subpart I)
Container Inspections
(§265 174)
The regulations in Subpart I apply to (1) owners and operators of
interim status TSDFs, (2) LQGs, and (3) SQGs, that store
hazardous waste in containers
Guidance. CESQGs should comply with the requirements set forth
in §§265.171-174.
Guidance- All EPA facilities should manage their hazardous waste
accumulation or permitted storage areas by date. Waste disposal
officers should operate on the "first-m first-out"principle. Waste
in storage for disposal for the longest period of time should be the
first shipped off-site for disposal.
All EPA operators of TSDFs and generators must inspect
hazardous waste containers stored for eventual off-site disposal at
least weekly. The inspector must look for leaks and deterioration
of containers
Guidance These inspections should be documented m a log book
or on a form such as the one provided as Exhibit 11-5.
The records of these inspections must be maintained for a period of
at least three years from the date of the inspection
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Incompatible Wastes
(§265 177)
Flammable Containers
Generators and TSDFs must consider all aspects of chemical
compatibility when managing hazardous wastes, and avoid"
• Mixing incompatible hazardous wastes or chemicals
• Placing hazardous wastes or chemicals in containers made of a
substance with which they may react
• Storing hazardous waste or chemical containers near other
materials or equipment with which they may react
Storing hazardous wastes in areas where they are incompatible
with environmental elements (e g, heat, rain, moisture)
The major categories of incompatibles are as follows1
• Acids and highly basic compounds
• Reactive metals (i.e., Al, Be, Ca, Li, Mg, K, Na, Zn) and
corrosives (acidic or basic)
• Water reactives (i e, concentrated corrosives, Ca, Li, K, metal
hydrides) and water or alcohols
Sulfides or cyanides and acids
Strong oxidizers (i.e, chlorine, chlorates, chlorites,
perchlorates, hypochlorites, chromic acid, nitrates, fuming nitric
acid, permanganates and peroxides) and flammables, organic
acids, reactive solvents or reactive metals
Exhibit 11-7 provides a summary matrix of chemical
incompatibilities. This reference should be consulted when
designing new chemical and hazardous waste storage areas as well
as when accumulating diverse wastestreams in a common storage
area.
Guidance EPA facilities should provide material safety data
sheets (MSDSs) and posters in and near hazardous waste storage
areas and laboratories to guide employees in the safe
management of incompatible waste streams.
Metal containers storing flammable liquids must be grounded to
protect against a buildup of static electrical charge See OSHA
regulations at 29 CFR §1910 106(e) for more information
Special Requirements for Recyclable Materials
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Section 11-06
Special Requirements for Recyclable Materials - 40 CFR Part 266
RECYCLABLE
MATERIALS
(§261 6)
To foster resource recovery — one of RCRA's primary goals —
hazardous waste recycling is strongly encouraged For some
hazardous wastestreams, special regulations have been established
under RCRA to promote recycling Other wastestreams may not
have unique regulations but still represent environmental and cost
benefits when recycled This section provides a general discussion
of the RCRA impacts on certain recyclable materials.
USED FLUORESCENT
LAMPS
Fluorescent and high intensity discharge (HID) lamps may contain
mercury or lead, which could result in the lamps being considered
hazardous waste under RCRA when removed for disposal There
are no special recycling provisions at this time for fluorescent and
HID lamps, but EPA issued a proposed rule on July 24, 1994 (59
FR 38288) that will prescribe how these wastes must be managed,
once approved
Currently, if the lamps exhibit the toxicity characteristics for
mercury, large and small quantity generators must manage the
lamps as hazardous waste. This includes RCRA on-site
accumulation standards, accumulation time limits, counting toward
monthly generation totals, and manifests for off-site shipment for
recycling or disposal The two options for disposal of fluorescent
and HID lamps that exhibit the toxicity characteristic are recycling
and disposal.
Guidance The preferred alternative for EPA facilities to minimize
potentially harmful releases of pollutants into the environment is
to recycle large quantities (i.e., greater than 300 four-foot TJ2 or
400 four-foot T8 lamps per month) of hazardous lamps by using a
complete mercury recovery or retorting process. The solid waste
landfill disposal option is not recommended because more
environmentally sound management alternatives exist. Disposal of
smaller quantities of hazardous lamps shall be addressed on a
case-by-case basis. In either scenario, shipping the lamps off-site
wo--d require a hazardous waste manifest and a transporter with
an EPA identification number. It is also critical to ensure that the
state does not have more stringent regulations. It is prudent to
contact the appropriate EPA Region and the state environmental
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agency to ensure the recycling and disposal company is in
compliance with applicable environmental regulations.
If the facility is a conditionally exempt small quantity generator
(less than or equal to 100 kilograms of hazardous waste or less than
or equal to 1 kilogram of acutely hazardous waste per calendar
month), less stringent disposal regulations are applicable A
conditionally exempt generator has the option to dispose of lamps
in a RCRA Subtitle D solid waste landfill. For estimating purposes,
disposal of approximately 300-350 lamps would create a change in
generator status from conditionally exempt to small quantity
generator To offset the burden of changing generator status,
CESQGs may want to use a relamping or maintenance contractor
that will assume the generator responsibilities for any waste lamps
USED OIL
MANAGEMENT
(§261 6(a)(4) and §279)
Special regulations have been established in 40 CFR Part 279 that
are applicable to used oil recycling The most common method for
recycling used oil is burning it to recover energy The used oil
regulations established management standards for generators
storing used oil on-site prior to off-site recycling These standards
include container management and labeling requirements, tracking
for off-site shipments, and requirements applicable to mixing used
oil with hazardous waste. Used oil should be segregated and
labeled to avoid being mixed with hazardous waste. This mixing
could subject the entire wastestream to hazardous waste
management regulations. If the used oil is recycled on-site,
additional regulations under Part 279 may be applicabler-On the
other hand, waste oil that is disposed is potentially subject to
RCRA hazardous waste controls like any other solid waste.
Guidance: While the Part 279 used oil standards for container
management and labeling have not been adopted in some states
with authorized RCRA programs, it is recommended that
generators in all states follow these standards. In addition, many
states may have existing used oil regulations that must be followed
(see Exhibit 11-9 for further details).
SPENT SOLVENTS
Recycling spent solvents generated at EPA laboratories is the
preferred waste management alternative for these wastes based on
the potential cost savings and environmental benefits There are no
special provisions under the RCRA regulations for solvent *
recycling When these wastes are accumulated on-site prior to
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recycling, they must be managed as hazardous waste including
counting, labeling, and manifesting for off-site shipments The
recycling process is exempt from federal treatment permit
requirements under RCRA, therefore, recycling could be conducted
on-site or off-site depending on the quantities of waste involved
PRECIOUS METALS
(Part 266, Subpart F)
Wastes generated at EPA facilities that may contain economically
significant quantities of gold, silver, platinum, palladium, indium,
osmium, rhodium, or ruthenium may be recycled with only minimal
RCRA requirements. Generators must have an EPA ID No, count
the waste toward monthly generation totals, and use a hazardous
waste manifest when shipping waste off-site No RCRA
accumulation standards are applicable to on-site storage of the
waste Solid pieces or fines of precious metals would not be
subject to any regulation if recycled as scrap metal (see
§261 6(a)(3)(iii))
SPENT LEAD-ACID
BATTERIES
(Part 266, Subpart G)
Spent lead-acid batteries, while not a common wastestream at EPA
facilities, are occasionally removed for disposal Lead-acid batteries
have special provisions that allow for recycling with minimal
requirements If the facility is not actually conducting the recycling
activities, no RCRA regulations are applicable to the generator or
transporter Facilities conducting lead-acid battery recycling must
meet substantial RCRA requirements
Guidance The facility should contact the EPA Regional Office to
confirm that the recycling facility has obtained an EPA ID No. and
to determine the compliance history of the recycling facility.
Special Requirements for Recyclable Materials
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Section 11-07
Land Disposal Restrictions - 40 CFR Part 268
INTRODUCTION
In November 1984, Congress enacted the Hazardous and Solid
Waste Amendments to RCRA, which mandated broad changes to
the hazardous waste management program Among the most
significant portions of the amendments, HSWA required EPA to
establish a comprehensive set of management standards governing
the land disposal of untreated hazardous wastes These standards,
known as the land disposal restrictions, are codified at 40 CFR Part
268 Hazardous wastes become "restricted" and, therefore, subject
to the LDR program when they are prohibited from land disposal
by either regulation or statute, regardless of any extensions,
exemptions, or variances. "Prohibited" wastes are a subset of the
restricted wastes and are defined as those restricted wastes which
are ineligible for land disposal since they do not meet designated
treatment standards after the appropriate effective date Wastes for
which no treatment standards have been promulgated, and which
are not specifically designated by HSWA as ineligible for land
disposal, are neither restricted nor prohibited, and are not currently
subject to the LDR program The areas of the LDR program most
significantly impacting EPA facilities are described below
NOTIFICATION AND
CERTIFICATION
REQUIREMENTS
(§268 7, §268 9)
Basic notification and certification requirements
Generators of restricted wastes must provide notice and
certification, and comply with the recordkeeping and waste analysis
requirements mandated by applicable sections of 40 CFR §268 7(a)
Table 7 provides a summary of the basic LDR notification and
certification requirements Details and discussion on this topic are
provided below
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Table 7
Summary of Basic Notification and Certification Requirements
Scenario
Waste does not meet
applicable treatment
standards or exceeds
applicable prohibition
levels (see §268.7(a)(1))
Waste can be disposed
without further treatment
(meets applicable
treatment standards or
does not exceed
prohibition levels upon
generation) (see
§268 7(a)(2))
Waste is subject to
exemption from a
prohibition on the type of
land disposal used for the
waste, such as a
case-by-case extension.
a no-migration
exemption, or a national
capacity variance (see
§268.7(a)(3))
Frequency
With each
shipment
With each
shipment
With each
shipment
Recipient of
notification
Treatment or
storage facility
Land disposal
facility
Treatment,
storage, or
disposal facility
Recordkeeping, notification, and/
or certification requirements
Notice must include:
EPA hazardous waste code
Constituents of concern
Treatability group
Manifest number
Waste analysis data, where
available
Notice and certification statement
that waste meets applicable
treatment standards or applicable
prohibition levels must also include:
EPA hazardous waste code
Constituents of concern
Treatability group
Manifest number
Waste analysis data, where
available
Notice must include:
• EPA hazardous waste code
Constituents of concern
• Treatability group
Manifest number
Waste analysis data, where
available —
Date the waste is subject to the
prohibitions
With each shipment of restricted waste sent off-site, or in
conjunction with on-site treatment or disposal of a restricted waste,
the generator must provide notification. The notice must include
• EPA hazardous waste code
• Hazardous constituents to be monitored, if monitoring will not
include all regulated constituents, for wastes F001-F005, F039,
D001, D002, and D012-D043; for all wastes, the notice should
also include whether the waste is a wastewater or
iionwastewater, and any appropriate subcategory, if applicable
Accompanying manifest number
• Waste analysis data, where available.
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This notification must accompany all shipments of restricted wastes,
regardless of whether they are being shipped to a recycler,
treatment facility, storage facility or disposal facility. Copies of the
notifications must be maintained by the generator for five years
Table 8 has been included to prevent confusion with other
recordkeeping requirements potentially applicable to EPA facilities.
It should be noted that record retention periods are automatically
extended during the course of any unresolved enforcement action
regarding the regulated activity or as requested by the
Administrator
Table 8
Summary of Recordkeeping Requirements Potentially Applicable
to Generators Of Hazardous Waste
Recordkeeping Requirement
Documentation of claims that materials are not
solid wastes or are conditionally exempt from
regulation
Copy of each returned, signed manifest
Copy of each Biennial Report and Exception Report
Records of any test results, waste analyses, or
other determinations in accordance with §262.11
Documentation that recyclable materials to be sent
for precious metals reclamation have not been
speculatively accumulated
Copy of waste analysis plan when treating in
generator tanks, containers or contaminant
buildings according to §262.34
Any documentation supportive of hazardous waste
identification based on knowledge and all waste
analysis data
A copy of all other notices, certifications,
demonstrations, waste analysis data, and other
documents produced pursuant to §268.7
Citation
§261.2(0
§262.40(a)
§262.40(0)
§262.40(C)
§266.70(c)
§268.7(a)(4)
§268.7(a)(5)
§268.7(a)(7)
Length
Unspecified
3 years from receipt
3 years from due date
3 years from date waste sent
for treatment, storage or
disposal —
Revised annually
5 years
5 years
5 years
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If the generator determines that the waste meets the treatment
standard and decides to ship the waste to a land disposal facility,
the notification must include a signed certification that the waste
meets the treatment standards The language for the certification is
provided in §268 7(a)(2). Copies of the notification, certification,
and associated waste analysis data must also be retained for a
minimum of five years
If a generator is managing a restricted waste that is subject to an
exemption from a prohibited type of land disposal, such as a
nationwide capacity variance or a case-by-case extension, a
notification must still be provided with each shipment of the waste (
In addition to the standard information, the notice should also
include the date upon which the waste will become subject to
prohibition, per §268 7(a)(3)
Regardless of whether a generator identifies waste based on
knowledge or testing data, all data and analytical results that
support the determination must be maintained on-site In addition
to these materials, generators must also retain on-site copies of all
notices, certifications, demonstrations, waste analysis data and any
other records associated with shipments of restricted wastes for at
least five years.
Special notification and
certification requirements
of particular interest to
EPA facilities
Beyond the basic notification and certification requirements,
§268 7(a) identifies a number of procedures with significantly
narrower applicability. Of those, the scenarios with notable
applicability to EPA facilities are identified below If a generator is
managing a restricted waste that is excluded from the definition of
hazardous or solid waste subsequent to the point of generation, a
one-time notification must be placed in the facility file A relevant
example would be a one-time notification that is developed for
corrosive wastes that are managed through sewer disposal methods
after elementary neutralization. The notice should state such
generation, subsequent-exclusion, and the final disposition of the
waste This provision was codified in 40 CFR §268.7(a)(6) (56 FR
3878, January 31, 1991).
Small containers of laboratory wastes that are grouped together and
placed in overpacked drums are-subject to all the applicable
waste-specific prohibitions; they are, however, also eligible for a
single-alternative treatment standard, as discussed below
Generators who wish to take advantage of the alternative treatment
standard should provide the basic notification for wastes that do not
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meet treatment standards, except they need not note constituents of
concern, and a special certification for lab packs containing the
language found in 40 CFR §268 7(a)(8) Generators notifying for
lab packs must also comply with the previously identified
requirements for wastes excluded subsequent to the point of
generation and for record retention
EPA facilities that intend to lab pack wastes for disposal should
also consider the special DOT packaging requirements in 49 CFR
§173 12(b). Specifically, these include the following requirements
for lab packs
• Outer packagings (e g., UNI A2 or UN1B2 metal drums, UN1G
fiber drum, or UN1H2 plastic drum) may contain only one
hazard class of waste material
Inner packagings should be either glass, not exceeding 4 liters
rated capacity, metal not exceeding 20 liters capacity, or plastic
not exceeding 20 liters capacity
• Inner packagings containing liquid should be surrounded by a
chemically compatible absorbent material in sufficient quantity
to absorb the total liquid contents
• Gross weight of the complete package may not exceed 205 kg
(452 Ibs )
Notification and
certification
characteristic wastes
Shipments of restricted characteristic wastes are subject to all the
applicable notification, certification and recordkeeping requirements
of §268 7, but different notification requirements apply to these
wastes once they are no longer hazardous For deactivated wastes
that were restricted at the point of generation, facilities should
provide a one-time notification to the EPA Region or authorized
state, and retain a copy of the notification on-site The notice
should include the name and address of the RCRA Subtitle D
facility receiving the waste and the EPA hazardous waste codes and
all underlying hazardous constituents present in the waste as
initially generated. For ongoing processes, this notice must be
updated only if the process changes or if the Subtitle D recipient
facility changes Even then, notification need only be updated
annually A certification according to §268.7(b)(5) should
accompany the notice, declaring that the waste either meets
treatment standards or still requires additional treatment for
underlying hazardous constituents
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Guidance When a restricted characteristic waste has been
rendered nonhazardous but still requires additional treatment for
underlying hazardous constituents, EPA facilities must notify the
treatment or disposal facility of any underlying hazardous
constituents present in the waste at the point of generation. This
information is necessary since the disposal facility has the ultimate
responsibility for land disposing onfy those restricted wastes that
meet LDR treatment standards.
TREATMENT The goal of the LDR program is to minimize threats to human
STANDARDS health and the environment posed by wastes that are to be land
(§268 40-45) disposed The regulations, therefore, require that all restricted
wastes intended for eventual land disposal meet specific treatment
standards The treatment standards for listed and characteristic
wastes are promulgated according to EPA waste code in 40 CFR
§268 40 and take one of the three forms described below
• "Total waste standards" establish maximum values for
particular hazardous constituents in the waste To meet a total
waste standard, the total concentration of each hazardous
constituent in the waste or the treatment residue must not
exceed a value given in the table for the waste
• "Waste extract standards" identify maximum concentration
values for specific hazardous constituents in extracts of the
waste or treatment residues. Wastes with extract standards are
eligible for land disposal once an extract of the waste or
treatment residue does not exceed any numeric concentration
given in the table for that waste.
• "Technology standards" mandate treatment of the waste with a
specified technology. To be eligible for land disposal, a
prohibited waste with a specified technology must be treated in
accordance with the full description given in Table 1 of 40 CFR
§268 42.
• To be eligible for land disposal, a waste must meet the
treatment standards for all applicable listings and characteristics.
For purposes of LDR, however, wastes will not be considered
characteristic where the treatment standard for the listed waste
specifically addresses the property or constituent that causes the
waste to exhibit the characteristic
Two wastestreams potentially generated by EPA laboratories
illustrate this point. Following use in analytical testing, a spent
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solvent mixture containing 30 percent methylene chloride, 30
percent benzene, and 40 percent inert ingredients will carry the
waste code F002 Though the waste also fails the TCLP for
benzene (DO 18), §268 9(a) only requires that the waste carry the
listing for purposes of LDR, since the standard for F002 specifically
requires treatment of benzene to a concentration of 10 mg/kg. In
contrast, a solvent mixture containing 80 percent methanol and 20
percent carbon disulfide before use would be classified as F003 and
FOOS following use in an analysis for semivolatiles While these
wastes are listed for both toxicity and ignitability, the treatment
standards for the listings address only the toxic constituents. Since
the waste also exhibits the characteristic of ignitability (D001) and
the treatment standard for the listings does not specifically address
that hazardous property, the waste would also need to meet the
standard for waste code D001 to be eligible for land disposal.
Universal treatment
standards and treatment
of underlying hazardous
constituents
The waste-code specific standards of §268 40, which mandate
treatment of prohibited wastes in order to be eligible for land
disposal, rely heavily upon the list of universal treatment standards
(UTS) found in 40 CFR §268 48 As the comprehensive list of
regulated hazardous constituents and their associated
technology-derived numeric treatment standards, the UTS dictates
the uniform, numeric treatment level for any hazardous constituent
identified in a §268 40 standard As a result, an individual
constituent such as benzene shall be treated to the same level
regardless of whether it is regulated in a listed waste or
characteristic waste. —
To further minimize threats to human health and the environment,
the treatment standards for certain characteristic wastes (D001,
D002, D012-D043) may sometimes mandate treatment of
additional hazardous constituents even though they are present at
concentrations below the point at which they would exhibit a
characteristic These constituents subject to further treatment are
referred to as "underlying hazardous constituents" and are defined
by their presence in a waste at the point of generation in
concentrations that exceed UTS levels Where the treatment
standard for a characteristic waste mandates that it "meet §268 48
levels," the waste must be legitimately treated to reduce the
mcr-.ility or toxicity of all underlying hazardous constituents present
in me waste until they fall below UTS levels.
Land Disposal Restrictions
11-53
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Environmental Compliance Manual
Resource Conservation and Recovery Act
June 1998
Characteristic solvents
and acids treatment for
underlying hazardous
Alternative treatment
standard for lab packs
This requirement is of particular note to EPA facilities due to the
quantity of characteristic wastes that they may produce. For
example, the excess aliquot from an analysis for hexavalent
chromium could fall into this category If the waste had a pH of 1 5
due to the presence of sulfuric acid, and an extract of aliquot
constituents prior to land disposal yielded a total chromium content
of 4 0 mg/1, the waste would be identified solely as a D002 waste
for the characteristic of corrosivity However, to be eligible for land
disposal, the waste would need to be deactivated and then treated
to reduce the teachable level of chromium to below the universal
treatment standard of 0.86 mg/1 as measured by the TCLP. Even if
facilities do not treat or dispose of hazardous wastes on-site,
notification pursuant to §268.7(a) requires that they identify
underlying hazardous constituents, where applicable
As previously noted, laboratories frequently dispose of many small
containers of hazardous wastes by placing them in overpacked
drums Because lab packs are potentially subject to a different
prohibition and associated treatment standard for each waste they
contain, they have been given a single alternative treatment
standard for ease of compliance. Lab packs satisfying the
requirements of 49 CFR §173 121(b) and 40 CFR
§§264 316/265 316 that do not contain any of the mercury bearing
wastes listed in Appendix IV to Part 268 will be eligible for land
disposal following incineration in a hazardous waste incinerator, so
long as any incinerator ash then meets the treatment standards for
metal wastes (D004-D011)
DILUTION
PROHIBITION
(§268 3)
According to the LDR regulations, no one shall dilute a restricted
waste to avoid an applicable treatment standard. This was intended
to ensure legitimate treatment of hazardous wastes in order to
reduce the toxicity and mobility of hazardous constituents
Dilution, however, is permissible for certain characteristic wastes
managed in systems whose discharge is regulated by the Clean
Water Act or the Safe Drinking Water Act. Until Phase HI of the
land disposal restrictions is finalized (the proposed rule was
promulgated at 60 FR 11702, March 1, 1995), the decision
flow-chart in Exhibit 11-8 may be used to identify the
circumstances under which dilution is not yet prohibited.
Dilution of prohibited wastes generated at EPA laboratories will
not usually be allowed. For example, a D001 (high TOC •
subcategory) spent solvent mixture that contained 50 percent
Land Disposal Restrictions
11-54
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Environmental Compliance Manual June 1998
Resource Conservation and Recovery Act
acetone and 50 percent acetonitrile before use could not be diluted
if it is going to be land disposed. The waste would require
legitimate treatment to remove the characteristic and comply with
the UTS for all underlying hazardous constituents present at the
point of generation
Another dilution action that is not permissible is treatment with an
inappropriate technology given the chemical and physical properties
of the waste Examples include biological treatment or combustion
of inorganic metal-bearing hazardous wastes. This is not allowed
because restricted wastes are diluted and treatment standards are
circumvented by transferring of hazardous constituents to other
media
It is permissible, however, to dilute restricted wastes that are not
disposed via a prohibited method of land disposal Where wastes
are disposed by methods that do not constitute a prohibited form of
land disposal, the treatment standard would not be applicable
As an example, consider a solvent blend of methanol, acetonitrile,
and water, that is to be discharged directly to a sanitary sewer
following use in an analytical process Although this is a restricted
D001 waste that carries the underlying hazardous constituent
acetonitrile, it is never managed in a land-based unit prior to the
point of exclusion for mixtures of wastes with domestic sewage
Subsequently, dilution would not be prohibited as it does not occur
in order to avoid treatment standards Nonetheless, the generator
must still comply with the notification requirements for restricted
wastes that are excluded subsequent to the point of generation.
Guidance While disposal of wastes in this manner is not
prohibited under the land disposal restrictions or RCRA, the
general pretreatment standards under the Clean Water Act
contained in 40 CFR §403.5 prohibit the introduction of wastes
into POTWs that woi iJ interfere with the operation of the
treatment plant. EPA facilities should consult applicable sewer
discharge requirements issued by their local POTWprior to
discharging RCRA hazardous wastes. EPA facilities should also
consider long-term contamination potential of subsurface soils and
elementary neutralization systems (e.g.. sludge residues) when
evaluating facility wastewater discharge implications.
Land Disposal Restrictions 11-55
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EnvironmentaJ Compliance Manual
Resource Conservation and Recovery Act
June 1998
STORAGE
PROHIBITION
(§268 50)
The land disposal restrictions also prohibit long-term storage as a
means of avoiding treatment standards. Specifically, storage of
restricted wastes is allowed only in tanks and containers and only
for the purpose of accumulating sufficient quantities to facilitate
proper treatment, storage, or disposal If an EPA-permitted facility
stores a restricted waste for more than a year, it bears the burden of
proof that storage was for the purpose of accumulating sufficient
quantities to facilitate proper treatment or disposal For storage
within the one year period, EPA and state enforcement divisions
bear the burden of proof of noncompliance.
The storage prohibition can present significant difficulty to federal
facilities that manage radioactive mixed wastes. While RCRA
requires that the wastes be adequately treated, there is a significant
lack of capacity to properly treat wastes according to AEA
specifications The Federal Facilities Compliance Act of October 6,
1992, attempts to resolve these competing demands by allowing
federal facilities until October 6, 1995, to develop enforceable,
approved, site-specific plans that specify how LDR requirements
will be met for mixed wastes After that date, federal facilities
without such plans will be subject to fines and punishment as
directed by EPA
Guidance Since EPA is ultimately responsible for enforcement of
these statutory requirements, EPA facilities that store mixed wastes
must take a proactive approach in developing site-specific
management plans for their mixed wastes.
TREATMENT IN
ACCUMULATION
TANKS AND
CONTAINERS
(§262 34)
To truly minimize future threats to human health and the
environment, the LDR program must ensure that wastes are
legitimately treated to meet the established prohibitions. The
integrity of this process is maintained by the stringent regulations
and permit standards that govern all activities at hazardous waste
treatment, storage and disposal facilities. To warranty that waste
treatment is properly performed outside of these facilities, the land
disposal restrictions subject generators of hazardous wastes to
parallel waste analysis and certification requirements, when they
treat wastes for purposes of LDR.
If a generator is managing a restricted waste in tanks or containers
regulated under §262 34 and is treating such waste to meet
applicable treatment standards, the generator must develop and
follow a written waste analysis plan (WAP), and provide the
Land Disposal Restrictions
11-56
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Environmental Compliance Manual June 1998
Resource Conservation and Recovery Act
notification required under §268 7(a)(2) The waste analysis plan
must be-
• Kept on site in the facility's files
Descriptive of procedures the generator will take to meet LDR
treatment standards
Based on a physical and chemical analysis of a representative
sample of the waste
• Filed with the facility's implementing agency.
This requirement is limited in its applicability to generators that
treat their wastes to meet LDR prohibitions in these units subject to
substantive regulation. Waste analysis plans are not required when
treating wastes in units exempt from regulation, or when wastes are
not subject to prohibition Treatment in an excluded elementary
neutralization unit is an example of an activity not subject to a
WAP even if treatment is intended to achieve compliance with LDR
standards
Guidance Even when not required to follow waste analysis plans,
EPA facilities will find WAPs useful as part of their waste tracking
system. Facilities should, therefore, consider the development of
waste analysis plans to fully characterize the physical and
chemical properties of their wastes, and to help identify the
presence of any underlying hazardous constituents.
Land Disposal Restrictions 11-57
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This page left intentionally blank
-------
Environmental Compliance Manual June 1998
Resource Conservation and Recover}- Act
Waste Characterization Record
Satellite Accum. Loc. Container # Date
Generator Container Size Accumulation Start Date
Profile # Storage Room #
90/180/270 Day Accumulation Time Limit Ends
COMPOSITION
Based on Generator Knowledge Based on Analysis
DESCRIPTION Physical State pH Volume
Concentration (%) Color Odor _
Other Analyses Run
Decision Questions. Yes No
1. Is the Waste RCRA Solid Waste'
2. Is the Waste Excluded'
3. Is the Waste Listed?
If Yes, Give EPA Waste Code(s)
4 Does the Waste Display a Characteristic?
If Yes, Give EPA Waste Code(s)
5. Is the Waste a Regulated Mixture?
RADIOACTIVE WASTES
Yes No
Is the Waste a Low-Level Mixed Waste?
If yes, What is the Radioisotope? Radioactivity?
COMMENTS
FINAL CLASSIFICATION
EPA Hazardous Waste Code(s) _
DOT Proper Shipping Description
Radiation Safety Officer Environmental Compliance Manager
Exhibit 11-01 11-59
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Environmental Compliance Manual
Resource Conservation and Recovery Act
June 1998
Hazardous Waste Tracking Sheet*
Waste
Description/
Profile
Number
EPA
Waste
Codes
Satellite
Accumulation
Area
Date
Placed in
Central
Storage
Date
Shipped
For
Disposal
Return
Manifest?
Additional
Comments
"An automated information management system may be used to facilitate the hazardous waste tracking
process
Exhibit 11-02
11-60
-------
Environmental Compliance Manual June 1998
Resource Conservation and Recovery Act
Alphabetized List of F001 - FOOS Solvents
SUBSTANCE NAME
Acetone
Benzene
N-Butyl Alcohol
Carbon Disulfide
Carbon Tetrachloride
Chlorobenzene
Chlonnated Fluorocarbons
Cresols
Cresylic Acid
Cyclohexanone
2- Ethoxyethanol
Ethyl Acetate
Ethyl Benzene
Ethyl Ether
Isobutanol
Methanol
Methylene Chloride
Methyl Ethyl Ketone
Methyl Isobutyl Ketone
Nitrobenzene
2-Nitropropane
Ortho-Dichloro benzene
Pyridine
Tetrachloroethylene
1,1.1 Trichloroethane
1,1,2Trichloroethane
Trichloroethylene
1 ,1 ,2 Tnchloro-1 ,2,2 Trifluoroethane
Tnchlorofluoromethane
Toluene
Xylene
CATEGORY
F003
FOOS
FOOS
FOOS
F001
F002
F001
F004
F004
F003
FOOS
FOOS
F003
F003
FOOS
FOOS
F001.F002
FOOS
FOOS
F004
FOOS
F002
FOOS
F001 , F002
F001.F002
F002
F001.F002
F002
F002
FOOS
FOOS
Exhibit 11-03
11-61
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Environmental Compliance Manual
Resource Conservation and Recovery Act
June 1998
The Hazardous Waste Determination Hierarchy
Is the material a solid waste
as defined in §261 2?
(§26211)
NO
The material is not subject
to RCRA Subtitle C
YES
Is the solid waste excluded from
regulation as a hazardous waste
under §261 4(bp (§26211(a))
YES
The material is not subject
to RCRA Subtitle C
NO
Is the solid waste listed as
a hazardous waste in
Part 261, SubpartD?
(§26211(b))
NO
YES
Even if the waste is listed, for
purposes sofPart 268, the
generator must also determine if
the listed waste exhibits a
characatenstic (§262 11 (c))
NO
Does the solid waste exhibit
a characteristic identified in
Part 261, Subpart C?
(§26211(c))
Has the waste been dehsted
under §260 22?
(§26211(b))
YES
NO
The waste Is hazardous and is
subject to Subtitle C Regulations
(§(26211(d)
YES
Exhibit 11-04
11-62
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Environmental Compliance Manual
Resource Conservation and Recovery Act
June 1998
Accumulation Site Inspection Log
Inspection Date
YES
NO
CONTAINER CONDITION
Are containers in good condition (e.g., free of dents or corrosion)?
Are containers closed?
Are containers leaking?
MARKING AND LABELING
Is the accumulation start date marked on the container?
Is a hazardous waste label on the container?
Are any containers approaching the accumulation time limit of 90- or 180-day (270
days, if the waste will be shipped over 200 miles) accumulation time limit?
COMPATIBILITY
Is the waste compatible with the accumulation container?
For LQGs, are ignitable or reactive wastes stored at least 15 meters (50 feet) from
the facility property line?
Are incompatible wastes stored in separate containers and segregated by a dike,
berm, wall, or other device to prevent mixing or reactions?
PREPAREDNESS AND PREVENTION
Is spill control equipment available?
Is the accumulation storage area equipped with an internal communication or alarm
system that can provide instruction to facility personnel?
Is the accumulation storage area equipped with a telephone or two-way
communication system to contact outside emergency personnel?
Is the accumulation storage area equipped with fire control equipment including fire
extinguishers and other fire control equipment (e.g. sprinklers)?
Are the communication systems and fire control equipment tested on a periodic
basis?
Is adequate aisle space (i.e., 2-5 feet) maintained between rows of containers to
allow for unobstructed movement of emergency response personnel and
equipment?
_
IF "No" was answered to any of the questions above please provide additional comments on the situation
and pending corrective action status.
Exhibit 11-05
11-63
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Environmental Compliance Manual
Resource Conservation and Recovery Act
June 1998
Training Summary Report
Title of Course:
Date-
Instructor(s):
Summary of Course:
Course Length:
Name (printed)
Signature
Job Title
Exhibit 11-06
11-64
-------
Environmental Compliance Manual
Resource Conservation and Recovery Act
June 1998
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21
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-------
Environmental Compliance Manual
Resource Conservation and Recovery Act
June 1998
Dilution Prohibition Decision Flow-Chart
Dilution
is not
prohibited
Dilution
is not
prohibited
NO
NO
Listed
Waste
^
r
Is the waste or a
treatment residue
with the same
treatabildy group
going for land
disposal?
1
YES
r
Is the treatment
standard given in
§26840
identified solely
as -DEACT-7
i
, YES
Deactivation is
the specified
technology and
dilution is not
prohibited
NO
Characteristic
Waste
1
Is the waste
managed in a
CWA, CWA-
equivalent, or
Class 1 SDWA
system?
v YES
Is the waste going
to a Class 1
UIC welP
v NO
Is the waste
D018-D0437
INO
Has a technology
been specified as
the required
treatment standard?
V N0
The treatment
standard is expressei
as a numeric
concentration and
dilution is not
prohibited
v__ Is the waste D001
* (High TOC
subcategory).
D012-D017?
YES 1
Is the w;
(notH
subca
_ 0002.
0004-
^
Thew
_ DO1E
1 ' ^
,NO
isteDOOl
ghTOC
D003, or
D0011?
-NO
/asteis
1-D043
r
d These wastes are not
currently prohibited
when managed in these
systems, and, therefore,
dilution is not prohibited
Decharactenze waste
VES and meet §268 48
legitimate treatment;
dilution is prohibited
Dilution is not
YES prohibited, however,
characteristic levels at
the point of injection
Note The dilution prohibition does not apply to wastes with national capacity variances
or case-by case extensions, or to wastes going to no migration units
Exhibit 11-08
11-66
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Environmental Compliance Manual
Resource Conservation and Recovery Act
June 1998
State Hazardous Waste Program Summary*
State
Alabama
Arkansas
California
Florida
Kansas
Maryland
Massachusetts
Michigan
Minnesota
Mississippi
Missouri
Nevada
New Jersey
North Carolina
Ohio
Oklahoma
Oregon
Rhode Island
Texas
Virginia
Washington
West Virginia
Recognizes
additional hazardous
waste listings (1) or
characteristics (2)
that are more
stringent than the
federal standards''
-
1
1 2
-
-
1
1
1 2
1
-
-
1
1
-
-
-
1 2
- 2
-
-
- 2
-
Does not recognize
all 3 levels of
generator status (3)
and/or changes
management
standards (4)?
- 4
- 4
3 -
- 4
3 -
3 4
-
- 4
3 -
-
- 4
- 4
3 4
- 4
- 4
-
-
3 4
-
-
4
- 4
Requires annual or
quarterly reports (5)
as a supplement to
biennial reporting''
-
5
5
-
5
5
-
-
5
5
5
-
5
5
5
5
5
-
5
5
5
-
Administers a used
oil program that is
appreciably
different from 40
CFR Part 279 (5)">
6
-
6
6
6
6
6
6
6
-
-
6
6
6
-
-
6
-
-
-
6
-
'Note This table can be used to identify some areas of the hazardous waste regulations that states with EPA
facilities have frequently chosen to regulate more stnngently Since state programs are subject to change and may
differ in other areas, federal facilities bear the individual burden of compliance with all state regulations that are
more stnngent than the federal RCRA standards
Exhibit 11-09
11-67
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Environmental Compliance Manual
Resource Conservation and Recovery Act
June 1998
List of Acronyms
AEA Atomic Energy Act
CFC Chlorofluorocarbon
CFR Code of Federal Regulations
ECM Environmental Compliance Manual
EP Extraction Procedure
EPA US Environmental Protection Agency
EPA ID No. EPA Identification Number
CESQG Conditionally Exempt Small Quantity Generator
DOT Department of Transportation
FR Federal Register
HID High Integrity Discharge
HPCL High Pressure Liquid Chromatography
HSWA Hazardous and Solid Waste Amendments of 1984
KG Kilogram
LDR Land Disposal Restrictions
LQG Large Quantity Generator
MSDS Material Safety Data Sheet
NRC Nuclear Regulatory Commission
OSHA Occupational Safety and Health Act
OSW Office of Solid Waste
OSWER Office of Solid Waste and Emergency Response
POTW Publicly Owned Treatment Works
ppmw parts per million by weight
RCRA Resource Conservation and Recovery Act
RDB Regulatory Development Branch
SHEMP Safety, Health and Environmental Management Program
SPCC Spill Prevention, Control and Countermeasures
SQG Small Quantity Generator
TC Toxicity Characteristic
TCLP Toxicity Characteristic Leaching Procedure
TPH Total Petroleum Hydrocarbons
TSDF Treatment, Storage or Disposal Facility
USPS United States Postal Service
UST Underground Storage Tank
USTS Universal Treatment Standards
WAP Waste Analyses Plan
Exhibit 11-10
11-68
-------
SAFETY, HEALTH, AND
ENVIRONMENTAL MANAGEMENT
PROGRAM GUIDE
Guide No.
Issued
Revised
HAZARDOUS MATERIALS/WASTE TRANSPORTATION PROGRAM
SCOPE OF THE PROGRAM
This Program Guide provides an overview of the
requirements EPA facilities must fulfill to
comply with the regulations, guidance, and
procedures associated with the Hazardous
Materials Transportation Act (HMTA) and
Subtitle C of the Resource Conservation and
Recovery Act (RCRA) HMTA and RCRA
establish a comprehensive framework of
standards to promote the safe transportation of
materials from the initial site of shipment
through final destination at the receiving
facility Safely transporting hazardous materials
and wastes entails several interrelated activities
including classifying and assigning proper
shipping descriptions, selecting the proper
package, marking and labeling, preparing
shipping papers, using placards, and vehicle
loading/unloading Additional focus is placed
on shipping/hazardous wastes, a subset of the
DOT universe of hazardous materials, according
to the rules established under Subtitle C of
RCRA Hazardous materials/waste shipment
also requires regular training to assist in
recognizing transportation-related hazards and
emergency response notification procedures in
(he event of an accident
REGULATORY REQUIREMENTS
The key or basic elements of the Hazardous
Materials/Waste Transportation Program
required by law and/or EPA policy arc to
• Comply with federal and state regulations
and EPA guidance pertaining to hazardous
materials/waste transportation
• Follow the mandatory' provisions lliat have
been established for the classification.
marking, labeling, packaging, and spill
reporting for hazardous materials in transit
AUTHORITIES
The following documents are the sources of the
legal authority that establish the applicability
and requirements of this program
• Hazardous Materials Transportation Act of
1974. as amended
• Resource Conservation and Recovery Act of
1976. as amended
• 49 CFR Parts 171 -177. Regulations
Governing the Shipment of Hazardous
Materials in the United States
• Applicable state or territorial laws and
regulations for operating motor vehicles
REFERENCES
The following documents and hotline
information listed below can help you
implement the Hazardous Materials/Waste
Transportation program
• EPA, Traimne Manual for Transportation
of Hazardous Materials
• International Air Transport Association
(IATA), Dangerous Goods Regulations
• DOT, Emergency Response Guide
• EPA, Safety. Health and Environmental
Management Training for Field Activities.
Employee Manual
-------
• EPA, Wastestream Characterization
Manual for EPA Laboratories
• American Trucking Association, DOT
Drivers Handbook
• National Highway Traffic Safety
Administration, Information Hotline.
(800)424-9393 or(202)366-0123
IMPLEMENTATION ACTIVITIES
The following list gives an overview of the
activities that this program will require To
implement and operate this program, you must
• Identify the characteristics of the material to
ensure proper classification against
applicable DOT hazard classes
• Develop a DOT shipping description in
accordance, with the Hazardous Materials
Table codified in 49 CFR 172 101. which
lists more than 3.000 acceptable Proper
Shipping Names
• Select packages from DOT's various
packaging alternatives for each hazardous
material ranging from ampule-sized
"limited quantity" packages to bulk
shipments
• Mark each hazardous materials package
with the proper shipping name and United
Nations/North American (UN/NA)
identification number
• Prepare shipping paper for each hazardous
materials shipment that identifies key
information, such as the shipper name and
address, consignee name and address,
shipment contents description, and
certification of compliance with
transportation rules
• Provide and use placards for application to
transport vehicles and bulk tanks
• Maintain DOT require basic emergency
response communication information with
every hazardous materials shipment and
making it available if an emergency does
arise As specified in 40 CFR Part 172,
Subpart H. employees must be trained
within 90 days of accepting a position
involving hazardous materials
transportation responsibilities Such
employees are also required to receive
recurring training at least once every two
years thereafter to maintain awareness of
current regulatory standards
IMPLEMENTATION IMPLICATIONS
The management systems and internal controls
required to implement this program include-
• A system of accurate information regarding
the material's identity on the Hazardous
Materials Table in 49 CFR 172 101 and the
hazard class criteria in 49 CFR Pan 173
This information should be maintained by
EPA facilities in their permanent
environmental records file
• Processes to review and remain cognizant of
additional hazardous waste listings or
characteristics that influence the
classification of hazardous waste for
shipment
• Hazardous matenal transportation training
that integrates both DOT and OSH A
requirements to enhance training
efficiencies and the interface of applicable
regulatory standards
• Internal procedures to procure required
DOT labels, placards, and packaging
• A compliance checklist (such as the one in
Appendix G) to assist in preparing shipper
papers in accordance with DOT and EPA
regulations
• An archive of shipping documentation
developed for off-site hazardous \\astc
transfers to TSDFs that should be
maintained for a minimum of five years.
-------
Safety, Health, and Environmental Mav 1998
Management Guidelines
Hazardous Materials/Waste Transportation
Section 13-01
Table of Contents
BMTA 13-01 Table of Contents
HMTA 13-02 Introduction
Purpose . 13-5
Scope . .... . . 13-5
Authority . . . 13-5
Responsible Officers . ... 13-6
References . 13-6
HMTA 13-03 Hazardous Materials Transportation Overview
Introduction 13-7
Legal Framework 13-7
Systematic Approach to Compliance 13-10
HMTA 13-04 Hazardous Materials Identification and Classification
Introduction 13-13
Relevant Definitions 13-13
Hazardous Materials Identification 13-15
Hazardous Materials Classification 13-17
HMTA 13-05 Developing a DOT Shipping Description
Introduction . . . . . 13-25
Steps to Developing a DOT Shipping Description ... 13-25
Common DOT Shipping Descriptions for EPA Operations .. 13-28
*
HMTA 13-06 Packaging Selection
Introduction 13-31
Definitions 13-31
Categories of DOT Packaging 13-32
Special Packaging Considerations ... . 13-33
Package Selection Procedures .... . 13-34
Table of Contents 13-1
-------
Safety, Health, and Environmental May 1998
Management Guidelines
Hazardous Materials/Waste Transportation
HMTA 13-07 Marking and Labeling
Introduction ... . 13-35
Markings . . .13-35
Labels 13-36
Labels Placement And Specification , 13-36
Hazardous Waste Label . 13-37
HMTA 13-08 Preparing Shipping Papers
Introduction ... . 13-39
Shipping Papers Preparation Requirements . . 13-39
Land Disposal Restrictions 13-41
HMTA 13-09 Providing and Using Placards
Introduction 13-45
Requirements For Placards 13-45
HMTA 13-10 Emergency Response Considerations
Introduction 13-47
Emergency Response Inforamtion ... . 13-47
Incident Notifications And Reports . . 13-49
HMTA 13-11 Training
Introduction . 13-51
DOT Training . 13-51
EXHIBITS
Exhibit 1 Reportable Quantity Threshold Criteria . . 13-14
Exhibit 2 DOT Hazard Classes . . . 13-28
Exhibit 3 Common DOT Shipping Descriptions . 13-29
Exhibit 4 EPA Hazardous Waste Marking for Transportation 13-37
Exhibit 5 Summary of Basic Notification and Certification Requirements 13-42
Table of Contents
-------
Safety, Health, and Environmental May 1998
Management Guidelines
Hazardous Materials/Waste Transportation
APPENDICES
Appendix A Acronyms
Appendix B. The Hazardous Waste Determination Hierarchy
Appendix C Precedence of Hazard Table (Hazard Class and Packing Group)
Appendix D Identifying the Primary Hazard
Appendix E Sample of Hazardous Materials Table
Appendix F Hazardous Materials Table User's Guide
Appendix G Shipping Papers Compliance Checklist
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Hazardous Materiais/Waste Transportation
Section 13-02
Introduction
PURPOSE
In the course of their work, Environmental Protection Agency
(EPA) personnel are frequently required to transport hazardous
materials and hazardous wastes to support sampling, analytical, and
research activities. Safety, Health and Environmental Management
Program (SHEMP) managers, waste control officers, and
employees with shipping responsibilities should be thoroughly
aware of the regulatory provisions applicable to the transportation
of hazardous materials and wastes Through regulatory training
and the use of guidelines and tools presented herein, the Agency
can effectively protect the safety of its employees and mitigate
potential Agency liabilities This chapter of the SHEMP Guidelines
provides individuals with shipping responsibilities a systematic
approach for meeting hazardous materials/waste requirements
promulgated pursuant to the Hazardous Materials Transportation
Act (HMTA) and Subtitle C of the Resource Conservation and
Recovery Act (RCRA)
SCOPE
The safe transportation of hazardous materials and wastes entails
several interrelated activities including classification and assignment
of proper shipping descriptions, package selection, marking and
labeling, shipping paper preparation, use of placards, and vehicle
loading/unloading In addition, the shipment of hazardous
materials/waste also requires regular training to promote
recognition of transportation-related hazards and emergency
response notification procedures in the event of an accident The
technical discussions and guidelines presented in this chapter will
focus on highway-related transportation requirements given that
these activities represent the vast majority of EPA shipping
activities
AUTHORITY
The following laws and regulations are the sources of legal
authority that establish the applicability and requirements of this
program
• Hazardous Materials Transportation Act of 1974, as amended
• Resource Conservation and Recovery Act of 1976, as amended
Introduction
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Hazardous Materials/Waste Transportation
49 CFR Parts 171-177, Regulations Governing the Shipment of
Hazardous Materials in the United States
Applicable state or territorial laws and regulations for operating
motor vehicles
RESPONSIBLE
OFFICERS
All employees engaging in hazardous materials and hazardous
waste transportation, including preparation of shipping papers and
hazardous waste manifests, container selection and marking,
loading/unloading, and assignment of placards to transportation
vehicles Compliance with federal and state regulations and EPA
guidance pertaining to hazardous material/waste transportation is
primarily the responsibility of the SHEMP manager, waste control
officer, and sample processing/shipping personnel
REFERENCES
The following useful reference materials will assist in implementing
this program
• EPA's Training Session for Safety, Health and Environmental
Managers, Training Manual for Transportation of Hazardous
Materials. June 1994
• Dangerous Goods Regulations, International Air Transport
Association (IATA), 2000 Peel Street, Montreal, Quebec H3A
2R4
• National Highway Traffic Safety Administration, Information
Hotline, (800) 424-9393 or (202) 366-0123
• US Department of Transportation, Emergency Response
Guide
• U S. EPA, Safety, Health and Environmental Management
Training for Field Activities, Employee Manual, September
1994
• Wastestream Characterization Manual for EPA Laboratories
• American Trucking Association, DOT Drivers Handbook
Introduction
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Hazardous Materials/Waste Transportation
Section 13-03
Hazardous Materials/Transportation Overview
INTRODUCTION
The transportation of hazardous materials and hazardous waste is
performed by a wide range of EPA employees engaging in field
investigation, research, and analytical activities Given the potential
significance of transportation-related incidents, a thorough
understanding of the legal framework and function-specific
requirements for the preparation and shipment of hazardous
materials and wastes is an essential component of an effective
safety, health and environmental management program
Accordingly, this chapter emphasizes the management and technical
standards promulgated pursuant to the HMTA which are
implemented by the Department of Transportation's (DOT's)
Research and Special Programs Administration (RSPA) These
standards primarily include the classification and packaging of
hazardous materials, fulfilling applicable hazard communication
requirements (e g, shipping paper preparation, marking and
labeling), and the reporting of transportation-related releases In
addition, focus is placed on shipping hazardous wastes, a subset of
the DOT universe of hazardous materials, according to the rules
established under Subtitle C of RCRA Throughout the discussions
presented herein, attention will be given to identifying streamlined
management approaches and proven strategies to bolster EPA
facility and operational conformance with transportation-related
regulatory provisions —
LEGAL FRAMEWORK
The HMTA gives DOT broad authority to promulgate and enforce
hazardous materials regulations for transportation by rail, water,
air, and public highway Under the HMTA, mandatory provisions
have been established for the classification, marking, labeling,
packaging, and spill reporting for hazardous materials in transit
The DOT regulations promulgated pursuant to the HMTA are
codified in 49 CFR Parts 171 -178 A cross-reference of hazardous
material transportation standards, by part, applicable to EPA
activities is described below-
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DOT Docket HM-126F
Regulatory
Reference
Part 171
Part 172
Part 173
Parts 174-177
Part 178
Scope and Content
Definitions and Reporting Requirements
Hazardous Material Table, listing of hazardous
substances and reportable quantities (RQ), hazard
communication requirements (shipping papers,
package marking and labeling, placarding)
emergency response information and training
Hazard class definitions, shipper responsibilities,
and packaging provisions
Carrier requirements for individual modes of
transportation
Construction and testing requirements for
packagings
The shipment of hazardous materials is undergoing increased
scrutiny from regulatory officials and policymakers in recent years
Of special significance, the RSPA recently promulgated two major
rulemakings to bolster the safety and efficiency of the legal
framework for hazardous materials transportation (1) DOT Docket
HM-126F, which contains mandatory training and testing
requirements for personnel that manage hazardous materials, and
(2) DOT Docket HM-181, which adopts new packaging and
handling requirements based on United Nations (international)
standards. A detailed description of these major regulatory
developments is presented in the following discussion
HM-126F outlines specific training requirements for all employees
involved with hazardous materials, including general awareness
training, functional training (activity-specific), safety training, and
recurrent (refresher training). Under the HM-126F rules contained
in 49 CFR Part 172, Subpart H, all employees who ship, transport,
handle, and/or store hazardous materials should be trained in
hazardous materials handling, hazard communication, and
classification procedures. More detailed information on hazardous
materials/waste transportation training requirements is presented
later in this chapter
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DOT Docket HM-181
SubtitleCofRCRA
HM-181 outlines the new performance-oriented packaging
standards for shipping containers and introduces packaging groups
(which are based on relative hazard level) The new hazardous
materials identification requirements under the HM-181 rules
encompass proper shipping names, hazard classes, identification
numbers, packaging (container) requirements, and vehicle
placarding As a result of these new standards, the DOT rules
conform to United Nations (international) conventions for the
transportation of hazardous materials.
RCRA is a broad and comprehensive environmental statute that
contains several subtitles Subtitle D for nonhazardous solid waste
management Subtitle I for underground storage tanks, and Subtitle
J for medical waste management The authorities and mandates for
hazardous waste management are contained within Subtitle C of
RCRA Although the regulatory program developed under Subtitle
C of RCRA is primarily concerned with the safe management and
disposal of hazardous waste, Section 3003 of RCRA requires EPA
to establish certain standards for transporters of hazardous waste
and to coordinate regulatory activities with DOT In addition,
generators of hazardous waste who intend to offer waste for off-
site transportation are required to meet specific pre-transport
requirements established under the DOT rules in 49 CFR Parts 171-
178 Consequently, EPA facilities and field operations generating
hazardous waste are subject to joint regulatory provisions
established by RCRA and the HMTA for the preparation and off-
site shipment of hazardous wastes The major RCRA regulatory
requirements for the transportation of hazardous waste include
generator pre-transport requirements in 40 CFR 262 30- 34,
uniform hazardous waste manifesting provisions in 40 CFR 262 20-
23, and standards applicable to transporters of hazardous waste in
40 CFR Part 263.
In November 1984, Congress enacted the Hazardous and Solid
Waste Amendments (HSWA) to RCRA, which mandated broad
changes to the hazardous waste management program Among the
most significant portions of the amendments, HSWA required EPA
to establish a comprehensive set of management standards
governing the land disposal of untreated hazardous wastes. Under
these rules, generators of hazardous waste have a responsibility to
prepare land disposal restriction (LDR) notifications and
certifications in 40 CFR 268 7 for each shipment of hazardous
waste to a treatment, storage, and disposal facility (TSDF) This
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HMTA Interface with
Other Environmental
Laws
Hazardous Materials/Waste Transportation
documentation generally accompanies the hazardous waste manifest
to provide notice to prospective TSDFs of the treatment standards
applicable to the wastestreams in the shipment.
The HMTA is integrated with several environmental laws For
example, as described above, both DOT and RCRA rules require
the use of the uniform hazardous waste manifest as a shipping
paper for the transportation of hazardous waste DOT regulations
at 49 CFR 172 310 provide marking requirements that are
applicable to radioactive material shipments regulated under the
Atomic Energy Act. In addition, the Superfund Amendments and
Reauthorization Act (SARA) requires that the DOT list and
regulate all Comprehensive Environmental Response,
Compensation, and Liability Act (CERCLA) hazardous substances
as hazardous materials Consequently, the Hazardous Materials
Table (49 CFR 172 101) identifies materials that are CERCLA
hazardous substances, and the proper shipping name entries in the
table specify the minimum amount of material that constitutes an
RQ
SYSTEMATIC
APPROACH TO
COMPLIANCE
Hazardous materials transportation requires attention to a number
of function-specific activities including classification, marking and
labeling, packaging, and preparation of shipping documentation
Each of these functions requires key information and specific
procedural actions to prepare materials for safe transportation in an
efficient manner while attending to relevant compliance
considerations. To this end, hazardous materials transportation can
be broadly viewed as composed of eight major steps, including
STEP 1. Hazardous Material Identification and Classification -
The critical first step in the process of hazardous material
transportation is to identify the characteristics of the
material to ensure proper classification against applicable
DOT hazard classes This step enables the proper
selection of appropriate shipping names, marking and
labelings, packagings, and placards to ensure safe
transportation
STEP 2- Developing a DOT Shipping Description - The DOT has
developed the Hazardous Materials Table in 49 CFR
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172 101 which lists more than 3,000 acceptable Proper
Shipping Names to be used in describing hazardous
materials for transportation. Each name is listed with a
hazard class, applicable identification number, specific
packagings, and shipping rules In concert, the proper
shipping name, hazard class, identification number, and
packaging group represent the complete description
required for completing shipping papers and selecting
appropriate packagings
STEP 3 Package Selection - DOT provides various packaging
alternatives for each hazardous material ranging from
ampule-sized "limited quantity" packages to bulk
shipments Each package has explicit design and
performance specifications that must be met The type of
package selected will vary depending on the nature of the
hazardous material being transported
STEP 4 Marking and Labeling - Each package of hazardous
materials must be marked with the proper shipping name
and United Nations/North American (UN/NA)
identification number The package will also be labeled
with a DOT-specified diamond shaped label to indicate
its hazard class. Additional marking and labeling
requirements apply for the transportation of certain
hazardous materials (e g., marine pollutants) and for
hazardous wastes —
STEP 5 Preparing Shipping Papers - A shipping paper must be
prepared for each shipment of hazardous materials that
identifies key information, such as the shipper name and
address, consignee name and address, description of the
shipment contents, and certification of compliance with
transportation rules. The shipping paper is maintained in
the transport vehicle and should be readily accessible to
the driver or emergency responder in the event of an
incident Only the uniform hazardous waste manifest
(EPA Form 8700-22 and State Equivalents) may be used
for the transportation of RCRA regulated hazardous
wastes
STEP 6. Providing and Using Placards - Placards are large
diamond shaped graphics, similar to labels, that are
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applied to transport vehicles and bulk tanks. Some
extremely hazardous substances and radioactive materials
require placards if they are shipped in any quantity Most
hazardous material shipments must be placarded if the
total quantity of hazardous materials (including
hazardous wastes) on a vehicle exceeds 1,000 pounds
STEP 7 Emergency Response Considerations - DOT requires
certain basic emergency response communication
information to accompany every hazardous materials
shipment and to be available if an emergency does arise
If an incident does occur during transportation, the DOT,
EPA, and other agencies require formal reports
STEP 8 Training - As specified in 40 CFR Part 172, Subpart H,
employees must be trained within 90 days of accepting a
position with hazardous materials transportation
responsibilities Such employees are also required to
receive recurrent training at least once every two years
thereafter to maintain awareness of current regulatory
standards.
These major functional activities are described in detail in
subsequent sections of this chapter In addition, relevant process
support tools and resources are identified to assist EPA employees
in fulfilling their relevant hazardous material transportation duties
To facilitate your understanding of the terms used in tht» chapter,
an acronym list is provided as Appendix A
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Section 13-04
Hazardous Materials Identification and Classification
INTRODUCTION
This section describes a step-wise approach for identifying and
classifying hazardous materials and wastes for transportation in
accordance with DOT and RCRA regulations Because the
majority of regulatory standards established for shipping hazardous
materials and wastes depend on accurate shipping descriptions and
hazard class designations, it is imperative that EPA employees
follow a standardized approach for hazardous materials
classification This section initially reviews key definitions and
terminology established under the DOT hazardous material
transportation rules and related environmental statutes
Subsequently, a proven methodology for satisfying the relevant
requirements for hazardous material classification is presented to
foster optimal compliance with downstream packaging, marking
and labeling, and related requirements
RELEVANT
DEFINITIONS
The following definitions and terminology derived from 49 CFR
171 8 are central to understanding the requirements for the
identification and classification of hazardous materials
Hazard Class The category of hazard assigned to a hazardous
material under the definition criteria of 49 CFR Part 173 and the
provisions of the Hazardous Material Table in 49 CFR 172 101 A
material may meet the criteria from the more than one hazard class,
but is assigned to only one hazard class.
Hazardous Material. Any material which has been determined by
the Secretary of Transportation to be capable of posing an
unreasonable risk to health, safety, and property when transported
in commerce. A material is a hazardous material under the DOT
regulations if it: (1) is listed by name in the Hazardous Material
Table in 172 101, (2) is listed by name in 49 CFR 172.102, or (3)
meets a general hazard class definition in 49 CFR Part 173 In
addition, CERCLA Section 306 (as added by SARA) requires that
DOT list all CERCLA-regulated hazardous substances as
hazardous materials Consequently, the DOT Hazardous Materials
Table in 49 CFR 172 101 includes CERCLA hazardous substances
as a subset of the larger universe of DOT-regulated hazardous
materials
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Hazardous Substance: For the purposes of the DOT regulations, a
hazardous substance is a material, including its mixtures and
solutions, thaf
• Is listed in the Appendix A to 49 CFR 172 101
• Is a quantity in one package that equals or exceeds the RQ
listed in Appendix A to 49 CFR 172 101
When in a mixture or solution (other than radionuclides) is in a
concentration by weight that equals or exceeds the
concentration corresponding to the RQ of the material as shown
in the Exhibit 1
Exhibit 1. Reportable Quantity Threshold Criteria
HAZARDOUS
MATERIALS
If the RQ of the listed material is
Pounds
5.000
1,000
100
10
1
* ppm means "parts
percentages shown
(Kilograms)
(2270)
(454)
(45.4)
(4.54)
0.454
The minimum concentration (by
weight) of the listed material needed
to make the solution or mixture a
"hazardous substance" is:
Percent
10
2
.02
0.02
0002
per million," which is another way to
above.
ppm*
100.000
20,000
2,000
200
20
state the
Pursuant to the CERCLA petroleum exclusion in 40 CFR 300 5,
this definition does not apply to petroleum products that are
lubricants or fuels
Hazardous Waste: For the purposes of the DOT regulations, a
hazardous waste is any material that is subject to the hazardous
waste manifest requirements specified by EPA in 40 CFR Part 262
Additional information on the definition of hazardous waste will be
provided in a subsequent discussion of this section
The critical first step in determining applicable management
standards under the hazardous material transportation regulations is
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IDENTIFICATION
Information Sources
to identify the physical and chemical characteristics of the material
intended for shipment The DOT regulations, prohibit the use of
various hazard communication mechanisms, such as hazard class
assignments, markings, and labels unless the material is defined as a
DOT-regulated hazardous material If a material is being shipped
for testing to determine its hazards, it is legal to make a tentative
hazard class assignment based on your knowledge of the material
(see 49 CFR 172 101(c)(l 1)) Additionally, the accurate selection
of packaging methods and shipment procedures is dependent on a
solid understanding of the hazards associated with the material to
be transported Therefore, accurate information regarding the
material's identity on the Hazardous Materials Table in 49 CFR
172 101 and the hazard class criteria in 49 CFR Part 173 is
essential
The most useful information for identifying whether materials are
regulated as hazardous under the DOT rules is provided by one or
more of the following sources
• Material safety data sheets (MSDSs)
• Chemical Substance Information Systems
• Internal health and safety committees
Hazardous waste listings and characteristics
• EPA- or DOT-approved laboratory tests.
MSDSs are especially important sources of information for
identifying the hazards associated with a particular material or
product It should be noted, however, that waste materials
resulting from EPA facility or field activities may have acquired
other characteristics or properties not addressed by the original
product MSDS. In these situations, the hazardous waste listings
and characteristics in 40 CFR Part 261, Subpart C, should also be
consulted Appendix B provides a decision flowchart for
determining whether materials intended for shipment are regulated
as a RCRA-regulated hazardous waste
Hazardous Material
Identification Queries
Based on the information sources identified above, the following
considerations should be reviewed to support the effective
classification of DOT materials
1 What is the physical state of the material (e g, solid, liquid,
gas)?
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2 What are the constituents of the material7
3 Is the material a product or waste?
4. What hazardous properties, if any, does the material exhibit?
• Ignitable or flammable liquid (flash point less than 140
degrees Fahrenheit)
• Corrosive liquid (pH <= 2 5 or >= 12 5, corrosive to skin or
steel)
• Poisonous material (known to be toxic to humans if
ingested, inhaled, or absorbed through the skin)
• Radioactive material
• Spontaneously combustible or reactive with air
Reactive with water or dangerous when wet
• Infection or etiologic substance
5 Does the material exhibit one primary hazard (e g, flammable)
or does it possess multiple hazards (flammable and corrosive
such as concentrated nitric acid)7
6 How much material is intended for shipment, both individually
and in aggregate?
The results of these review activities should be compiled and
documented for use in hazardous material classification and as a
future reference.
Guidance: Information, such as manufacturer's technical
documents, laboratory test results, and other reports used to
identify the characteristics of hazardous materials and wastes
should be maintained by EPA facilities in their permanent
environmental records file. This information will allow facility
personnel to substantiate their hazardous material/waste
classification decisions in the event of a regulatory inspection or
inquiry. Such records should be retained for a minimum of five
years from the date of shipment to ensure conformance with DOT
andRCRA recordkeepmg provisions while providing sufficient
retention time for use in addressing CERCLA potentially
responsible party claims.
HAZARDOUS Based on the data collected during hazardous material
MATERIAL identification, the next activity in fulfilling hazardous material
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CLASSIFICATION
DOT Hazard Classes
transportation requirements is to classify the material Initially, the
material is classified according to its respective DOT hazard class in
49 CFR Part 173 Materials that are not specifically identified in
the Hazardous Materials Table or meeting the definition of a DOT
hazard class are not regulated for DOT purposes Subsequently,
the proper shipping name must be assigned to develop a full
shipping description for the material.
The following discussion reviews the DOT hazard classes, including
those classes of particular relevance to EPA facility activities, and
presents a methodology for determining the primary hazard class
associated with a hazardous material The selection of a proper
shipping name and the development of a proper shipping
description is then described
The DOT regulations currently define nine hazards classes Several
of these hazards classes are further categorized into divisions
These hazard classes and divisions are used to define the hazard of
the material being shipped and provide standardized hazard
communication information on placarding and shipping papers to
facilitate safe packaging, segregation/loading, and emergency
response Exhibit 2 on the following pages provides a summary of
the DOT hazard classes and divisions, listed in class order For the
full hazard class definition, refer to 49 CFR Part 173
EPA facilities and field operations encounter a diverse range of
hazardous materials and hazardous wastes that must be-transported
EPA research and analytical laboratories, however, generally
encounter selected types of hazardous materials and related hazard
classes most frequently To this point, a detailed description of
hazard classes most commonly encountered by EPA personnel is
described next
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Exhibit 2. DOT Hazard Classes
Class and
Division No (if
any)
Name and description of dass or division
49CFR
reference for
definitions
1 1 Explosives with a mass explosion hazard. 173.50
1.2 Explosives with a projection hazard 173.50
1.3 Explosives with predominately a fire hazard 173.50
1.4 Explosives with no significant blast hazard 173.50
1.5 Very insensitive explosives, blasting agents 173.50
1.6 Extremely insensitive detonating substances 173.50 ,
Generally articles containing dass 1.5 materials.
21 Flammable gas 173.115
Is a gas at 68° F and bums readily in air.
2.2 Non-flammable compressed gas 173.115
Gas shipped at a pressure > 41 psia which is neither flammable nor
poisonous
2.3 Poisonous gas 173.115
Is a gas at 68-F and has an LCg, < 5000 ml/m3 (i.e., one half of one
percent concentration in air will kill half of the animals in a laboratory test).
3 Flammable liquid 173.120
Liquid with a flash point < 141 °F (100-F for domestic transportation by rail
or highway).
Combustible liquid
Liquid with a flash point < 200-F.
41 Flammable solid 173.124
Strongly exothermic decomposition at normal temperatures or ignite
through friction (e.g., matches) or bums very fast when ignited.
4.2 Spontaneously combustible matenal 173.124
Spontaneously ignites or self-heats to > 392-F in 24 hours.
4.3 Dangerous when wet matenal 173.124
Spontaneously ignites or emits flammable or toxic gasses when contacted
with water.
5.1 Oxidizer 173.127
Causes or enhances combustion of other materials (e.g., sodium nitrite,
oxygen gas, hydrogen peroxide)
5.2 Organic peroxide 173128
A specific chemical group that is generally reactive.
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Exhibit 2. DOT Hazard Classes (continued)
Class and
Division No (if
any)
6.1
6.2
7
8
9
None
Name and description of class or division
Poisonous materials
Solids or liquids that are poisonous by ingest on, inhalation or skin contact.
Infectious substance (etiologic agent)
Disease-causing organisms, biotoxins, tissue or body fluid samples for
medical diagnosis, biological products, and medical wastes.
Radioactive matenal
Specific activity > .002ucurie/gram.
Corrosive matenal
Dissolves steel or aluminum or destroys skin tissue
Miscellaneous hazardous material
Anesthetic or noxious or similar hazard to crew of an airplane, US EPA
regulated hazardous waste or hazardous substance, MARPOL marine
pollutants, plus other materials specifically listed by US DOT
Other regulated materials, ORM-D
Small quantities of hazardous materials in secure packages classed down
because of limited hazard presented.
49CFR
reference for
definitions
173.132
173.124
173.403
173136
173 140
173.144
Class 2 - Gases
Class 3 - Flammable and
Combustible Liquids
Class 5 - Oxidizers and
Organic Peroxides
Compressed gases under the DOT regulations are defined as any
material or mixture having in the container an absolute pressure
greater than 40 pounds per square inch absolute at a temperature of
68 degrees Fahrenheit (°F) Typical examples of Class 2 gases
found at EPA facilities include nitrogen, hydrogen, argon, and
cryogenic liquids
Any liquid having a flash point below 141°F is defined as a
flammable liquid that does not meet the definition of any other
hazard class and has a flash point above 141 °F and below 200°F
A number of substances used by EPA facilities or field operations
will meet the definition of a flammable or combustible liquid when
offered for transportation, such as acetone, benzene, hexane,
petroleum ether, and methanol
A material such as chlorate, permanganate, inorganic peroxide or
nitrate that readily yields oxygen and may consequently stimulate
the combustion of organic matter is defined by the oxidizer or
organic peroxide hazard class Relevant examples of hazardous
materials transported from EPA facilities include concentrated nitric
acid, hydrogen peroxide, and potassium permangante
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Class 6 - Division 6 1
Poisonous Materials
Class 8 - Corrosives
Other
A material is defined as a poisonous materials under DOT if it is
known to be so toxic to humans as to afford a hazard to health
during transportation, or which, in the absence of adequate data on
human toxicity, is presumed to be toxic because of oral toxicity,
toxicity by inhalation, or dermal toxicity Cyanide solutions
resulting from analysis of cyanide-containing electroplating bath
samples represent a potential example of a hazardous material
defined as a Class 6, Division 6.1 poisonous material
A material meets the definition of the DOT corrosive hazard class if
it is a liquid or solid that causes visible destruction or irreversible
alternations to human skin tissue at the site of contact based on a 4-
hour white rabbit test, or is a liquid that has a severe corrosion rate
on steel or aluminum of greater than 0 25 inch per year at a test
temperature of 131 °F An acceptable test is described in the
National Association of Corrosion Engineers Standard TM-01-69
Examples of corrosive materials used by EPA facilities includes
nitric acid, sulfuric acid, potassium hydroxide, and sodium
hydroxide pellets
Many hazardous materials used by EPA operations may meet the
definition of more than one hazard class In such cases, the DOT
regulations in 49 CFR 173 2a provide guidelines for shippers and
generators for determining hazard class precedence Specifically, a
material not specifically listed in 49 CFR 172 101 that meets the
definition of more than one hazard class or division, should be
classed according to the highest possible hazard class of the
following, which are listed in descending order of hazard
(1) Class 7 (radioactive materials, other than limited quantities)
(2) Division 2 3 (poisonous gases)
(3) Division 2 1 (flammable gases)
(4) Division 2 2 (nonflammable gases)
(5) Division 6 1 (poisonous liquids), Packing Group I, poisonous
by inhalation
(6) A material that meets the definition of a pyrophoric material in
49 CFR 172.124(b)(l) (Division 4.2)
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(7) A material that meets the definition of a self-reactive material in
49CFR 173 124(a)(2) (Division 4.1)
(8) Class 3 (flammable liquids), Class 8 (corrosive materials),
Division 4.1 (flammable solids), Division 4 2 (spontaneously
combustible materials), Division 4 3 (dangerous when wet
materials), Division 5 1 (oxidizers) or Division 6 1 (poisonous
liquids or solids other than Packing Group I, poisonous by
inhalation) The hazard class and packaging group for a
material meeting more than one of these hazards should be
determined using the precedence table provided in Appendix C
(9) Combustible liquids
(10) Class 9 (miscellaneous hazardous materials)
The following materials are not subject to the provisions above
because of their unique properties regardless of whether they meet
any other hazard classes or divisions a Class 1 explosive that
meets any other hazardous class or division, a Division 5 2 organic
peroxide, a Division 6 2 infectious substance, a material that meets
the definition of a wetted explosive in 49 CFR 173 124(a)(l)
(Division 4 1), and a limited quantity of Class 7 radioactive
material
Appendix D presents a flow chart for users of this chaptenlo aid in
the selection of the primary hazard applicable to hazardous
materials or hazardous wastes destined for off-site transportation
Guidance for Shipping
Samples
EPA facilities and operations engage in the frequent shipment of
samples from field sites to EPA laboratories, contract laboratories,
and research and development institutions When any sample is to
be shipped by common carrier or sent through the U S mail, it '
must comply with the DOT hazardous materials transportation
regulations in 49 CFR Parts 171 -178 Of special significance, the
DOT Office of Hazardous Materials has determined that samples
preserved in accordance with SW-846, Safe Drinking Water Act,
and Clean Water Act mandated preservation techniques do not
meet the definition of a DOT hazard class Specifically, the
foil .'• /ing types of samples have been determined by DOT not to
meet the definition of a hazardous material by virtue of the
preservation: hydrochloric acid in water solutions at concentrations
of 0 04% by weight or less (pH about 1 96 or greater), nitric acid in
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water solutions at concentrations of 0.15% or less (pH about 1 62
or greater), sulfuric acid in water solutions at concentrations of
0 35% by weight or less (pH about 1 15 or greater, and sodium
hydroxide in water solutions at concentrations of 0 080% by weight
or less (pH about 12 30 or less) Thus, these materials are not
subject to the DOT rules for the preparation of shipping papers
(although chain of custody considerations must be addressed) or
the DOT hazard communication requirements EPA employees
engaging in sample preparation, however, are cautioned to manage
samples prudently to minimize the chance of inadvertent shipment
of hazardous samples as non-hazardous materials
The following guidelines with respect to the shipment of samples
has been formulated to assist in determining whether a sample is
subject to the DOT shipping rules Samples should be considered
hazardous under DOT transportation standards when one or more
of the following criteria apply to the shipment
• Samples of pure chemicals from drums or containers, of free
product, or of hazardous waste streams listed in the Hazardous
Materials Table and meet the DOT definition of a hazardous
material
Liquid samples preserved in accordance with SW-846, Safe
Drinking Water Act, and Clean Water Act sampling methods
are not considered by DOT to be hazardous materials, however,
other properties or constituents of the sample must be reviewed
to determine whether they are listed in the Hazardous Material
Table and/or exhibit a DOT hazard class
• Samples that contain radioactive materials with an activity
exceeding 0 002 uCi/gram
Samples that do not meet the criteria of a hazard class or division
are not considered hazardous and do not have to be shipped as a
hazardous material
Proper Shipping Names
The DOT publishes a list of approximately 3,000 "Proper Shipping
Names" to be used in shipping hazardous materials These appear
in the Hazardous Materials Table in 49 CFR 172 101 An excerpt
of this table is presented for illustrative purposes in Appendix E to
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this chapter For each hazardous material (including RCRA-
regulated hazardous wastes), there is one best shipping name to
use Key considerations for selecting a proper shipping name are
• Always use the most specific name available from the list of
proper shipping names from column 2 of the Hazardous
Materials Table DOT considers the order of specificity to be
- Specific technical (chemical) name (e g, acetone)
- Chemical group or family (e g., alcohols, n o s )
- End use of material (e g., paint)
- Generic end use (e g, dyes, liquid, n o s)
- Hazard Class (e g, flammable liquids, n o s)
Note Column 2 of the Hazardous Materials Table provides the
shipping name in Roman type, italicized statements are for
description purposes only
The hazards ascribed to the name must be consistent with the
hazards of the material
Alterations or deletions may not be made to a specified name
except as explicitly allowed by DOT For example, proper
shipping names may not typically be abbreviated or expanded
In the case of shipments of hazardous waste, the proper
shipping name must be preceded by the word "waste "
Special Considerations for
State-Regulated
Hazardous Wastes
To ensure that DOT hazard information is used properly, the DOT
prohibits their use unless the material being shipped is, in fact,
hazardous This situation may present difficulties where a waste is
regulated by state statute but does not meet the definition of a
hazardous waste or material under EPA and DOT rules Under this
situation, the waste still must be shipped under a hazardous waste
manifest according to state rules, but it is not a hazardous material
or hazardous waste by DOT definition The manifest asks for a
DOT description, yet no DOT description exists for such wastes
and it is inappropriate to use an existing DOT description on
shipping papers and markings The same type of situation may
arise when shipping a chemical product that does not meet the
regulatory definition of a hazardous material
Guidance: The most programmatic approach for dealing with
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state-regulated hazardous wastes that do not meet the EPA
definition of hazardous waste or DOT definition of a hazardous
material is to use the best description of material possible. Where
possible, a DOT proper shipping name can be used to describe the
state-regulated waste provided that the associated hazard class,
UN or MA identification number and other DOT required
descriptors are not assigned to discriminate the shipment from
DOT-regulated materials. It is also recommended that qualifiers
be added such as "state-regulated waste" to assure the wastes is
not confused with other materials posing greater hazards. State
regulations should also be consulted to identify any specific
manifest wording when shipping state-regulated wastes.
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Section 13-05
Developing a DOT Shipping Description
INTRODUCTION
The previous sections presented the prerequisite activities for
hazardous material identification and classification. This section
describes how classification information is used in concert with the
Hazardous Materials Table to develop an appropriate shipping
description for safe and compliant transportation of hazardous
materials and wastes.
STEPS TO
DEVELOPING A DOT
SHIPPING
DESCRIPTION
A systematic approach to developing the DOT shipping description
is useful in ensuring that all necessary information is identified and
provided on the DOT shipping paper and packaging, as
appropriate The DOT basic shipping description consists of the
proper shipping name of the material, hazardous class or division
prescribed for the material, the applicable UN or NA identification
number, and the packaging group in Roman numerals Additional
description requirements are required if the material meets one or
more of the following conditions special exemptions apply to the
material, the material is being transported in small amounts known
as "limited quantities," the material is a hazardous waste, the
material meets the DOT definition of a hazardous substance, or the
shipment is a radioactive material. The following process can be
applied to develop an accurate DOT basic shipping descoption in
an effective and logical manner
(1) Hazard Class - Determine the DOT hazard class of the
material
(2) Proper Shipping Name - Note all possible names in 49 CFR
172.101 for your material, using the following priority '
2 1) Technical names (e g, dimethyl ketone is acetone)
2 2) Chemical Generic (family) names (e g, pentyl alcohol is
an "Alcohols, n o s ")
2 3) End Use of Material (e.g , Paint)
24) n o s End Use of Material (e g, Dyes, liquid, n o s)
2 5) DOT Hazard Class (e g, Flammable liquids, n o s)
If found, note the proper shipping name Using this
assignment, identify the associated hazard class and division,
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labels required, packaging group, packaging references, and
any stowage limitations for the mode of transport using the
Hazardous Materials Table in 49 CFR 172 101 Appendix F
provides a users guide that explains the significance of each
column with the Hazardous Materials Table
(3) Hazardous Substance - Determine if the hazardous material is
listed as a hazardous substance in Appendix A to the
Hazardous Materials Table in 49 CFR 172 101, "List of
Hazardous Substances and Reportable Quantities " If the
material meets the definition of a hazardous substance as
defined previously, assign the additional letters "RQ" either
before or after the basic description For example, RQ, Allyl
alcohol, 6 1, UN 1098,1 or Environmentally hazardous
substance, solid, n o s , 9, UN 3077, HI, RQ (Adipic acid)
(4) RCRA Hazardous Waste - Determine if the material is a
RCRA solid waste as defined by 40 CFR 261 2 (i e, is the
material a discarded solid, semi-solid, sludge, liquid, or
contained gaseous material that is not excluded from
regulation)? If the material is defined as a solid waste, note
whether the waste meets any of the hazardous waste listings in
40 CFR Part 261, Subpart D and/or exhibits any of the
characteristics of a hazardous waste in 40 CFR Part 261,
Subpart C State hazardous waste statutes may regulate
additional wastestreams through expanded listings or
additional hazardous waste characteristics
If found, note the EPA/State waste designation and the EPA
waste code
Guidance: EPA facilities and operations should ensure that they
review and remain cognizant of additional hazardous waste
listings or characteristics that influence the classification of
hazardous waste for shipment. For state-regulated wastes that do
not meet the federal definitions of a hazardous material or
hazardous waste, plea.ie note that a full DOT basic shipping
description should not be developed. State waste codes, however
will typically be required, to be identified in Block I of the uniform
hazardous waste manifest.
(5) Hazard Class 9 Wastes - If the material was not amenable to
assignment of a proper shipping name under step (2) but is
considered an EPA-regulated hazardous waste, then the
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proper shipping name is "Hazardous waste, liquid, n o s " or
"Hazardous waste, solid, n o s " and the Hazard Class is Class
9
(6) Technical Names - If the material is assigned a "generic"
proper shipping name listed in 49 CFR 173.203(k), the
technical name of the material should be inserted in
parentheses between the proper shipping name and the hazard
class or after the basic description For example, "Corrosive
liquid, n o s , (Capryl chloride), 8, UN 1760, II" or
"Corrosive liquid, n o s , 8, UN 1760, n (Capryl chloride)"
When the material is a mixture of two or more hazardous
materials, the description should include the technical names
of at least two components "most predominantly contributing
to the hazards of the mixture" For example, "Flammable
liquid, corrosive, n.o s., 3, UN 2924, n (contains Methanol,
Potassium Hydroxide)
(7) Poisons - Where a material defined as a DOT poison is
classified according to a non-technical proper shipping name,
such as an end use or n o s designation, a technical name
should also be provided Poisons by inhalation also require
the words "Poison-Inhalation Hazard" and the "Hazard Zone"
to be specified on shipping papers Refer to 49 CFR
172203(m)
(8) Empty Packaeings - Per 49 CFR 173 29, any empty container
that previously contained a DOT hazardous material may still
be considered a regulated hazardous material for shipment
purposes Unless the container is "sufficiently cleaned of
residue and purged of vapors to remove any potential hazard"
and does not meet the definition of a hazardous waste, the
empty packaging is subject to full hazardous material
requirements. In such cases, the phrase "RESIDUE- Last
Contained" should be inserted before the proper shipping
name of the material Conversely, if the empty container does
not pose a hazard as described above and meets the RCRA
definition of "empty" in 40 CFR 261 7, the package would not
be a regulated hazardous material Containers that held
acutely hazardous waste are rendered empty by triple-rinsing
with a substance capable of removing the acutely hazardous
waste Since residues from triple-rinsing come from
containers that do not yet meet the applicable performance
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standards, they must be managed as acutely hazardous listed
wastes Containers that have held other listed or characteristic
hazardous wastes are considered empty when they meet one
of two standards (1) no more than 2 5 centimeters (1 inch) of
residue remains on the bottom of the container; or (2) no more
than 3 percent by weight of the total capacity remains in a
container that is less than or equal to 110 gallons in size, or no
more than 0 3 percent by weight of the total capacity remains
in a container that exceeds 110 gallons in size
The application of this DOT Shipping Description procedure will
ensure that the full complement of required information is contained
in the description required by DOT shipping papers, including the
uniform hazardous waste manifest
COMMON DOT
SHIPPING
DESCRIPTIONS FOR
EPA OPERATIONS
Although EPA facilities and operations use a wide range of
hazardous materials, the Agency's sampling, analysis and research
efforts involve many common chemicals and solvents Accordingly,
Exhibit 3 provides some of DOT shipping descriptions for some of
the most frequently encountered materials and wastes placed into
transit by EPA
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Exhibit 3: Common DOT Shipping Descriptions
Hazardous
Material/
Waste
Reagents
Hydrochloric acid
Nitric acid >70%
Potassium hydroxide soln.
Sodium sulfate soln.
Waste Solvents
Acetone
Hexane
Isooctane
Methanol
Methylene Chloride
Experimental Residues
Waste PCBs (non RCRA-
regulated)
Excess soil samples with
heavy metals (e.g., lead)
U.S. DOT Shipping Description
(Shipping Name, Hazard Class/Division,
UN/NA Identification Number, Packing Group)
Hydrochloric acid, solution, 8. UN1789, II
Nitric acid, 8, UN 2031, 1
Potassium hydroxide, solution, 8, UN1814, II
Non-DOT regulated
Waste Acetone, 3, UN1090, II
Waste Hexane, 3, UN1208. II
Waste Isooctane, 3, UN1262, II
Waste Methanol, 3, UN1230, II
Waste Methylene Chloride, 6.1 . UN1593, III
Polychlonnated biphenyls, 9, UN2315, II
Hazardous waste, solid, n.o.s., (soils with lead), 9,
NA3077, II (0008)
EPA Hazardous
Waste Number1
0002 when discarded
0001/0002 when discarded
0002 when discarded
N/A
U002/F003
0001
0001
U154/F003
F002/ U080
N/A
0008
'P/U listings refer to unused commercial chemical products; F-listings refer to spent solvents
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Section 13-06
Package Selection
INTRODUCTION
DEFINITIONS
The DOT rules prescribe specific packagings for hazardous
materials that ensure the integrity of the shipment is maintained
throughout the course of transportation. This section describes the
different types of DOT packagings, exemptions, and package
selection procedures.
Revelant definitions to the selection of DOT packages and
containers include the following.
Limited Quantity Packagings - These packages are not tested in
accordance with the performance tests for UN specification
packagings
Overpack - An enclosure used by a single shipper to contain one or
more packages and to form one handling unit for convenience of
handling and stowage The most common type of overpack
encountered by EPA facilities and operations is the laboratory pack,
commonly refered to as "lab pack "
Package - The complete product of the packing operation
consisting of the packaging and contents prepared for transport
Packaging - Receptacles and any other components or materials
necessary for the receptacle to perform its containment function
and to ensure compliance with minimum packaging requirements
An inner packaging is a receptacle that requires an outer packaging
for transport An outer packaging means the outermost enclosure
of a packaging together with any absorbent materials, cushioning
and any other components necessary to contain and protect inner
receptacles or packagings.
Packing - The function by which articles or substances are enclosed
in packagings or otherwise secured.
UN Specification Packagings - These are performed-tested
packagings to ensure that the UN safety standards in 49 CFR Part
178 are achieved These types of packagings are subject to
rigorous performance testing
Package Selection
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CATEGORIES OF DOT
PACKAGINGS
The DOT packagings can generally be described by five categories,
including.
Excepted Small Quantities These are very small packages (e g,
inner packaging less than 1 ounce for most liquids) subject to
special reliefs as provided by 49 CFR 173 4. The small quantity
exception is only available to Hazard Class 3, 4 1, 5 1, 5 2, 8, 6 1,
7, and 9 materials. If a package meets the minimal requirements of
49 CFR 173 4, it is not subject to any other DOT rules
Limited Quantity Limited quantity exceptions are provided per
material by reference in column 8a of the Hazardous Material Table
in 49 CFR 172 101 Typically, limited quantity packages are not
above one to five-gallons capacity, although some materials may
not be allowed exceptions above several ounces Most limited
quantity packages are exempt from specification packaging, hazard
class labeling, and placarding requirements Limited quantity
packages, however, are required to satisfy DOT general packaging
requirements in 49 CFR Part 173, Subpart B as well as general
limitations and conditions of the specific limited quantity
exemption.
Consumer Commodity This is a special exception for limited
quantity materials that are packaged and distributed in a form
intended or suitable for sale through retail sales agencies for
consumption by individuals for the purpose of personal care or
household use The consumer commodity exception, when
allowed, changes the proper shipping name to "Consumer
Commodity" and the hazard class to ORM-D (other regulated
material - domestic). These designations replace the original name
and hazard class of the material. The main advantage of the
consumer commodity classification is its exemption from shipping
paper requirements, unless shipped by air
Non-bulk Packages These packages include any packaging that
does not fulfill the above exceptions, but are below the quantity
threshold for "Bulk" packaging (e.g, 450 liters (119 gallons) for
liquids). Authorized non-bulk packages are referenced per material
in column 8b of the Hazardous Materials Table. Non-bulk
packages must meet DOT performance oriented packaging
standards and tests contained in 49 CFR Part 178, Subparts L and
M as well as DOT general packaging requirements The non-bulk
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packagings specifications and codes for liquids are provided in 49
CFR 173 201- 203 and 49 CFR 173 211-.213 for solids
Bulk Packages This category encompasses those packages that
are larger than non-bulk containers, ranging from portable tanks to
railroad tank cars Authorized bulk packages are referenced per
material in column 8c of the Hazardous Material Table Bulk
packages are required to meet detailed construction standards and
must be periodically inspected, tested and re-qualified under various
DOT regulations in 49 CFR Parts 178 and 179
SPECIAL PACKAGING
CONSIDERATIONS
Open Head Drums
49 CFR 173 12(a)
Lab Packs
49 CFR 173 12(b)
If a material that is a hazardous waste is required by the DOT
regulations to be shipped in an closed head drum (i e, a drum with
a 7 0 centimeter (3 inches) or less bung opening) and the hazardous
waste contains solid or semisolids that make its placement in a
closed head drum impraticable, an equivalent opend head drum may
be used for the hazardous waste Refer to 49 CFR 173 12(a))
Waste materials classified as Class or Division 3, 4 1, 4 2, 4 3, 5 1,
6 1, 8, or 9 are excepted from specification packaging requirements
for combination packagings if packaged in accordance with 49 CFR
173 12(b) and transported for disposal or recovery by highway
only In addition, a generic description from the Hazardous
Materials Table may be used in place of specific chemical names,
when two or more chemically compatible waste materials in the
same hazard class are placed in the same outside packaging
Additional lab packing provisions that must be addressed by EPA
employees shipping hazadous wastes include
• The outer packaging must be a steel or aluminum removable
head drum (packaging specification codes UN 1A2 or UN
1B2), a UN ID plywood drum, or UN 1G fiber drum or a UN
1H2 plastic drum tested and marked at least for the Packaging
Group in performance level for liquids and solids
• The inner packagings must be either glass, not exceeding four
liters (1 gallon) rated capacity, or metal or plastic not exceeding
20 liters (5.3 gallons) rated capacity
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Each outer packaging may contain only one class of hazardous
material
Inner packaging containers containing liquid must be
surrounded by a chemically compatible absorbent material in
sufficient quantity to absorb the total liquid contents
Gross weight of the complete package may not exceed 205
kilograms (452 pounds)
PACKAGE SELECTION
PROCEDURES
Once the proper shipping name and identity of the hazardous
material or waste has been determined, an authorized package is
required in which to ship the material The DOT authorizes many
packaging options for each hazardous material Authorized
packaging options are listed in 49 CFR Part 173 The specific
regulatory section of 49 CFR Part 173 for packaging a particular
hazardous material is found in column 8 of the Hazardous Material
Table in 49 CFR 172 101 The proper shipping name for the
material is used to determine the related reference of packaging
options in column 8. By referring to the specific regulatory section
called for by the Table, the type of packaging alternatives for the
hazardous material can be readily determined In addition, each
proper shipping name is also subject to special packaging
exemptions, restrictions and limitations as stipulated in column 7 of
the Table
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Section 13-07
Marking and Labeling
INTRODUCTION
The marking and labeling of packagings containing hazardous
materials or wastes is a critical component of communicating
applicable hazards in a standardized manner to shippers, carriers,
and emergency response personnel Each package of hazardous
materials must have two types of communications Markings and
Labels Labels are very precisely defined mechanisms for providing
an immediate indication of overall hazards or precuations.
Markings include more detailed communication information This
section describes the specific requirements for DOT markings and
labels as well as the procedures for assigning them to hazardous
material packagings
MARKINGS
Once a hazadous material has been classified and an appropriate
package selected, specific markings must be provided in accordance
with 49 CFR Part 172, Subpart D Markings offer description
information on the specific hazardous material being shipped and
any special handling considerations This information must be
provided so that it meets the following criteria contained in 49 CFR
172 304 durable, in English, on a background of sharply
contrasting color, unobscured by labels or attachments, or is
provided on the package away from other markings that-could
substantially reduce their effectiveness Generally, EPA facilities
and operations use non-bulk packages, requiring the following
marking information:
• The proper shipping name for the hazardous material or
hazardous waste
• ORM markings, where applicable (e.g, ORM-D)
The appropriate UN or NA identification number
• The name and address of the shipper, the cosignee, or both,
• Additional markings appropriate to the material being ship (e.g,
this side up package orientation)
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LABELS
In addition to markings, special labels must be affixed to
packagings containing hazardous materials or hazards wastes as
specified in 49 CFR Part 173 DOT labels are diamond-shaped
("square on point") devices indicating the hazard class of the
material being shipped (e.g., the flammable liquid label) The
appropriate label for the hazardous material is identified in column
6 of the Hazadous Material Table for each listed proper shipping
name
In certain cases, hazardous materials may possess multiple hazards
which requires the use of a label for the primary and subsidiary
hazard (e g, a flammable liquid which is also poisonous must be
labeled for both hazard classes) The primary hazard label is also
shown first, followed by the subsidiary hazard label The primary
hazard label should provide the class number in the bottom comer
of the label Conversely, the secondary hazard label must not show
any class number in the bottom corner. Additional guidelines
regarding the use of subsidiary labels for class 3, 4 1, 4 2, 4 3, 5 1,
6 1, and 8 hazardous materials is provided in 49 CFR
172402(a)(2)
LABELS PLACEMENT
AND SPECIFICATION
DOT regulations provide specific placement instructions to ensure
that labels provide an immediate source of hazard communication
Additionally, DOT labels must satisfy durability, design, size, and
color requirements established in 49 CFR 172 407
Generally, labels must be affixed to DOT packagings so that they
are
• Securely affixed or printed to ensure complete visibility (Note.
Unless clearly visible from outside, all labels required on
packages within an overpack must be reproduced or affixed
onthe outside of the overpack.)
Affixed or printed on a background of contrasting color
• Located near the proper shipping name
Placed within ISO milimeters (6 inches) of one another when a
primary and subsidiary hazard are required.
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Where packages contain radioactive materials or the package
orientation "This Way Up" label is required, two labels must be
used
HAZARDOUS WASTE
LABEL
Before transporting hazardous waste or offering hazardous waste
for transportation off-site, the shipper/generator must mark each
container of 110 gallons or less with the information in
Exhibit 4
Exhibit 4. EPA Hazardous Waste Marking for Transportation
EXAMPLE: The EPA Hazardous Waste Markings for containers of 110
gallons or less
HAZARDOUS WASTE
Federal Law Prohibits Improper Disposal
If found, contact the nearest policy or public safety authority or the U.S.
Environmental Protection Agency.
Generator's Name.
Generator's Address:
Manifest Document No:
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Section 13-08
Preparing Shipping Papers
INTRODUCTION
With very limited exceptions, each shipment of hazardous materials
must be accompanied by "shipping papers," which document the
quantity and type of materials shipped. These must be signed by
the shipper or generator and maintained by the transporter in a
readily accessible manner In addition to providing the transporter
with explicit information on the contents of the shipment, the
shipping paper is the key data source that will be used by
emergency responders in the event of an incident This
documentation is also useful in substantiating that EPA facilities
and operations have fulfilled applicable DOT and RCRA regulatory
requirements with respect to hazardous materials management
This section describes the information required by shipping papers,
including special considerations for completing the hazardous waste
manifest and related documentation
SHIPPING PAPERS
PREPARATION
REQUIREMENTS
A "shipping paper" is a document used to identify the freight being
offered for transportation This term covers any shipping order, bill
of lading, waybill, manifest or other document serving a similar
purpose A special form of shipping paper is the uniform hazardous
waste manifest. The general requirements for preparing shipping
papers are summarized below —
1 All entries on the shipping paper must be legible, printed, and in
English Unless explicitly authorized (e g, n o s), no
abbreviations should be used in completing information required
by the shipping paper.
2 Each hazardous material (including hazardous wastes) in the
shipment must be identified and listed The listing for each
material generally must include the following:
- Proper shipping name
- Numerical hazard class (or division) designation
- The UN or NA identification number
- The Packing Group in Roman Numerals (the roman
numeral may be preceded by the letters "PG")
- The total quantity of material shipped
- Special designations such as the letters "RQ" if the materials
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meets the definition of a hazardous substance, or the word
"Waste" before the proper shipping name if the materials
meets the definition of a hazardous waste
In addition the description should include the type and number
of packages, and the technical name or constituents of the
material See related discussion in the previous section entitled,
Developing a DOT Shipping Description
3 If hazardous materials and other materials are listed on the same
shipping paper, the hazardous materials must be clearly
distinguished in one of three ways
- Listing the hazardous materials first
- Listing the hazardous materials in a contrasting color
- Indicating the hazardous material by an "X" before the
proper shipping name in the shipping paper column entitled
"HM"
4 For hazardous waste, the corresponding EPA waste code
should be assigned to Block I of the uniform hazardous waste
manifest In addition, states may promulgate standards that
regulate additional wastestreams not covered by the EPA rules
For example, cleanup residues from underground storage tank
removals, waste oils, and poly chlorinated biphenyls are
frequently regulated by more stringent state hazardous-waste
management statutes Accordingly, these codes should be
entered in Block I of the manifest
5 The shipping paper should include of a certification statement
attesting to the accuracy of the paperwork, the proper
classification and naming of the material, the correctness and
safety of the packaging, and the proper marking and labeling of
the packages.
6. No material other than a hazardous material may be identified
using a DOT hazard class or UN/NA identification number.
The description of materials that do not meet the definition of a
DOT hazardous material may be preceded with the words,
"Non-DOT regulated "
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Hazardous Materials/Waste Transportation
7 A 24-hour emergency response telephone number must be
entered on the shipping paper (or manifest) The telephone
number must be the number of the person offering the
hazardous material for transportation, or the number of an
agency or organization (e g , CHEMTREC) capable of, and
accepting responsibility for, providing detailed information
about the hazardous material in the event of an emergency
8 A copy of shipping paper or manifest should be retained by the
shipper/generator. This information substantiates the actions
taken to ensure that the shipment was prepared in accordance
with applicable regulatory requirements and provides a record *
of the transaction in the event of a future inquiry or inspection
Guidance: EPA personnel offering hazardous materials or -waste
for transportation should use the compliance checklist in Appendix
G to facilitate the preparation of shipper papers in accordance
with DOT and EPA regulations.
LAND DISPOSAL
RESTRICTIONS
In November 1984, Congress enacted the Hazardous and Solid
Waste Amendments to RCRA, which mandated broad changes to
the hazardous waste management program Among the most
significant portions of the amendments, HSWA required EPA to
establish a comprehensive set of management standards governing
the land disposal of untreated hazardous wastes These standards,
known as the land disposal restrictions, are codified at 40 CFR Part
268. Hazardous wastes become "restricted" and, therefore, subject
to the LDR program when they are prohibited from land disposal
by either regulation or statute, regardless of any extensions,
exemptions, or variances "Prohibited" wastes are a subset of the
restricted wastes and are defined as those restricted wastes which
are ineligible for land disposal since they do not meet designated
treatment standards after the appropriate effective date Wastes for
which no treatment standards have been promulgated, and which
are not specifically designated by HSWA as ineligible for land
disposal, are neither restricted nor prohibited, and are not currently
subject to the LDR program. The areas of the LDR program most
significantly impacting EPA facilities are described below
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Notification and
Specification
Requirements
Generators of restricted wastes must provide notice and
certification, and comply with the recordkeeping and waste analysis
requirements mandated by applicable sections of 40 CFR (§268 7,
§268 9, and §268.7(a)) Exhibit 5 summarizes the notification and
certification requirements applicable to EPA generators intended to
ship waste off-site
Exhibit 5
Summary of Basic Notification and Certification Requirements
Scenario
Frequency
Recipient of
Notification
Recordkeeping, Notification,
and/or Certification
Requirements
Waste does not meet
applicable treatment
standards or exceeds
applicable prohibition
levels (see
§268.7(a)(1))
With each
shipment
Treatment or
storage facility
Notice must include-
• EPA hazardous waste code
• Constituents of concern
• Treatability group
• Manifest number
• Waste analysis data, where
available
Waste can be
disposed without
further treatment
(meets applicable
treatment standards
or does not exceed
prohibition levels
upon generation) (see
§268.7(a)(2))
With each
shipment
Land disposal
facility
Notice and certification
statement that waste meets
applicable treatment standards
or applicable prohibition levels
must also include:
• EPA hazardous waste code
• Constituents of concern
• Treatability group
• Manifest number
• Waste analysis data, where
available
Waste is subject to
exemption from a
prohibition on the type
of land disposal used
for the waste, such as
a case-by-case
extension, a
no-migration
exemption, or a
national capacity
variance (see
§268.7(a)(3))
With each
shipment
Treatment,
storage, or
disposal facility
Notice must include:
• EPA hazardous waste code
• Constituents of concern
• Treatability group
• Manifest number
• Waste analysis data, where
available
• Date the waste is subject to
the prohibitions
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Alternative treatment
standard for lab packs
Hazardous Materials/Waste Transportation
With each shipment of restricted waste sent off-site, the generator
must provide notification to the receiving TSDF The notice must
include
• EPA hazardous waste code
• Hazardous constituents to be monitored, if monitoring will not
include all regulated constituents, for wastes F001-FOOS, F039,
D001, D002, and D012-D043, for all wastes, the notice should
also include whether the waste is a wastewater or
nonwastewater, and any appropriate subcategory, if applicable
• Accompanying manifest number
• Waste analysis data, where available
This notification must accompany all shipments of restricted
wastes, regardless of whether they are being shipped to a recycler,
treatment facility, storage facility or disposal facility Copies of the
notifications must be maintained by the generator for five years
If the generator determines that the waste meets the treatment
standard and decides to ship the waste to a land disposal facility,
the notification must include a signed certification that the waste
meets the treatment standards The language for the certification is
provided in §268 7(a)(2) Copies of the notification, certification,
and associated waste analysis data must also be retained for a
minimum of five years
Regardless of whether a generator identifies waste based on
knowledge or testing data, all data and analytical results that
support the determination must be maintained on-site. In addition
to these materials, generators must also retain on-site copies of all
notices, certifications, demonstrations, waste analysis data and any
other records associated with shipments of restricted wastes for at
least five years
Laboratories frequently dispose of many small containers of
hazardous wastes by placing them in overpacked drums called lab
packs Because lab packs are potentially subject to a different
prohibition and associated treatment standard for each waste they
contain, they have been given a single alternative treatment
standard for ease of compliance. Lab packs satisfying the
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requirements of 49 CFR §173 121(b) and 40 CFR
§§264 316/265.316 that do not contain any of the mercury
bearing wastes listed in Appendix IV to Part 268 will be eligible
for land disposal following incineration in a hazardous waste
incinerator, so long as any incinerator ash then meets the treatment
standards for metal wastes (D004-D011).
Small containers of laboratory wastes that are grouped together and
placed in overpacked drums are subject to all the applicable
waste-specific prohibitions; they are, however, also eligible for a
single alternative treatment standard, as discussed below
Generators who wish to take advantage of the alternative treatment
standard should provide the basic notification for wastes that do not
meet treatment standards, except they need not note constituents of
concern, and a special certification for lab packs containing the
language found in 40 CFR §268 7(a)(8) Generators notifying for
lab packs must also comply with the previously identified
requirements for wastes excluded subsequent to the point of
generation and for record retention
Guidance: EPA facilities and operations that develop shipping
documentation during the course of hazardous waste management
such as the uniform hazardous waste manifest and LDR
notifications are subject to conflicting time frames for records
retention. Manifests are required to be maintained for three years
after the date of shipment whereas LDR documentation isj'equired
to be maintained for five years. To reconcile this discrepancy
while providing additional assurance that appropriate records will
be available in the event of an inspection or CERCLA potentially
responsible party inquiring, EPA facilities and operations should
maintain shipping documentation developed for off-site hazardous
waste transfers to TSDFsfor a minimum of five years. These
records should be managed in the permanent environmental
records file or archive to ensure ease of retrieval and accessibility.
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Section 13-09
Providing and Using Placards
INTRODUCTION
Placards represent the primary device used to indicate the hazard of
materials contained within the vehicle Larger than labels used on
packagings, placards are generally affixed to the front, back, and
both sides of the vehicle. This section describes the requirements
for providing and assigning placards for hazardous material
shipments.
REQUIREMENTS FOR
PLACARDS
Each vehicle should be placarded based on the total load that is
carried For highway shipments, it is the responsibility of the
shipper to provide placards to the carrier for the materials being
shipped, unless the transporter's motor vehicle is already placarded
for the materials The transporter is responsible for affixing and
maintaining placards, as necessary, for the entire load throughout
the cycle of transportation Placard specifications and examples are
codified in 49 CFR 172 521-.560.
DOT defines three major groups of placarding requirements based
on the hazard classes being shipped
Anv Quantity Placards Certain materials are considered so
hazardous that any quantity on a vehicle is subject to placarding
provisions Specifically, these include explosives (Divisions 1 1-
1 3), poison gases (Division 2 3), dangerous when wet materials
(Division 4 3), poisons (Division 6 1, Packing Group I-inhalation
hazard only) and radioactive materials (Class 7)
1.000/5.000 Pound Rule Placards. The majority of the remaining
hazard classes require placard if the total quantity of all such
hazardous material (of all hazard classes) on the vehicle in non-bulk
packages exceeds 1,000 pounds (See 49 CFR 172.504, Table 2).
For mixed loads of non-bulk packages, a "Dangerous" placard can
account for materials of any hazard class where the total quantity of
materials in that class is less than 5,000 pounds If the total
quantity of hazardous materials in any given class exceeds 5,000
pounds, the placard for that particular hazard must be used Bulk
packages are required to be affixed with the specified placard for*
the hazardous material contained in the package, regardless of the
amount *•
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No Placard Required. Selected hazard classes do not require
placards under any conditions Relevant examples for EPA
facilities and operations include infectious substances, "limited
quantity" packages, combustible liquids in non-bulk packages, and
ORM-D materials.
Placard Selection
Guidelines - Non-Bulk
Packages
The first step in determining applicable placarding requirements is
to identify the hazard classes for all materials being transported As
noted above, certain types of materials (e g, infectious substances
and ORM-D materials) do not require placards under any
circumstances. Conversely, some particularly hazardous materials *
require placarding in all cases (e.g, radioactive materials) If the
hazardous materials being transported are not exempted or always
placarded, the next step in identifying the appropriate placards is to
determine the total quantity of hazardous material being transported
by the vehicle in non-bulk packages. (Note The majority of
hazardous materials and wastes shipped by EPA facilities will be in
non-bulk packages, however, bulk packages may be required for
site cleanup, emergency response or CERLCA site activities )
Where the total quantity of all hazardous materials (of all hazard
classes) is below 1,000 pounds placarding is not required, but is
permitted as a precautionary measure in accordance with 49 CFR
172 502(c). If the aggregate load exceeds 1,000 pounds in non-
bulk packages, the vehicle must be placarded subject to the 5,000
pound rule explained previously Once these determinations have
been made, the appropriate placard should be selected for the
hazard classes being transported The specifications and makeup of
the DOT placards for each hazard class (including divisions) are
provided in 49 CFR 172 521 -560
Placard Selection
Guidelines - Bulk
Packages
Bulk packages (e g., tanker truck) are required to have placards
affixed for applicable hazard classes contained, regardless of the
amount. This requirement ensures that applicable hazards are
communicated immediately in the event of a transportation-related
incident
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Section 13-10
Emergency Response Considerations
INTRODUCTION
Transportation-related incidents may pose significant threats to
public safety, property, and the environment. Prompt response
based on accurate and readily available hazard information
regarding the cargo is essential to mitigating these impacts
Accordingly, DOT has developed specific emergency response
communication standards in 49 CFR Part 172, Subpart G This
section describes the requirements for emergency response
communications.
EMERGENCY
RESPONSE
INFORMATION
Required Response
Information
(49 CFR 172 602)
DOT has identified seven specific areas of information that must
accompany shipping papers for hazardous materials and wastes
This information should be present for each hazardous material
being transported and be immediately available to emergency
responders whenever there is a hazardous material present.
The minimum emergency response information required with
shioment includes'
each
Basic description and technical name(s) of the material(s)
• Immediate hazards to health
Fire and explosion risks
Immediate precautions to be taken in the event of an incident
• Immediate methods for handling fires
• Initial methods for handling spills or leaks
• Preliminary first aid measures.
This information is similar to that provided by the DOT Emergency
Response Guide or a manufacturer's MSDS
The DOT rules allow several methods of supply the required
information, however, all methods are required to be printed in
English and available for use away from the package containing the
hazardous material Emergency response information can be
printed:
• Directly on the shipping paper, or
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Emergency Response
Telephone Number
(49CFR 172.604)
Hazardous Materials/Waste Transportation
• On another document such as an MSDS or the DOT
Emergency Response Guide which cross-references the material
to specific emergency response procedures
Guidance: All EPA employees engaging in hazardous materials
transportation should ensure that an MSDS, DOT Emergency
Response Guidebook, or other hazard profile information is
provided with each shipment off-site. Alternatively, EPA should
obtain verification that its hazardous material and waste
transporters maintain appropriate DOT emergency response
information on the carrier vehicle during the normal course of
transportation.
Shippers of hazardous materials are obligated to provide an
emergency response telephone number on the shipping paper for
each load destined for transit This telephone number must appear
on the shipping paper immediately following a hazardous materials
entry, or in a conspicuous place on the shipping paper, if the a
single number can be used for all hazardous materials listed In
addition, there must be an indication that this number is to be used
for emergency response purposes (i e, EMERGENCY
CONTACT )
The telephone number provided by the shipper of the hazardous
materials or wastes must be monitored at all times while the
materials are in transport by one of the following methods
• A person who is knowledgeable of the hazardous properties of
the load and has comprehensive emergency response
information and incident mitigation information for that
material, or has immediate access to a person who possesses
such knowledge and information
An agency or organization such as CHEMTREC which is
capable of, and accepts responsibility for, providing emergency
response information
It is the responsibility of the person providing the telephone number
of a third-party emergency response information agency to ensure
that it has received current information regarding the material prior
to being offered for transportation In particular, the agency should
be provided with the name and telephone
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number of an individual(s) who are thoroughly knowledgeable of
the hazardous materials intended for transport
INCIDENT
NOTIFICATIONS AND
REPORTS
DOT regulations prescribe incident notification procedures in the
case of an accident that occurs during the course of transportation,
including loading, unloading, and temporary storage Each carrier
involved in an accident is required to contact the Coast Guard
National Response Center at 800-424-8802 in addition to any
contacts with local emergency authorities Notification must occur
when any of the following conditions result from the hazardous
materials incident'
A person is killed
A person receives injuries requiring hospitalization
Estimated carrier or other property damage exceeds $50,000
An evacuation of the general public occurs lasting one or more
hours
• One or more major transportation arteries or facilities are
closed from one hour or more
The operational flight pattern or routine of an aircrafLis altered
• Fire, breakage, spillage, or suspected radioactive contamination
occurs involving shipment of radioactive material
• Fire, breakage, spillage, or suspected contamination occurs
involving shipment of etiologic agents
• There has been a release of a marine pollutant in a quantity
exceeding 450 liters (119 gallons) for liquids or 400 kilograms
(882 pounds) for solids
• A situation exists of such nature that, in the judgment of the
carrier, should be reported even though it does not meet the
'above conditions.
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The verbal notice must provide the following information, name of
reporter name and address of carrier represented by reporter, phone
number where reporter can be contacted, date, time, and location of
incident, the extent of injuries, if any; classification, name, and
quantity of hazardous materials involved, type of incident and
nature of hazardous material involvement and whether a continuing
danger to life exists at the scene.
Under the CERCLA regulations promulgated in 40 CFR 302 6,
EPA also requires persons in charge of facilities (including
transport vehicles, vessels and aircraft) to report any release of a
hazardous substance in a quantity equal to or greater than its RQ,
as soon as that person has knowledge of the release, to the U S
Coast Guard National Response Center
Detailed Incident Report
Special Requirements for
Hazardous Waste
Releases
Each carrier making such a verbal notice is subject to the
preparation of a detailed hazardous material incident report using
DOT Form F 5800 1 within 30 days of the date of discovery of the
incident Such report must be sent to the Information Systems
Manager, DHM-63, Research and Special Programs
Administration, Department of Transportation, Washington, D C
20590-0001 A copy of the report is required to be maintained for
a period of two years.
The preparation of detailed incident reports is not stipulated for
matenals being transported under the following proper-shipping
names consumer commodity; battery, electrical storage, wet, filled
with acid or alkali, and paint/paint-related material when shipped in
packagings of five gallons or less.
Any quantity of hazardous waste that has been discharged during
transportation requires the preparation of a detailed incident report.
In addition, the report must provide'
• A copy of the hazardous waste manifest for the waste
• An estimate of the quantity of the waste removed from the
scene, the name and address of the facility to which it was
taken, and the manner of disposition of any removed waste
must be entered in Section DC of the report form (Form
F5800 1)
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Section 13-11
Training
INTRODUCTION
DOT TRAINING
Training Program
Contents
A thorough knowledge of proper handling procedures and
appropriate use of DOT hazard communication systems (e.g.,
snipping papers, labels, placards) is essential to the safe
transportation of hazardous materials and wastes In recognition of
this point, DOT issued a final rule on May 15, 1992 (57 FR 20952)
that established specific training requirements for hazardous
material employers and employees engaging in the shipment of
hazardous materials This final rule became effective on October k,
1993 and was codified in 49 CFR Part 173, Subpart H. This
section describes the provisions for hazardous materials training as
they relate to EPA facilities and operations
The purpose of the DOT training provisions is to ensure that each
hazardous materials employer trains its employees regarding safe
loading, unloading, handling, storing, and transporting of hazardous
materials and emergency preparedness for responding to accidents
or incidents involving the transportation of hazardous materials
Employees engaging in transportation-related activities on or before
July 2, 1993 were required to receive training under the new rules
by October 1, 1993 Training for a new employee must be
completed within 90 days after employment Each employee must
receive recurrent training at least once every two years On May
27, 1992 (57 FR 22182), DOT issued a final rule that amended
these training requirements by requiring that a hazardous materials
employer must test each employee to ensure that the training
received is effective (see 49 CFR 172.702)
The hazardous materials employee training program should address
the following major considerations relative to hazardous materials
transportation
• General awareness training - To ensure that employees are
familiar with the requirements for hazardous material
transportation and to identify hazardous materials consistent
with the DOT hazard communication provisions for marking,
labeling, and placarding
• Function-specific training - To provide function-specific
Training
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Recordkeeping
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training (e g, preparing shipping papers, selecting packages,
marking and labeling) which is specifically applicable to the
duties the employee performs
• Safety training - To provide education on emergency response
information required by 49 CFR Part 172, Subpart G, measures
to protect the employee from the hazards associated with
hazardous materials, and methods for avoiding accidents, such
as the proper procedures for handling packages containing
hazardous materials
NOTE: Training conducted by EPA facilities and operations to
comply with the Occupational Safety and Health Administration
(OSHA) Hazardous Waste Operations and Emergency Response
(HAZWOPER) standard in 29 CFR 1910 120, to the extent that
this training addresses the areas specified above, may be used to
satisfy the DOT training requirements to avoid unnecessary
duplication of training
Guidance: Where feasible, EPA employees with emergency
response and hazardous materials transportation responsibilities
should seek training that integrates both DOT and OSHA
requirements to enhance training efficiencies and the interface of
applicable regulatory standards. RCRA hazardous waste
management and transportation considerations should also be
addressed. For example, the HAZWOPER curriculum developed
by the EPA Emergency Response Training Program includes a
comprehensive description of provisions for DOT, OSHA, and
EPA regulations as they relate to hazardous materials response. A
catalog of emergency response curricula and training programs
can be obtained by contacting the Hermina Williams, EPA
Emergency Response Training Program, Externalization Training
Coordinator, at (513) 569-7537. EPA training coordinators may
want to use these course descriptions as a benchmark when
securing prospective training support organizations for
HAZWOPER or hazardous material educational activities.
The results of hazardous materials training activities should be
documented and retained for each employee for the duration of
their employment and for 90 days thereafter The record of training
should include the following
• Employee's name
Training
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• Most recent training completion date of the employee's training
• A description, copy, or the location of the training materials
used to meet these training requirements
• Name and address of the person providing the training
Certification that the employee has been trained and tested to
demonstrate his or her proficiency
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APPENDIX A
Acronyms
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APPENDIX A
Acronyms
CERCLA Comprehensive Environmental Response, Compensation and Liability Act
DOT Department of Transportation
EPA Environmental Protection Agency
HAZWOPER Hazardous Waste Operations and Emergency Response
HMTA Hazardous Materials Transportation Act
HSWA Hazardous and Solid Waste Amendments
IATA International Air Transport Association
LDR Land Disposal Restrictions
MSDS Material Safety Data Sheet
ORMD-D Other Regulated Material-D
OSHA Occupational Safety and Health Administration
ppm parts per million
psia pounds per square inch absolute
RCRA Resource Conservation and Recovery Act
RQ Reportable Quantities
RSPA Research and Special Programs Administration
SARA Superfund Amendments and Reauthorization Act
SHEMP Safety, Health and Environmental Management Program
TSDF Treatment, Storage, and Disposal Facility
UN/NA United Nations/North American
Acronyms A-l
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APPENDIX B
The Hazardous Waste Determination Hierarchy
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APPENDIX B
The Hazardous Waste Determination Hierarchy
Is the Material a Solid Waste as
Defined in §261.2? (§262.11)
NO
The Material Is Not Subject
to RCRA Subtitle C.
YES
Is the Solid Waste Excluded From
Regulation As A Hazardous Waste
Under §261 4 (§262 11 (a))'
YES
The Material Is Not Subject
to RCRA Subtitle C
NO
NO
Is the Solid Waste Listed As A Hazardous Waste in
Part 261, Subpart D? (§262 11 (b))?
NO
YES
Even If the Waste Is Listed. For |
Purposes of Part 268, The Generator |
Must Also Determine If The Listed Waste Exhibits A,
Charactenstic (§262 11 (c)) .
Has the Waste Been Dehsted
Under §260.22? (§262.11 (b))
YES
Does the Solid Waste Exhibit
A Characteristic Identified in
Part 261, Subpart (§262.11(c))?
NO
YES
The Waste Is Hazardous and Is Subject
to Subtitle C Regulations (§262.11(d))
Hazardous Waste Determination Hierarchy
B-l
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APPENDIX C
Precedence of Hazard Table
(Hazard Class and Packing Group)
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APPENDIX C
Precedence of Hazard Table (Hazard Class and Packing Group)
3 1
II
III
41 II'
III1
42 II
III
43 1
II
III
si r
IP
in1
6 1 1.
dermal
l_
oral
II.
inhalation
H.
dennul
II.
oral
III
42
42
42
43
t
43
43
43
43
51
I1
5
5
5
5
5
5
5
SI
II1
4 1
4 1
42
5 1
43
43
5 1
SI
III1
41
4 1
42
42
43
43
43
61
1
dermal
3
3
61
6
6
6
6
6
6
6
5
6
6
61
1
oral
3
3
61
6 1
6 1
6 1
6 1
43
43
61
SI
S 1
61
6 1
II
3
3
6 1
4 1
6 1
42
61
43
43
61
S 1
SI
6 1
6 1
III
3
3
3*
4 1
4 1
42
42
43
43
43
S 1
SI
SI
8
1
liquid
3
8
8
i
i
8
8
43
8
8
SI
8
8
8
8
8
8
8
8
8
1
solid
i
j
i
8
8
8
8
43
8
8
S 1
8
8
61
6 1
61
61
8
8
8
II
liquid
3
3
8
i
i
43
8
43
8
8
SI
8
8
61
6 1
61
8
8
8
8
II
solid
i
i
i
4 1
8
42
8
43
43
8
SI
SI
8
61
6 1
61
6 1
61
8
8
III
liquid
3
3
3
'
i
42
42
43
43
43
SI
SI
S 1
61
6 1
61
61
6 1
8
8
111
solid
i
i
j
4 1
4 1
42
42
43
43
43
S 1
SI
S 1
61
61
61
61
6 1
8
lliere are presently no established criteria for determining Packing Groups for liquids in Di\ ision S I for the lime being, the degree of hazard is to be assessed by analogy with listed substances, allocating
UK subslancs to racking Group I (great danger), II (medium danger), or III (minor danger)
1 Substances of Division 4 1 other than self-reaciive substances
' Indicates altimpossible combination
' for pesticides only, where a material has the hazards of Class 3, packing Group III, and Division 6 I, Packing Group HI, the primary hazard is Division 6 1, Packing Group III
Preccndence of Hazard Table (Hazard Class and Packing Group)
C-l
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APPENDIX D
Identifying the Primary Hazard
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APPENDIX D
Identifying the Primary Hazard
Is the Material Explosive''
NO
Is the Matenal an
Organic Peroxide?
NO
Is the Matenal an
Infectious Substance?
NO
Does the Matenal Meet the
Definition of "Wetted Explosive"
[49CFR173124(a)(1)]?
NO
Is the Matenal a Limited
Quantity Radioactive?
YES
YES
YES
YES
YES
The Primary Hazard Class is Class 1 (Explosive)
The Primary Hazard Class is
Class 5.2 (Organic Peroxide)
The Primary Hazard Class is
Class 6.2 (Infectious Substance)
The Primary Hazard Class is
Class 4. 1 (Flammable Solid)
The Primary Hazard Class is determined in acordance with
49 CFR 173.421-2
NO
Is the material specifically listed
on Table 172 101?
NO
Is the Matenal Class
7 - Radioactive,
2 3 - Poison gas,
2 1 - Flammable gas,
2 2 - Nonflammable gas.
6 1 Poison, PG 1. PIH.
4 2 - Pyrophonc materials only, or
4 1 - Self-reactive materials only?
NO
Is the Matenal Class
3- Flammable liquid,
8 - Corrosive,
4 1 - Flammable solid,
4 2 - Sponteneously combustible,
4 3 - Dangerous when wet
5 1 - Oxideer, or
6 1 - Poison?
NO
Is the Matenal a "Combustible Liquid?"
NO
Is the Matenal a Class 9
"Miscellaneous Hazardous Material7"
YES
YES
YES
YES
YES
The Hazard Class indicated m column (3) of Table 1 72. 101
is the Primary Hazard
The Hazard Class is assigned
in descending order ofpnonty. as listed
The Pnmary Hazard is determined
according to the "Precedence of Hazard" -
table at 43 CFR 172.2a(b)
The Pnmary Hazard Class is Combustible liquid
The Pnmary Hazard Class is Class 9
Identifying the Primary Hazard
D-l
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APPENDIX E
Sample of Hazardous Materials Table
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Safety, Health, and Environmental
Management Guidelines
May 1998
Hazardous Materials/Waste Transportation
APPENDIX E
Sample of Section 172.101 Hazardous Materials Table
1 lazordous materials description and
S) mbol proper shipping names
(1) (2)
Acccllcrcnc, see p-
Nilrosodimethyliinilne
Accumulators, elcclnc. see Batteries.
welcic
D Accumulators, pressuned. pneumalic
or hjdraulic (conuining non-
flammable gas)
Acetal
Acetaldeh)de
A Acctaldehyde ammonia
Acetaldehyde oxune
Acetic acid, glacial or Acetic acid
solution, more than 80 percent acid.
by mass
Acetic acid solution, more than 10
percent but not more than 80 percent
acid, by mass
acetic anhydride
Acetone
Acetone c>anohydnn, subihied
Acetone oils
Acetonilrile. see Meth) 1 cyanide
Acetyl acetone peroxide with more
than 91 • b> mass active nxj gen
Hazard
class or
division
(3)
12
}
!
>
)
I
!
i
I
SI
J
•Olblriden
ID numbers
(•»)
MAI956
LJNI088
JNI089
UNI84I
JN2332
JN2789
LTN2790
JNI7I5
LTN1090
JNI54I
JNI09I
Packing
group
(5)
1
II
1
1
I
1
1
1
Ldbel(s) required (if not
cxccpled)
(6)
NONFLAMMABLE
3AS
•LAMMABLE
.IQUID
•LAMMABLE
.IQUID
:LASS 9
•LAMMABLE
.IQUID
CORROSIVE
CORROSIVE
:ORROSIVE
-LAMMABLE
.IQUID
>OISON
•LAMMABLE
.IQUID
Special
provisions
(7)
17
U.BI6.
170, 176.
179
IS
\3.A6.A7.AI
>. B2, T8
\3.A6.A7,AI
). B2. T8
\3. A6. A7.
MO.B2.T8
T8
!, A3. B9.
314. B32.
376. B77.
J34.T38.
U3. T45
f7,T30
(8)
Packaging authorizations (§1 73 •••)
Exceptions
(8A)
106
150
Mone
ISS
ISO
IS4
IS4
154
ISO
•lone
ISO
Non-bull.
packaging
(SB)
106
!02
ZOI
!04
!02
!02
!02
!02
>02
>27
!02
Bulk
packaging
<8C)
vlnne
142
>43
Ml
>42
>42
!42
!42
>42
!44
!42
(9)
Quantity limitations
Passenger
aircraft or
railcar
(9A)
Mo limit
SL
?orbidden
200kg
SL
IL
IL
IL
SL
•orbidden
SL
Cargo airaatl
only
(9B)
•Jo limit
SOL
iOL
200kg
SOL
IOL
iOL
50 L
JOL
!OL
SOL
(10)
Vessel stowage requiremenls
Vessel stowage
(IOA)
\
'-
•*
A
A
A
A
A
3
5
3
Other storage
provisions
(IOB)
14
12.21.48
112
10
>5.40.49
Sample of Section 172.101 Hazardous Materials Table
E-l
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Safety, Health, and Environmental
Management Guidelines
May 1998
Hazardous Materials/Waste Transportation
APPENDIX E
Sample of Section 172.101 Hazardous Materials Table
S>mbol
(1)
3
\
Hazardous materials description and
proper shipping names
(2)
\cccllercnc. see p
MnrosodimeUiylanilne
Accumulators, electric, see Batteries.
vet etc
&ccumul ii • presumed, pneumatic
ir h)driiulib Containing non
lammable gas)
Rectal
\cetaldeh\de
taclaldehyde ammonia
tcctaldehyde oxime
\cele acid, glacial or Acetic acid
lOlulion. more than 80 percent acid.
i)' mass
\cetic acid solution, more than 10
icrcent bul not more than 8U pciccnl
icid. by mass
icelic anh)dride
\ceumc
\cctone cjanohjdrin. stabilized
tcctonc oils
A.celomlrile. see Mcth>l eianidc
\cei) 1 acetone peroxide » ilh mgeri
Hazard
class or
division
(3)
22
i
»
)
i
9
1
1
I
>l
!
•orbldden
ID numbers
(•«)
MA1956
JN1088
JNI089
JNI84I
JN2332
JN2789
JN2790
LTNI7I5
JNI090
LTNI54I
JNI09I
Packing
group
(5)
1
II
1
1
1
1
1
1
Label(s) required (if not
excepled)
(6)
NONFLAMMABLE
3AS
•LAMMABLE
-IQUID
LAMMABLE
JQUFD
;LASS 9
•LAMMABLE
JQUD3
CORROSIVE
CORROSIVE
:ORROSIVE
•LAMMABLE
.IQUID
'OISON
'LAIMMABLE
.IQUID
Special
prox isions
(7)
17
\3.BI6.
r20. T26.
H9
n
U.A6.A7.AI
). B2. T8
\3.A6.A7.AI
). B2. T8
\3, A6. A7.
MO.B2.T8
rs
!. A3. B9.
3I4.B32.
376. B77,
«4. T38,
M3. T45
F7.130
(«)
Packaging authorizations (§173 •*•)
Exceptions
(8A)
1(16
ISO
>lonc
155
ISO
IS4
IS4
IS4
ISO
•Jonc
ISO
Non-bulk
packaging
(8B)
(06
!02
>01
!04
!02
!02
!02
!02
!02
!27
>02
Bulk
packaging
(8C)
>Ionc
242
243
241
!42
242
242
242
!42
244
242
(9)
Quantity limitations
Passenger
aircraft or
railcar
(9A)
Mo limit
!L
•orbidden
200kg
)L
IL
IL
IL
SL
•orbidden
>L
Cargo aircraft
only
(9B)
Mo limn
SOL
)OI.
200kg
>OL
SOL
iOL
10 L
!OL
IOL
SOL
(10)
Vessel stowage requirements
Vessel stowage
(IOA)
\
'
*
\
&.
\
\
\
3
D
3
Other storage
provisions
(IOB)
M
12.21.48
112
10
!5. 40. 49
Sample of Section 172.1' tardous Materials Table
1
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APPENDIX F
Hazardous Materials Table User's Guide
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Safety, Health, and Environmental
Management Guidelines
May 1998
Hazardous Materials/Waste Transportation
APPENDIX F
Using Section 172.101 Hazardous Materials Table
Sjmbol
(1)
3
Hazardous materials description and
proper shipping name*
(2)
Accumulators, pressuncd. pneumatic
>r hydraulic (containing non-
lammable gas)
taetal
Hazard
class or
division
(3)
22
i
ID numbers
(•»)
MA 1956
JN1088
Packing
group
(5)
1
Label(s) required (if nol
cxccpled)
(6)
NONFLAMMABLE
3AS
H.AMMABLE
.IQUID
Special
prox isionf
(7)
17
(8)
Packaging authorizations (§173 •••)
Exceptions
<8A)
106
ISO
Non-bulk
packaging
(«B)
)06
102
Bulk
packaging
(8C)
•Jonc
!42
(9)
Quantity limilalions
Passenger
aircraA or
railcar
(9A)
•Jo limit
5L
Cargo
aircraA only
(9B)
>lo limit
.OL
(10)
Vessel stowage requirements
Vessel stowage
(IDA)
\
•
Other storage
provisions
(IOB)
COLUMN DESCRIPTIONS
(1) SYMBOLS
"A" means regulated only when shipped by air
"W" means regulated only when shipped by water
"+" fixes the name, hazard class, division and packing
group without regard to hazard definitions
"D" indicates optional domestic names which are not
generally recognized internationally
"I" indicates International Names which are optional Tor
domestic shipment
(2) PROPER SHIPPING NAME (PSN)
Roman print only, italics and punctuation are supplementary
and not part of the PSN They are optional wherever the PSN
is required PSN's required on packages and shipping papers
See also 172 203, etc Tor additional descriptions
(3) HAZARD CLASS & DIVISION
Determines placarding (see 172 50-4) Required on shipping
papers
(4) ID NUMBERS
Required on Shipping papers, packages, Orange panels
(tanks). Placards (tanks), (see 172302 et seq )
(5) PACKING GROUP
Measures "degree of hazard "
packaging, per hazard class and division
(6) LABELING
Minimum requirements (see 172 402 for
additional labels)
(7) SPECIAL PROVISIONS
Includes packaging limitations, restrictions
and added requirements (see 172 102 for
details) Number-only codes apply to all
packages
"A" prefix = air shipments only
"13" prefix = bulk packages only
"H" prefix = highway shipment only
"N" prefix = non-bulk packages only
"R" prefix = rail shipment only
"T" prefix = inlermodal (IM) tanks only
"W" prefix = water shipments only
(8) PACKAGING
AUTHORIZATIONS
(A) EXCEPTIONS
Tor limited quantity packages
may also reference consumer
commodity (ORM-D) options
(B&C) BULK means
>400 kg for solids
>454 kg water capacity for gases
(9) QUANTITY
LIMITATIONS
Quantity limitations for
passenger aircraft or
railcar or cargo aircraft
only
(10) STOWAGE
ON VESSEL
(BOATS)
See 172 101 (k), 17663
and 176 84
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APPENDIX G
Shipping Papers Compliance Checklist
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Safety, Health, and Environmental
Management Guidelines
May 1998
Hazardous Materials/Waste Transportation
Compliance Checklist
Shipping Papers
Shipninn Paner
1 Shipping Paper
2 Contents
(a) Order/color/x'
(b) Legible English
(c) Unauthorized Code/Abbrev
(d) Consistent Additional Information
3 Name of Shipper if Water
4 Proper Shipping Name
5 Hazard Class
6 Identification Number
7 Packing Group
8 Total Quality/Unit of Measure
9 Sequence
10 Additional Descriptions
(a) Exemption
(b) Limited Quantity
(c) Hazardous Substance
(d) Radioactive Materials
(e) Empty Packaging
(f) Air Requirements
(g) Rail Requirements
(h) Highway Requirements
(i) Water Requirements
0) Dangerous When Wet
(k) Technical Name for N O S
(I) Marine Pollutants
(m) Poisonous Material
(n) Elevated Temperature Material
(o) Oil
(p) Emergency Response Information
(q) Emergency Telephone Number
1 1 Uniform Hazardous Waste Manifest
Signatures - Originals
Signatures - Copies
Violation
Reference
172200(a)
172201(aX1)
172201(aX1)
172 201(aX3)
172 201 (a X4)
172201(b)
172202(a)(1)
172202(a)(2)
172202(a)(3)
172202(a)(4)
172202(a)(5)&(c)
172202(b)
172203
172 203(a)
172 203(b)
172203(c)
172203(d)
172203(e)
172 203
172 203(g)
172 203(h)
172203(i)
172 203(j)
172 203(k)
172 203(1)
172 203(m)
172 203(n)
172203(0)
172602(a)-(c)
1726024(a)
172205(a)
172205(c)(1)&(2)
172205(d)
Shmnpr Certification
1 Basic Paragraph
(a) General Requirements
(b) Air Certification
2 Signature
Violation
Reference
172204(a)(1)or(2)
172204(c)
172 204(d)
Compliance Checklist
G-l
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Hazardous Materials/Waste Transportation
Compliance Checklist G-2
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SAFETY, HEALTH, AND
ENVIRONMENTAL MANAGEMENT
PROGRAM GUIDE
Guide No. 1*4-
Issued
Revised
COMPREHENSIVE ENVIRONMENTAL RESPONSE,
COMPENSATION, AND LIABILITY ACT (CERCLA) PROGRAM
SCOPE OF THE PROGRAM
This Program Guide provides an overview
of the requirements EPA facilities must
fulfill to comply with the regulations.
guidance, and procedures associated with
the Comprehensive Environmental
Response, Compensation, and Liability
Act (CERCLA) CERCLA was enacted by
Congress in 1980 and amended under the
Superfund Amendments and
Reauthonzation Act (SARA) in 1986.
CERCLA was created to establish a
national program for hazardous substance
releases and the clean up of abandoned
or uncontrolled hazardous waste sites
SARA required federal facilities to comply
with the substantive and procedural
requirements of CERCLA. For the
purpose of this Program Guide, the major
focus is on releases of hazardous
substances, transfer of federal property,
and facility closure procedures.
REGULATORY REQUIREMENTS
The key or basic elements of the CERCLA
Program required by law and/or EPA
policy are to:
• Comply with release reporting
requirements of hazardous
substances
• Ensure a notice is placed in the facility
deed or records which indicates the
past or present use of hazardous
substances at the site
• Ensure facility closure procedures are
conducted in accordance with the
Community Environmental Response
Facilitation Act (CERFA)
• Conduct an Environmental Due
Diligence Process in accordance with
EPA internal policy at facilities being
transferred or vacated to ensure
environmental conditions are
documented and potential future risks
are minimized
AUTHORITIES
The following documents are the sources
of the legal authority that establish the
applicability and requirements of this
program.
• Comprehensive Environmental
Response, Compensation, and
Liability Act, 42 United States Code,
9601,etseq.
• Superfund Amendments and
Reauthonzation Act, 10 United States
Code, 2701
• Community Environmental Response
Facilitation Act
• Title 40 Code of Federal Regulations
(CFR), Parts 300 through 373
• EPA Safety, Health, and
Environmental Management
Guidelines
• EPA Facility Safety, Health, and
Environmental Management Manual
REFERENCES
The documents listed below can help you
implement the CERCLA Program and
specifically are intended for facility
operations.
-------
• EPA RCRA/CERCLA Training
Module, an overview of these two
statutes
• Environmental Law Handbook.
Government Institutes, Inc., 9th
Edition, May 1987
• Environmental Reporter. Bureau of
National Affairs
• EPA CERCLA/Superfund Orientation
Manual. EPA/540/R-94/005. an
introduction into the CERCLA process
IMPLEMENTATION ACTIVITIES
The following list gives an overview of the
activities that this program will require. To
implement and operate this program, you
must:
• Be familiar with the CERCLA
requirements applicable to laboratory
operations
• Be familiar with the re port able quantity
thresholds for all hazardous
substances used or stored on-site to
ensure release reporting is done, if
required
• Prior to disposing (i.e., sale) of a
property, place a notice in the facility
record which indicates hazardous
substances are or were managed on-
site
• Be familiar with facility closure
procedures and implement them at the
appropriate time
• Play an active role in the
Environmental Due Diligence
Process to ensure all required
data are accurate and made
available to the audit team.
IMPLEMENTATION IMPLICATIONS
The management systems and internal
controls required to implement this
program include:
• Procedures to ensure compliance with
CERCLA requirements
hazardous substances inventory
A system to provide a step-by-step
process on facility closure
Procedures on the Environmental Due
Diligence Process
A system for tracking changes to
CERCLA
A system for tracking reporting and
notification requirements
CERCLA training to promote staff
awareness and educate staff on
specific implementation procedures.
A system to manage an accurate
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Safety, Health, and Environmental Mav 1998
Management Guidelines
Comprehensive Environmental Response, Compensation
. and Liability Act
Section 14-01
Table of Contents
CER 14-01 Table of Contents
CER 14-02 Introduction
Purpose .
Scope
Authority ....
Policy . ....
Objectives
Responsible Officers
References
CER 14-03 Hazardous Substance Releases and Remediation
National Contingency Plan (Part 300)
Hazardous Substances Releases (Part 302)
Federal Transfer of Property (Part 373) . . .
Recommended Facility Closure Procedures .
CER 14-04 Exhibits
Exhibit 14-1, CERCLA Release Notification
Exhibit 14-2, List of Acronyms
14-3
14-3
14-3
14-3
14-4
14-4
14-4
14-5
14-9
14-14
14-17
14-19
14-20
Table of Contents
14-1
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Management Guidelines
Comprehensive Environmental Response, Compensation
. and Liability Act
Section 14-02
Introduction
PURPOSE
This chapter provides policy, guidance, information, and
procedures for complying with EPA regulations on releases of
hazardous substances into the environment
SCOPE
This chapter addresses the investigation and remediation of past
releases of hazardous substances into the environment from EPA
facilities, the notification requirements for releases from current
EPA operations, and the precautions facilities can take at closure to
limit their potential for future liability
AUTHORITY
Section 104 of the Comprehensive Environmental Response,
Compensation and Liability Act (CERCLA) grants the
Administrator of EPA the authority to respond to releases of
hazardous substances Section 120 of CERCLA delineates the
applicability of these response authorities to federal agency
facilities Two provisions of CERCLA provide the authority for
investigation of past disposal practices at federal agency facilities
Section 103(c), which requires facilities to notify EPA of known or
suspected hazardous waste sites; and Section 120(h), which
requires facilities to document past on-site storage, release or
disposal of hazardous substances prior to transfers of federal real
property In an effort to identify active sites requiring remediation
and to prevent the creation of future ones, Sections 103(a) and
11 l(g) mandate report of current releases of hazardous substances
Where codified, these CERCLA provisions appear in 40 CFR Parts
300-302, and 373.
POLICY
EPA facilities and operations shall comply with the requirements set
forth in the CERCLA statute, Title 40 of the Code of Federal
Regulations Parts 300-302, and 373, this chapter, other applicable
EPA memoranda and policy documents, and applicable federal,
state, county and municipal regulatory requirements relating to past
and present releases of hazardous substances into the environment
Introduction
14-3
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Safety, Health, and Environmental May 1998
Management Guidelines
Comprehensive Environmental Response, Compensation
and Liability Act
OBJECTIVES
Effective hazardous substance management is designed to
• Protect employees, the public and the environment from
uncontrolled releases of hazardous substances
• Increase employee awareness of the environmental risks
associated with hazardous substance releases
• Ensure regulatory compliance of facility hazardous substance
management operations
• Reduce the potential for long-term liability from the handling of
hazardous substances
RESPONSIBLE
OFFICERS
The management of hazardous substances at EPA facilities should
be supervised by Safety, Health and Environmental Management
managers (SHEM managers) in conjunction with facility
engineering and maintenance staff
REFERENCES
Topics discussed in this chapter were developed from the following
sources
• 40 CFR Parts 300-302, 373
• RCRA/CERCLA Hotline Training Module
• EPA CERCLA/Superfund Orientation Manual, EPA/542/R-
92/005
Questions and Answers on Release Notification Requirements
and Reportable Quantity Adjustments, EPA/540/R-94/005
• Environmental Law Handbook, Government Institute, Inc ,
llth Edition, March 1991
• OSWER Directives
• Environmental Closure Process for EPA Laboratories.
Introduction
14-4
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Safety, Health, and Environmental Mav 1999
Management Guidelines
Comprehensive Environmental Response, Compensation
and Liability Act
Section 14-03
Hazardous Substance Releases and Remediation
NATIONAL
CONTINGENCY PLAN
(40 CFR Part 300)
Purpose
(300 1)
Scope
(300 3)
Definitions
(300 5)
The National Oil and Hazardous Substances Pollution_Conti'ngency
Plan, also known as the National Contingency Plan (NCP), is
required by Section 105 of CERCLA and by Section 31 l(c)(2) of
the Clean Water Act (CWA). EPA has been delegated the
responsibility to coordinate amendments to the NCP with the other
federal agencies
The NCP provides for the organization of a response system,
including the assemblage of a National Response Team, and
outlines procedures for removals and response actions The NCP
only is applicable to response actions authorized under the
CERCLA and CWA statutes
The National Contingency Plan applies only to
• CERCLA - Releases of hazardous substances, and pollutants or
contaminants in quantities which may endanger human health
and the environment This chapter will address CERCLA
releases
• CWA - Discharges of hazardous substances or oil into or upon
navigable waters of the United States (refer to the CWA
chapter of this manual)
Feasibility Study (FSt - Serves as the mechanism for the
development, screening, and detailed assessment of potential
remedial alternatives
Hazard Ranking System (HRS^ - The revised HRS is a numerical
scoring system designed to identify the sites in the nation that are
most in need of remedial actions The system develops four scores
relating to a site, each addressing the relative risk posed by a
separate exposure pathway.
1. Risks from exposure to ground water
2. Risks from exposure to surface water
3 Risks from exposure to air emissions
4 Risks from exposure to soil exposure
Hazardous Substance Releases and Remediation
14-5
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Management Guidelines
Comprehensive Environmental Response, Compensation
and Liability Act
The combined HRS score is not designed "to fully characterize the
source and extent of contamination, rather its purpose is to evaluate
the potential of uncontrolled hazardous substances to cause damage
to human health or the environment" (The Revised Hazard Ranking
System. Q's and A's, OSWER Directive 9320 7-02FS, November
1990) Nonetheless, the HRS numerical score does not reflect a
full risk assessment and should not be used to quantitatively rank
sites or to draw exact conclusions between specific sites
National Priorities List (NPU - Pursuant to CERCLA Section 105,
EPA developed a list of contaminated sites that are priorities for
remedial evaluation and response While releases from federal
facilities are include on the NPL, they are not eligible for fund-
financed remedial action At a minimum, the NPL is updated
annually
On-Scene Coordinator - The federal official, predesignated by EPA
or the Coast Guard, responsible for coordinating federal responses
or removals.
Preliminary Assessment - The systematic initial evaluation of a site
suspected of hazardous substance contamination
Site Inspection (SI) - An on-site investigation, including field
sampling, to determine whether there exists a release of hazardous
substances and the nature of any associated threats The
inspections are used to augment the data collected during the
preliminary assessment and to determine if further action or
investigation is appropriate.
Record of Decision (ROD) - A document stating the preferred
remedy that is ultimately identified from the list of alternatives
evaluated during the remedial investigation/feasibility study Before
the ROD is issued, this preferred remedy is presented to the public
for comment in a proposed plan, and these comments are evaluated
for consideration in the ROD
Remedial Project Manager - The official designated by the lead
agency to oversee remedial or response actions.
Removal Action - Generally short-term actons, requiring less than
one year to complete and costing less than $2 million, that are
undertaken to abate, stabilize, or eliminate immediate threats
Hazardous Substance Releases and Remediation 14-6
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and Liability Act
Remedial Action - Longer-term, more complicated actions which
generally take more than one year to complete, involve a longer
remedy selection process, and for which there is no limit on cost
Remedial Investigation (RI) - Used to collect data necessary to
adequately characterize the site for the purpose of evaluating
effective remedial alternatives. RIs consist of field investigations,
including detail evaluation of the extent of contamination,
treatability studies, and a baseline risk assessment
Establishing Remedial
Priorities
(300 425)
Superfund Process
There are three mechanisms through which sites become eligible for
placement on the NPL The first is by using the HRS, any release
with an HRS score of 28 50 or greater is eligible Second, states
have the one-time statutory authority to designate a release as their
highest priority, and this site is automatically eligible for placement
on the NPL regardless of HRS score Third, a site may be added to
the NPL if the Agency for Toxic Substances and Disease Registry
(ATSDR) issues a health advisory recommending separation of
individuals from the release and EPA both determines that the
release poses a significant threat to public health and anticipates
that it will be more cost effective to use its remedial instead of its
removal authority
Eligible sites are added to the NPL through the formal rulemaking
process, subject to public participation The Agency may finalize
listings only after responding to comments and new data received
pursuant to the publication of a proposed listing in the Federal
Register
The Superfund remedial process consists of three distinct phases
Pre-Remedial Phase
Site Discovery
Removal Preliminary Assessment (if applicable)
Removal Site Inspection (if applicable)
Removal Action (if applicable)
Remedial Preliminary Assessment
Remedial Site Inspection
Expanded Site Inspection
HRS Scoring and NPL Listing
2
3
4.
5
6
7
8.
Remedial Phase
Hazardous Substance Releases and Remediation
14-7
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Safety, Health, and Environmental May 1998
Management Guidelines
Comprehensive Environmental Response, Compensation
and Liability Act
1. Remedial Investigation
2. Feasibility Study
3. Record of Decision - Alternative Selection
Implementation Phase
1. Remedial Design
2. Remedial Action
3 Construction Completion
4. Operation and Maintenance
5. Deletion from the NPL
Past Releases of
Hazardous Substance
from Federal Facilities
Although CERCLA Section 11 l(e) bars the use of fund money to
finance remediation at federal facilities, releases from them are
subject to the remedial and liability provisions of the statute
All facilities, federal or otherwise, were bound by statute to report
to EPA by June 9, 1981, if in the past they had treated, stored,
disposed of, or released any of the subset of hazardous substances
that are RCRA hazardous wastes (CERCLA Section 103(c))
From an enforcement perspective, however, EPA views this
reporting requirement as an ongoing responsibility, regardless of
the date upon which this past handling is identified Reports filed
pursuant to this authority should be submitted on the form
published with the April 15, 1981, Federal Register (46 FR 22144).
With the data from these reports and from information gathered
under RCRA Section 3005, 3010, and 3016, EPA has generated a
comprehensive list, mandated by CERCLA and known as the
Federal Agency Hazardous Waste Compliance Docket, that
identifies federal facilities of potential remedial concern While all
the standard methods of site discovery (40 CFR Section 300 405)
may be used to identify past releases from federal facilities that
merit response, facilities listed on the Docket are automatically
subject to preliminary assessments by EPA, followed by site
inspections and HRS scoring where it is warranted (CERCLA
Section 120(d))
Once a federal site progresses through listing on the NPL, the
agency that owns or operates the site assumes responsibility for the
remedial and implementation phases of the Superrund process
These actions, however, are still subject to a timetable and
deadlines established by EPA and the appropriate state authority,
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with action plans and deadlines documented in interagency
agreements. Interagency agreements of this nature are enforceable
by citizen suits and subject to penalties pursuant to CERCLA
Section 109 Agencies responsible for remediation of releases on
the NPL must make their own budget request to cover the cost of
remedial activities and must provide to Congress an annual report
detailing their progress in release remediations (CERCLA Section
120(e))
HAZARDOUS
SUBSTANCE
RELEASES
(40 CFR Part 302)
This regulation codifies the list of hazardous substances, identifies
their reportable quantities (RQs), and details the notification
procedures required in response to releases of hazardous substances
which meet their respective RQ levels
Definitions
(302 3)
Discharge - As defined by Section 31 l(a)(2) of the CWA, a
discharge includes any spilling, leaking, pumping, pouring, emitting,
emptying, or dumping of oil, but excludes discharges in compliance
with permits issued under section 402 of CWA which covers
releases under the National Pretreatment program (CWA Section
307), the NPDES program (CWA Section 402), and the Dredge
and Fill program (CWA Section 404)
Environment - Includes navigable waters such as ocean waters,
lakes, streams and wetlands, any other surface or ground waters or
drinking waters, surface or subsurface lands, and ambient air within
the United States
Facility - For notification purposes, "EPA will consider the entire
contiguous plant or installation and contiguous grounds under
common ownership to be the reporting facility rather than each
vent, pipe, or piece of equipment at such a plant" (50 FR 13459;
April 4, 1985)
Federally Permitted Release - The definition of federally permitted
releases is given in CERCLA Section 101(10) Essentially, it
provides that certain types of releases may be allowed under
permits related to other federal environmental statutes such as
• Clean Air Act (CAA)
• CWA - as it pertains to the definition of discharge given above
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• Resource Conservation and Recovery Act (RCRA) - releases
from interim status and permitted hazardous waste treatment,
storage, and disposal facilities
Discharges to publicly owned treatment works (POTWs) are
considered federally permitted only if they are explicitly included in
and are in compliance with a pre-treatment agreement Properly
manifested shipments of hazardous substances to a permitted or
interim status RCRA Subtitle C facility for disposal also will be
considered a federally permitted release However, disposal of
hazardous substances in a RCRA Subtitle D, solid waste facility is
not federally permitted and might necessitate reporting under
CERCLA Section 103(a)
Hazardous Substance - Those chemicals specifically identified
under other environmental acts, including CAA, CWA, Toxic
Substances Control Act (TSCA), and Safe Drinking Water Act
(SOWA) Yet the definition explicitly excludes petroleum, such
that crude oil, refined fractions, and even hazardous substances
indigenous to petroleum, like benzene, are not included This
exclusion has been interpreted broadly to encompass petroleum-
derived mineral spirits and oxygenated gasoline The list of
hazardous substances is delineated in 40 CFR Section 302 4
Notification - Reporting of releases of hazardous substances in
excess of reportable quantities during any 24-hour period, to the
National Response Center in Washington, D C
Person - The statutory definition of person includes United States
government entities.
Release - The definition of a release as provided in CERCLA
101(22) is also codified at 40 CFR Section 300 5 This broad
definition encompasses any emissions, spills, or discharges of
hazardous substances into the environment, including air, land, or
water Releases, however, does not include spills which result in
exposure solely to workers within the facility and which are subject
to OSHA regulations, or emissions from motor vehicles
Reportable Quantity - The quantity at or above which the release
requires notification. All releases into the environment of a given
hazardous substance from the same facility in any 24-hour period
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must be aggregated to determine whether a reportable quantity has
been released
Statutory RO - By statute, newly listed hazardous substances are
automatically assigned an RQ of one pound until EPA has the
opportunity to set final RQs Facilities must report releases of
newly listed hazardous substances based on the statutory RQs until
those levels are adjusted by the final, regulatory RQs
Hazardous Substance List
(302 4)
Determining Reportable
Quantities
(302 5)
Table 302 4 in 40 CFR 302 4 provides an alphabetical list of
hazardous substances. The table contains columns for the
substance's chemical abstract services (CAS) number, regulatory
synonyms, statutory RQ, statutory source for listing, RCRA
hazardous waste number, and final RQ The table also includes
substances that meet the definition of hazardous waste either by
characteristic or listing F- and K-listed wastes are located
alphanumerically at the end of the table, while unlisted,
characteristic, hazardous wastes can be found under the letter "U"
for "Unlisted Hazardous Waste Characteristic of "
Section 302 4, Appendix A, is a list of hazardous substances
organized numerically by CAS number
Section 302.4, Appendix B, is a list of radionuclides with their
respective reportable quantities
Newly identified hazardous substances are not incorporated into
Table 302 4 until EPA assigns final RQs Nonetheless, facilities are
responsible for notification of their release according to the
statutory RQ (see above) For example, the CAA Amendments of
1990 created 47 new hazardous air pollutants that were
automatically listed as hazardous substances by statute. These new
hazardous substances were subject to one pound statutory RQs and
were not added to Table 302.4 until EPA adjusted their final RQs
on June 12, 1995 (60 FR 30926)
Listed hazardous substances - RQs are located under the column
"Final RQ" in Table 302 4 and Appendix B to Table 302 4
Unlisted hazardous substances - Unlisted hazardous wastes
exhibiting the characteristic for ignitability, reactivity and
corrosivity have RQs of 100 pounds Unlisted hazardous wastes
exhibiting the toxicity characteristic (TC) have RQs based on their
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specific TC contaminants If an unlisted characteristic hazardous
waste contains more than one TC constituent, the lowest RQ
applicable to the waste should be used
Newly identified hazardous substances - RQs applicable by statute
alone may be identified by consulting the SARA Title HI List of
Lists, or by contacting the EPCRA/Superfund Hotline at (800) 424-
9346
Notification Requirements
(302 6)
Continuous Releases
(302.8)
The person in charge of a vessel or any onshore or offshore facility
must notify the National Response Center (NRC) in Washington,
D.C. at (800) 424-8802, or (202) 426-2675 as soon as he or she
has knowledge of a release to the environment of a reportable
quantity of a hazardous substance within any 24-hour period
Federally permitted releases, such as those to a POTW in
compliance with a pretreatment agreement, and the application of
pesticides are not considered releases subject to notification
Exhibit 14-1 provides an overview of the steps involved in
determining if NRC notification is required
When determining the applicability of notification requirements, the
definition of "environment" is both important and contentious, as
releases of hazardous substances are not subject to CERCLA
reporting unless they are "into the environment" ("release" is
defined in CERCLA 101(14)) While "environment" is defined in
both the statute and the regulations, EPA had interpreted the term
quite broadly so as to include open containment structures.
Identifying releases to the environment remains difficult, however,
since a court ruling, TFI v. EPA, 33 ERC 1309, vacated the
Agency's interpretation of "environment" and EPA has yet to
respond with additional guidance Nonetheless, when in doubt
regarding the necessity to report a release, EPA encourages a
proactive approach, since "reporting ensures positive referral of
every incident to each federal agency with jurisdiction and/or
regulatory interest" (55 FR 8676; March 8, 1990).
While a series of releases or a continuous release of a hazardous
substance which exceed reportable quantities during a 24-hour
period must be reported, they may qualify for more liberal reporting
requirements if they are stable in nature, or intermittent but
predictable Releases meeting the narrow constraints of this section
are only subject to an initial telephone notice, a written follow-up,
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and a one-time annual update, in lieu of the daily reporting that
would otherwise be required
Calculating Releases in
Mixtures
Notice to Potentially
Injured Parties
(CERCLA Section
IH(g))
Known mixture - When a release of a mixture with known
constituents and concentrations occurs, notification is required
when one or more hazardous constituents have exceeded their
individual RQs EPA facilities should use the Clean Water Act
"mixture rule" to calculate whether RQs have been exceeded For
example, a release of 200 pounds of a mixture containing 60%
acrylonitrile would require notification, because the effective
release of 120 pounds of acrylonitrile is greater than its 100 pound
RQ threshold
It should be noted that RQs for different substances in a known
mixture are not additive. For instance, a release of a mixture
containing two substances, each individually representing 1/2 RQ,
would not require notification because the separate RQs cannot be
added
Unknown mixture - Where there is a release of a mixture, and the
concentration(s) of one or more hazardous constituent(s) are
unknown, then the notification for the release is determined by
comparing the total weight of the mixture with the RQ for the
constituent with the lowest RQ If the total weight is greater than
or equal to the lowest RQ, then notification is required By way of
example, take a release of a 200 pound mixture of acetonitrile and
tetrachloroethylene (PCE) Since exact concentrations or even
ranges are unknown, the lower reportable quantity (PCE's is 100
pounds while acetonitrile's is 5000) must be applied to the whole
mixture, such that the release must be reported
In addition to notifying the NRC of certain releases of hazardous
substances, owners and operators of vessels and facilities are
required to provide notice to parties potentially injured by the
release of a hazardous substance. Until the President promulgates
regulations delineating this requirement, as required by CERCLA,
owners and operators must provide reasonable notice to potentially
injured parties by publication in newspapers local to the affected
area
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FEDERAL TRANSFERS
OF PROPERTY
(40 CFR Part 373)
Applicability
(373 2)
Content of Notice
(373.3)
As a general requirement, pursuant to CERCLA 120(h), all federal
agencies are required to include a notice with every real estate sale
or transfer contract, which describes the history of hazardous
substance management at the facility The Agency must provide
information on any hazardous substance in storage in certain
quantities for over one year, or known to have been released or
disposed on-site
The requirements under Part 373, including notice provisions, are
applicable when one or more of the following conditions are met
Storage - The facility has stored for one year or more any
hazardous substance in quantities greater than or equal to 1000
kilograms, or the RQ listed in 302 4, whichever is greater
Hazardous substances that are also RCRA hazardous wastes listed
as acutely hazardous under 40 CFR 261 30, and that are stored for
one year or more, are subject to these requirements when present in
quantities of 1 kilogram or greater
Release - The facility has released a hazardous substance in quantity
greater than or equal to its RQ listed in Table 302 4
Disposal - The facility has disposed of hazardous substances on-site
in any quantity.
As part of the contract between the respective parties involved in
the transfer or sale of federal real property, federal entities subject
to the requirements of this part must provide notice which includes
the following information
• Names of the hazardous substances and CAS numbers
• Regulatory synonyms
• RCRA hazardous waste number specified in 40 CFR Section
261.30
• Quantity, in both kilograms and pounds, of substances stored
for one year, released, or disposed on-site
• Dates of storage, release, or on-site disposal
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• A standard information disclosure statement reading, "The
information contained in this notice is required under the
authority of regulations promulgated under section 120(h) of
the Comprehensive Environmental Response, Liability, and
Compensation Act (CERCLA or "Superfund") 42 U S C
section 9620(h)"
Definitions
(373 4)
Deed Notices and
Remediation Covenants
Storage - The holding of hazardous substances after which the
substances are either used, treated, disposed or transported off-site
for treatment, storage, or disposal
Release - Defined in CERCLA 101(22) This broad definition
encompasses any emissions, spills, or discharges of hazardous
substances into the environment, including air, land, or water
Releases to POTWs are considered releases into the environment
and are reportable unless the substance is covered by, and in
compliance with, a pretreatment standard under Section 307 of the
CWA Other federally permitted releases and the application of
pesticides are likewise not considered regulated releases
Disposal - The placement of a hazardous substance into or on any
land or water
Although not codified, Section 120(h) of CERCLA, as amended on
October 19, 1992, by the Community Environmental Response
Facilitation Act (CERFA), also requires the addition of specific
provisions to deeds for the sale or transfer of federal real property
Where a hazardous substance has been stored for one year or more,
or is known to have been released or disposed of on the property
involved, each deed entered into for transfer of the property to a
non-federal entity must include the following information, where
available on the basis of a complete search of Agency files
• The type and quantity of hazardous substances handled in these
manners
• The time at which storage, release, or disposal took place
• A description of the remedial action taken, if any
Similarly, the deed must include a covenant warranting that the
government agency has performed all remedial action necessary to
protect human health and the environment, prior to the transfer of
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ownership, and that the United States will remain responsible if
additional remedial action is necessary Remedial action will not be
considered complete until remedy construction and installation has
been finished and the federal agency has demonstrated to the
Administrator of EPA that the remedy is functioning properly and
successfully. To allow for fulfillment of the covenant, the deed
must also secure for the Agency a right to future access for
performance of remedial action if necessary
Identification of The transfer of federal real property to the private sector is often a
Uncontaminated Property lengthy process due to concern over possible hazardous substances
on the property Section 120(h) of CERCLA, therefore, includes
provisions that require federal agencies to identify
"uncontaminated" properties where no hazardous substances,
petroleum products, or petroleum derivatives have been stored in
excess of one year, or are known to have been disposed of or
released At minimum, identification of properties shall be based on
a detailed search of
• Agency records
• The chain of title
Aerial photographs reflective of prior uses and available
through state or local government agencies
• Visual inspection of the property and adjacent properties, where
possible, including buildings, structures, and equipment
• Obtainable records detailing releases of petroleum or hazardous
substances from adjacent facilities
• Interviews with current or former employees involved in
operations at the property
Results of this process are submitted to the Administrator of EPA
and to appropriate state and local officials For a property to be
identified as uncontaminated, the EPA Administrator, in the case of
NPL sites, or the appropriate state official, for releases not
appearing on the NPL, must concur with the determination of the
agency State concurrence may be assumed where no response has
been received within 90 days of delivering such a request to a state.
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RECOMMENDED
FACILITY CLOSURE
PROCEDURES
The language of CERCLA Section 120(h) provides that the sale of
property does not terminate the federal government's liability, and
that any undiscovered environmental problems with respect to any
hazardous substances, petroleum or petroleum derivatives present
on the property at the time of sale or transfer remain the
responsibility of the federal government Nonetheless, federal
agencies may limit the necessity for future remedial activities by
following proper facility closure procedures
The Architectural Engineering and Real Estate Branch (AEREB)
has developed standardized guidelines for conducting EPA facility
closure reviews A systematic closure review process will enable
the Agency to identify requirements for decontamination and
reduce potential long-term CERCLA cleanup liabilities The
guidelines are titled, Guidelines for Transferring EPA Real
Property and Complying with the Community Environmental
Response Facilitation Act (CERFA) (Interim Draft, 10/97).
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Section 14-04
Exhibits
Exhibit 14-1. CERCLA Release Notification
Chemical Release to Air,
Soil, or Water
Is the
Release a
Hazardous
Substance?
Reporting Is Not Required
Does it
Constitute a
Release into the
Environment?
Is tho Release
Federally
Permitted or the
Result ol Pesticide
Application?
Does the
Release Exceed an
RQ (Use CWA-Miiturc
Rule" (or Mixtures and
Solutions)''
Notify the National Response
Center (NRC) at (800) 424-8802
or (2021 426-2675
Identify
•Chemical Substance
•Quantity Released
•Time and Duration or Release
• Receptor of the Release (e g . Air Water)
•Any Known Health Hazards
•Emergency Response Precautions
• Facility Contact and Phone Number
Exhibits
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Exhibit 14-2
List of Acronyms
ASTDR Agency for Toxic Substances and Disease Registry
CAA Clean Air Act
CAS Chemical Abstract Services
CERCLA Comprehensive Environmental Response, Compensation and Liability Act
CWA Clean Water Act
FS Feasibility Study
HRS Hazard Ranking System
NCP National Contingency Plan
NPL National Priorities List
NRC National Response Center
PCE Tetrachloroethylene
POTW Publicly Owned Treatment Works
RCRA Resource Conservation and Recovery Act
RI Remedial Investigation
ROD Record of Deci si on
RQ Reportable Quantity
SDWA Safe Drinking Water Act
SI Site Inspection
TC Toxicity Characteristic
TSCA Toxic Substances Control Act
Exhibits
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SAFETY, HEALTH, AND
ENVIRONMENTAL MANAGEMENT
PROGRAM GUIDE
Guide No.
Issued
Revised
OFFICE ENVIRONMENTAL COMPLIANCE ISSUES PROGRAM
SCOPE OF THE PROGRAM
This Program Guide provides an overview of the
policy, guidance, information, and procedures
EPA office facilities must fulfill to comply with
the regulations promulgated pursuant to the
Clean Air Act, Clean Water Act. Atomic Energy
Act, Resource Conservation and Recovery Act,
Comprehensive Environmental Response,
Compensation and Liability Act, Toxic
Substance Control Act, Federal Insecticide,
Fungicide and Rodenocide Act, National
Environmental Policy Act. Emergency Planning
and Community Right-To-Know Act, and the
Pollution Prevention Act Executive Order
12856 complements these requirements by
establishing provisions for promoting federal
facilities as leaders in emergency planning and
pollution prevention This chapter presents
information and guidance on air pollution
control, water pollution control, radioactive
materials management, nonhazardous solid
waste management, underground storage tank
management, hazardous waste management,
toxic substance control, pesticides management,
environmental review requirements under the
National Environmental Policy Act, emergency
planning and community nght-to-know, and
pollution prevention.
REGULATORY REQUIREMENTS
The key or basic elements of die Office
Environment Compliance Issues Program
required by law and/or EPA policy are to:
• Comply with applicable environmental
regulatory and executive order
requirements
• Implement integrated pollution prevention
approaches
AUTHORITIES
The following documents are the sources of
legal authority that establish the applicability
and requirements for this chapter
• Atomic Energy Act; 10 CFR Parts 19-70
• Clean Air Act, as amended, 40 CFR Parts
50-82
• Comprehensive Environmental Response,
Compensation and Liability Act, as
amended, 40 CFR Parts 300-302, 373
• Emergency Planning and Community
Right-to-Know Act, 40 CFR Parts 355-372
• Federal Insecticide, Fungicide, and
Rodenucide Act, as amended, 40 CFR Parts
151-170
• Federal Water Pollution Control Act as
amended by the Clean Water Act; 40 CFR
Parts 110-136,403-699
• Lead Contamination Control Act of 1988,
Internal Agency Policy Apnl 24, 1989
• National Environmental Policy Act, 40 CFR
Parts 6, 1500-1508
• Resource Conservation and Recovery Act,
as amended, 40 CFR Parts 240-281
• Safe Drinking Water Act, as amended, 40
CFR Parts 141-143
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• Toxic Substances Control Act. as amended,
40 CFR Parts 721-763
• Executive Orders 12088. 128S6. 12873,
12902
REFERENCES
The documents listed below can help you
implement the Office Compliance Issues
program
• 40 CFR Parts 6-1508
• 53 FR 40562, October 17, 1988
• 53 FR 47631. November 23. 1988
• 55 FR 30082. July 24. 1990
• Government Institutes. Inc . Environmental
Laws Handbook
• Bureau of National Affairs. Environment
Reporter
• EPA, Office of Water, Environmental
Regulations and Technology The National
Pretreatment Program
• EPA. EPA CERCLA/Superfund Orientation
Manual
• EPA. EPA Facility Safety. Health and
Environmental Management Manual
• EPA, EPA RCRA Orientation Manual
• EPA, Report to Congress on the Discharge
of Hazardous Wastes to Publicly Owned
Treatment Works
• GSA Environmental Management Technical
Guides pursuant to Instructional Letter ,nliS
IL-92-4
IMPLEMENTATION ACTIVITIES
The following list gives an overview of the
activities that this program will require To
implement and operate this program, you must.
• Maintain a copy of the applicable state and
local air pollution control regulations and
be aware of the types of emissions,
pollutants, and emission increases that may
require permits
• Identify and fulfill any permit program
requirements triggered by an NSPS
• Investigate emissions of any NESHAP
pollutants, determine whether your office
facility is subject to any NESHAP subparts,
and comply with the applicable general and
specific NESHAP requirements.
• Where a discharge of industrial effluents to
the POTW exists, monitor the discharge to
verify compliance with the POTW's
pretreatment standards
• Identify and comply with any additional
hazardous waste listings, characteristics, or
management standards imposed by state or
local regulations
• Ensure that all pesticide service contracts
specify the appropriate training and
certification requirements for the pesticide
applicators
• Establish an awareness in all office facility
staff to promote sound environmental
compliance and pollution prevention
practices
IMPLEMENTATION IMPLICATIONS
The management systems and internal controls
required to implement this program include
• Maintain discharge monitoring records for
five years instead of the minimum retention
period of three years provided by the
recordkeeping provisions in 40 CFR Part
122
• Where the discharge of industrial effluents
to the POTW exists, maintain a current
copy of the local sewer-use ordinance on-
site in addition to the applicable federal
pretreatment regulations (40 CFR Parts 400
to 459)
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• Implement a drinking water monitoring
program that conducts initial sampling
upon the occupancy of a new space or after
installing newly plumbed systems Follow-
up monitoring should be performed
whenever significant facility modifications
or renovations have been undertaken
• Implement a recycling program when
beverage containers are offered for sale on
the facility premises
• Verify facilities that have released shipment
of nonhazardous solid wastes for disposal to
contractor facilities, are in accordance with
Subpart B Pan 241.200, titled Requirements
and Recommended Procedures
• Include all relevant hazardous waste codes
(listed and characteristic) when performing
hazardous waste determinations
• Ensure that only federal and state licensed
or permitted transporters are used for the
transportation of hazardous wastes on
public highways
• Maintain a log to quantify CESQG waste
generation volumes each month and
implement a waste tracking system to
ensure the waste is being sent to and
received by an approved facility
• Create a central file for all PCB records It
is recommended that these records be
retained indefinitely PCB waste manifests
and related Certificates of Disposal (CDs)
should be retained longer than the three-
year mandatory tune period to document
compliance with PCB management
standards.
• Develop a pollution prevention program
that reduces releases and off-site transfers of
toxic pollutants or hazardous materials to
ensure compliance with the requirements of
Executive Order 12856
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Section 16-01
Table of Contents
OCI16-01 Table of Contents
OCI 16-02 Introduction
Purpose . 16-5
Scope . 16-5
Authority . ... 16-5
Objectives . 16-6
Responsible Officers . 16-6
References... .16-7
OCI 16-03 Air Pollution Control
Introduction 16-9
National Ambient Air Quality Standards 16-9
State Implementation Plans . 16-10
SIP Permitting . . 16-10
Standards of Performance for New Stationary Sources . . ... 16-11
NESHAPs .... ... . 16-12
Stratospheric Ozone Protection . . . 16-13
Indoor Air Quality . . 16-14
Sources of Contaminants . . 16-14
OCI 16-04 Clean Water Management
Introduction . . 16-17
Oil Pollution Prevention 16-17
National Pollutant Discharge Elimination System Permits Overview . . 16-19
CW A National Pretreatment Standards .. . ... . 16-21
CWA Regulatory Guide ... . 16-26
Safe Drinking Water Act ... ... . . 16-26
Maximum Contaminant Levels and Maximum Contaminant Level Goals 16-28
Control of Lead and Copper . . . . 16-29
National Secondary Drinking Water Standards 16-30
Table of Contents 16-1
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OCI16-05 Radioactive Materials Management
Storage and Control of Licensed Material . .16-31
Precautionary Procedures .... . 16-31
General Domestic Licenses for By-Product Material . 16-33
Items and Materials Licensed . . . 16-33
Terms and Conditions of License 16-34
Records for Measuring, Gauging, or Controlling Devices 16-36
OCI 16-06 Nonhazardous Solid Waste Management
Introduction . 16-37
Solid Waste Management Guidelines 16-37
Nonhazardous Solid Waste Storage 16-37
OCI 16-07 Underground Storage Tank Management
Introduction 16-39
UST Program 16-39
Requirements and Recommendations 16-39
OCI 16-08 Hazardous Waste Management
Introduction . . • 16-45
Definition of Solid Waste 16-45
Definition of Hazardous Waste ' 16-45
Exclusion from Subtitle C 16-45
Listed Hazardous Waste . 16-46
Characteristic Hazardous Waste . 16-47
Mixtures 16-49
State Regulated Hazardous Waste . .. 16-51
Generator Regulations . •• • .16-51
Hazardous Waste Determination . . 16-51
Generator Classification . . ... . 16-52
Conditionally Exempt Small Quantity Generators . . ... . . 16-52
EPA Identification Numbers .. ... 16-53
Hazardous Waste Manifests . 16-54
Accumulation Standards - .. 16-55
Hazardous Waste Minimization 16-57
Table of Contents
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Office Compliance Issues
OCI16-09 Toxic Substances Control
Introduction . 16-61
PCB Management . . .. 16-61
Definitions 16-61
General Applicability . . 16-62
Authorizations 16-63
Marking Requirements . . 16-66
PCB Disposal . . . 16-67
Storage for Disposal .... .. 16-67
Recordkeeping . . . 16-70
OCI 16-10 Pesticides Management
Introduction 16-75
Pesticide Registration and Classification Procedures 16-7S
Di sposal and Storage of Pesti ci des 16-76
Certification of Pesticide Applicators . 16-77
Integrated Pest Management ... . . . 16-77
OCI 16-11 National Environmental Policy Act (NEPA)
Introduction 16-81
NEPA Revi ew Processes 16-81
OCI 16-12 Emergency Planning and Community Right-To-Know
Introduction . . . . . 16-83
Definitions . . 16-83
Requirements .... . 16-83
Examples of EPCRA Reporting . 16-84
OCI 16-13 Pollution Prevention
Introduction 16-85
Executive Order 12856 . 16-85
Source Reduction . . 16-86
Energy and Water Conservation . 16-87
Affirmative Procurement .. . . . ... . . 16-88
Material Recycling . . . - - 16-89
Table of Contents
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Tables and Exhibits
National Pretreatment Standards Guide 16-23
Clean Water Act Regulatory Guide 16-27
Underground Storage Tank Inventory Report . . 16-40
UST Upgrading Requirements ... . 16-41
TC Regulatory Levels . . . 16-50
Hazardous Waste Generator Classifications . . 16-52
Generator Classification Determines Length of Accumulation Time 16-55
RCRA Generator Summary 16-59
PCB Transformer Requirements 16-64
PCB Transformer Inspection Log 16-65
PCB Disposal Options 16-68
Department of Transportation Specification Containers for PCB Waste Storage 16-69
Sample Pesticide Applicator Record Book . . 16-78
Examples of EPCRA Chemicals - 16-84
Process Modifications .. 16-87
Seven Guiding Principles for Environmentally Preferable Products 16-89
Pollution Prevention Hotlines and Other Resources 16-91
APPENDICES
Appendix A List of Acronyms
Appendix B Model Office/Facility Environmental Program
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Section 16-02
Introduction
PURPOSE
This chapter of the Safety, Health and Environmental Management
(SHEM) Guidelines provides policy, guidance, information, and
procedures for ensuring that the U.S. Environmental Protection
Agency (EPA) office facilities operate in full compliance with the
regulations promulgated pursuant to the Clean Air Act, Clean Water
Act, Atomic Energy Act, Resource Conservation and Recovery Act,
Comprehensive Environmental Response, Compensation and Liability
Act, Toxic Substances Control Act, Federal Insecticide, Fungicide and
Rodenticide Act, National Environmental Policy Act, Emergency
Planning and Community Right-To-Know Act, and the Pollution
Prevention Act
SCOPE
This chapter addresses major environmental requirements of particular
relevance to EPA office and administrative facility operations
Specifically, it contains information and guidance on air pollution
control, water pollution control, radioactive materials management,
nonhazardous solid waste management, underground storage tank
management, hazardous waste management, toxic substances control,
pesticides management, environmental review requirements under the
National Environmental Policy Act, emergency planning and
community right-to-know, and pollution prevention Where
appropriate, additional references to other sections of the SHEM
Guidelines or to other Agency documents are provided for detailed
information and consultation
AUTHORITY
The following laws and regulations are the sources of legal authority
that establish the applicability and requirements for this chapter
• Atomic Energy Act, 10 CFR Parts 19-70
• Clean Air Act, as amended; 40 CFR Parts 50-82
• Comprehensive Environmental Response, Compensation and
Liability Act, as amended, 40 CFR Parts 300-302, 373
Emergency Planning and Community Right-to-Know Act, 40 CFR
Parts 355-372
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Federal Insecticide, Fungicide, and Rodenticide Act, as amended,
40 CFR Parts 151-170
Federal Water Pollution Control Act as amended by the Clean
Water Act, 40 CFR Parts 110-136, 403-699
Lead Contamination Control Act of 1988, Internal Agency Policy
April 24, 1989
National Environmental Policy Act; 40 CFR Parts 6, 1500-1508
Resource Conservation and Recovery Act, as amended; 40 CFR
Parts 240-281
Safe Drinking Water Act, as amended, 40 CFR Parts 141-143
Toxic Substances Control Act, as amended, 40 CFR Parts 721-
763
Executive Orders 12088, 12856, 12873, 12902
OBJECTIVES
A central objective of this chapter is to support EPA office facility
compliance with applicable environmental regulations and to
implement integrated pollution prevention approaches Moreover, this
chapter is intended to provide guidance and recommendations to assist
Safety, Health and Environmental Management Program (SHEMP)
Managers in implementing management systems and internal controls
to ensure that EPA facilities uphold the Agency's mission of
minimizing pollution burdens to the environment and protecting the
nation's natural resources
RESPONSIBLE
OFFICERS
Compliance with environmental regulations is primarily the
responsibility of facility management and the SHEMP Manager at
each facility However, the collective efforts and awareness of all
office facility staff are needed to promote sound environmental
compliance and pollution prevention practices. Where specialized
environmental management expertise may be necessary to adequately
address a concern, the SHEMP Manager should coordinate with the
EPA headquarters Safety, Health and Environmental Management
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Division (SHEMD) and Architecture, Engineering and Real Estate
Branch (AEREB)
REFERENCES
Topics discussed in this chapter were developed from the following
sources
• 40 CFR Parts 6-1508
• Environmental Law Handbook, Government Institutes, Inc, 9th
Edition, May 1987
• Environment Reporter, Bureau of National Affairs
• Environmental Regulations and Technology The National
Pretreatment Program, EPA/625/10-86/005, Office of Water, U S
EPA, July 1986
• EPA CERCLA/Superfund Orientation Manual, EPA/542/R-92-
005, October 1992
• EPA Facility Safety, Health and Environmental Management
Manual, EPA 4844
• EPA RCRA Orientation Manual, 1990 Edition, EPA7530/SW-90-
036
• GSA Environmental Management Technical Guides pursuant to
Instructional Letter PBS EL-92-4
• Report to Congress on the Discharge of Hazardous Wastes to
Publicly Owned Treatment Works, EPA/530/SW-86, U S EPA,
February 1986
• 53 FR 40562, October 17, 1988
• 53 FR 47631, November 23, 1988
• 55 FR 30082, July 24, 1990
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Section 16-03
Air Pollution Control
INTRODUCTION
This section of the Office Compliance Issues chapter provides
guidance to assist EPA office facilities and operations in complying
with applicabletechnical and procedural requirements of federal, state,
and local air pollution controls
The Clean Air Act (CAA) and the Clean Air Act Amendments of 1990
(C AAA) give the EPA the responsibility of controlling air pollution
The CAA and CAAA address a range of topics relating to air
pollution Those most relevant to EPA office facilities include State
Implementation Plan (SIP) requirements to protect air quality,
construction and operating permit requirements, performance
standards for new or modified stationary sources of air pollution
standards, standards for hazardous and toxic air pollutants, and the
reduction and phase-out of stratospheric ozone-depleting chemicals
This section also discusses general guidelines for maintaining good
indoor air quality in office type buildings and applicable sections of the
air quality programs of the CAA and CAAA as proposed or
promulgated under Subchapter C of Title 40 - Protection of the
Environment of the Code of Federal Regulations Certain activities
at EPA office facilities are affected by these regulations, which
address the use, control, and release of a wide variety of air
contaminants
NATIONAL AMBIENT
AIR QUALITY
STANDARDS
(40 CFR Part 50)
The National Ambient Air Quality Standards (NAAQS) define levels
of ambient air quality necessary to protect public health and welfare
NAAQS have been set for the following criteria pollutants:
• Carbon monoxide
• Nitrogen oxides
• Sulfur dioxides
Lead
• Ozone
• Paniculate matter
Volatile organic compounds (VOCs) also are regulated with the
pollutants indicated above since they contribute to the formation of
ground-level ozone.
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IMPLEMENTATION
PLANS
(40 CFR Parts 51-52)
The CAA delegates implementation and enforcement of the Act's
provisions to the states through SIPs. The SIP is the mechanism by
which the state imposes emission controls on stationary sources to
ensure compliance with the NAAQS. If a state fails to adopt a SIP
adequate to meet the NAAQS, EPA is to impose such controls on the
state and take other measures to meet the NAAQS.
SIP PERMITTING
Permits are the most common mechanism used by states to enforce air
pollution control standards. Permits provide state regulatory agencies
with many benefits, including
• Inventory of major air pollution sources
• Information on the nature and magnitude of pollutants emitted
Mechanism for imposing pollutant limitations, control and
reporting requirements
EPA office facilities should be aware of, and comply with, the specific
permitting requirements contained in its state's SIP Emission sources
of criteria pollutants from EPA office facilities that may trigger
permitting include:
• Fossil fuel-fired boilers
• Internal combustion engines (for emergency power)
• Storage tanks for fuels
• Painting operations
The requirement to obtain a permit may be based on actual emissions
or potential emissions. Actual emissions are typically the emissions
from a new source, or due to a modification, after any emission
controls have been installed. Potential emissions usually are the
maximum capacity of a source to emit a pollutant when it is operating
at full capacity, 24 hours a day, 365 days a year. Federally
enforceable restrictions, such as minor source permit limits, can be
used as the "potential to emit" under EPA regulations EPA office
facilities should review the specific emission type, emission thresholds
and regulatory definitions for their area
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Guidance: EPA office facilities shall maintain a copy of the
applicable state and local air pollution control regulations and be
aware of the types of emissions, pollutants, and emission increases
that may require permits.
STANDARDS OF
PERFORMANCE FOR
NEW STATIONARY
SOURCES
(40 CFR Part 60)
Relevant Examples
EPA has developed new source performance standards (NSPS) for
approximately 75 specific industrial categories to provide a ceiling for
emissions from new sources They are based on the application of the
best demonstrated technology available to reduce emissions. In
addition to emission standards, NSPS includes requirements for
notification, performance tests, maintenance, monitoring,
recordkeeping and reporting
Office complexes and administrative facilities are not among the
industrial categories for which EPA has established an NSPS,
therefore these facilities do not have an NSPS specifically applicable
to them EPA office facilities, however, may have specific units, such
as storage tanks or combustion units, that may have to comply with
the specific NSPS requirements for those units, such as NSPS
Subparts Db, DC, and Kb
NSPS Subpart Db - Standards of Performance for Industnal-
Commercial-Institutional Steam Generating Units apply to each steam
generating unit that commences construction, modification, or
reconstruction after June 19, 1984, and has a heat inpuLcapacity of
greater than 100 million Btu per hour This subpart, found in 40 CFR
60 40b, contains emission and performance standards
NSPS Subpart DC - Standards of Performance for Small Industrial-
Commercial-Institutional Steam Generating Units, for example, apply
to each steam generating unit, such as a boiler, that has a maximum
heat input capacity between 10 and 100 million Btu per hour for
which construction, modification or reconstruction commenced after
June 9, 1989 This subpart, found at 40 CFR 60 40c, contains
emission and performance standards, as well as performance test,
monitoring, recordkeeping and reporting requirements for paniculate
matter and sulfur dioxide
NSPS Subpart Kb - Standards of Performance for Volatile Organic
Liquid Storage Vessels (including Petroleum Liquid Storage Vessels)
for which Construction, Reconstruction or Modification Commenced
after July 23, 1984, are found at 40 CFR 60 110(b) Subpart Kb
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applies to storage vessels with a storage capacity of more than 40
cubic meters (approximately 10,000 gallons) and controls emissions
of volatile organic compounds through requirements that vary
depending on the capacity of the storage vessel
NSPS/Permittine Interface
NESHAPs
(40CFRPart61)
Relevant Example
A facility that is subject to NSPS may also be subject to requirements
to obtain a permit for construction or operation.
Guidance: All EPA office facilities must investigate whether any of
the source categories apply to their facilities and comply with the
applicable general and specific NSPS requirements for specific units,
such as combustion units and storage tanks. EPA office facilities
should also identify/ and fulfill any permit program requirements
triggered by an NSPS.
EPA has developed health-based national emission standards for
hazardous air pollutants (NESHAP) for the following pollutants
Asbestos (Subpart M)
• Benzene (Subpart J, L, Y, BB, and FF)
• Beryllium (Subparts C and D)
• Fugitive emissions (Subpart V)
Inorganic arsenic ( Subparts N, O, and P)
• Mercury (Subpart E)
• Radon (Subparts B, Q, R, T and W)
• Radionuclides (Subparts H, I, and K)
• Vinyl chloride (Subpart F).
NESHAP regulatory provisions also include notification, emissions
testing, monitoring, recordkeeping and reporting requirements Some
of these standards, however, only apply to specific processes
Subpart M - National Emission Standard for Asbestos includes
various standards including requirements for demolition and
renovation of buildings containing asbestos, as well as labeling
provisions for asbestos waste
Asbestos is the main hazardous air pollutant (HAP) that an EPA office
facility would need to be concerned with out of the specific
compounds listed above. Requirements and guidelines for the
operation and maintenance of facilities with asbestos-containjng
materials are specified in the EPA Policy and Program for the
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Management of Asbestos-Containing Building Materials at EPA
Facilities
Title EII of the Clean Air Act Amendments of 1990 established a list
of 189 HAPs in addition to those compounds regulated under 40 CFR
Pan 61 Sources of HAPs at EPA office facilities may include.
• Fuel loading/unloading operations
• Maintenance operations
• Painting operations
Facilities that emit one or more of these HAPs may be subject to
maximum achievable control technology (MACT) standards. EPA
office facilities are not anticipated to exceed the 10 ton per year single
HAP or 25 ton per year aggregate HAP emission thresholds that
trigger regulation by these standards
NESHAP/Permittine
Interface
A facility that is subject to NESHAP may also be subject to pre-
construction or operating permit requirements
Guidance: All EPA office facilities must investigate whether they
emit any NESHAP pollutants, determine whether they are subject to
any NESHAP subparts, and comply with the applicable general and
specific NESHAP requirements.
STRATOSPHERIC
OZONE PROTECTION
(40 CFR Part 82)
CFC-Containine Systems
Title VI of the CAA includes provisions to phase-out the production
and use of ozone-depleting compounds that are commonly used as
refrigerants, cleaning solvents, and fire suppressants The
manufacture of certain chlorofluorocarbons (CFCs), halons, carbon
tetrachloride and methyl chloroform were eliminated on December 31,
1995 The manufacture of hydrofluorocarbons (HCFCs) will be
eliminated by 2030
EPA office facilities should not install HVAC systems that contain
CFCs because of the production phase out of ozone-depleting
substances covered under Tide VI of CAAA New systems must use
refrigerants acceptable under the Significant New Alternatives Policy
(SNAP) 40 CFR Part 82, Subpart G SNAP regulations prohibit users
from replacing CFCs with chemicals that pose an even greater risk to
human health and the environment Existing HVAC systems that
contain CFC refrigerants shall be maintained in accordance with the
recovery, recycling and retrofit practices described in 40 CFR Part 82
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Detailed information on the management of existing CFC refrigerant
systems is provided in Chapter 8 of the EPA Facility Safety, Health.
and Environmental Management Manual
Halon Fire Extinguishing
Systems
All EPA facility fire protection systems containing Halon 1301, Halon
1202, or Halon 1211 in existing EPA office facilities have been
inventoried and are either already removed or planned for removal.
These systems are to be replaced with alternatives under the SNAP
New halon fire extinguishing systems should not be installed in EPA
facilities. This policy applies to both fixed systems containing Halon
1301 and portable extinguishers containing Halon 1211 Chapter 8 of
the EPA Facility Safety, Health and Environmental Management
Manual provides guidance on the management of halons removed
from EPA facility fire extinguishing systems
INDOOR AIR QUALITY
The quality of indoor air has been identified as a complex health
problem Since office workers spend up to 90 percent of their time
indoors, poor indoor air quality (IAQ) can be a problem Presently,
no regulatory agency has promulgated acceptable levels of indoor air
contaminants for office environments The American Society of
Heating, Refrigeration and Air Conditioning Engineers (ASHRAE)
has developed guidelines for acceptable ventilation rates intended to
avoid adverse health effects
SOURCES OF
CONTAMINANTS
Smoking and VOCs
Contaminants may be present in outside, or make-up, air or be
produced by indoor activities The EPA Facility Safety, Health and
Environmental Management Manual addresses acceptable ventilation
rates, make-up air, and overall design and maintenance criteria for
HVAC systems The focus i s on air contaminants generated inside the
building
Smoking is a main contributor to poor IAQ and is restricted in all
EPA buildings. Also, personnel should not bring VOC-containing
materials into the office environment (e g., field samples, solvents)
because the ventilation system and fire protection systems are not
designed to control these types of exposures Application of certain
cosmetic-type materials can generate significant localized
concentrations of air contaminants (e g, acrylic nail repair, nail polish
and remover, hairsprays, colognes), which can contribute to employee
discomfort and stress Cosmetic materials should be used in the
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New Office Furnishings
Other Contaminants
Radon
Office Compliance Issues
restrooms only, as that part of the ventilation system is designed to
exhaust all air contaminants.
New office furnishings, such as carpet, desks, bookcases, cabinets and
similar items brought into the work environment, can create problems
due to off-gassing material Generally, newly purchased products
should be of the low VOC type or allowed sufficient time to off-gas
in a controlled environment.
Other sources of air contaminants include chemicals used in copy
machines, cleaners, waxes, carpet shampoos, and so on, used by
janitorial service companies Pesticides used by pest-control
companies also can contribute to poor indoor air quality Facility
management should work with contractors to select the most
environmentally safe products and schedule application of pesticides,
floor waxes, or other chemicals on weekends or evenings to allow
sufficient time to ventilate the environment prior to occupancy
Radon is a radioactive gas that is generated naturally by the decay of
thorium and uranium, which are naturally occurring elements found in
varying amounts in rock and soil Radon is found in outside air in
very low concentrations. Occasionally, radon gas can enter a building
through cracks in floors or walls in contact with the ground This
should not be a problem in EPA buildings because steps are taken to
identify and mitigate sources of radon there
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Section 16-04
Clean Water Management
INTRODUCTION
This portion of the Office Compliance Issues chapter focuses on the
requirements applicable to EPA office and administrative facilities
under the Clean Water Act (CWA) and the Safe Drinking Water Act
(SOWA) The purpose of the CWA is to restore and maintain the
chemical, physical, and biological integrity of the nation's waters
This goal is achieved primarily through preventing and controlling
discharges of pollutants to navigable waters. These measures are
implemented through federal, state, and local wastewater discharge
standards
The Safe Drinking Water Act (SOWA) provides a complementary
legislative framework to the CWA and is the basis for protecting the
nation's drinking water supplies from contaminants that may impact
public health The SDWA's statutory mandates direct EPA to
develop national primary drinking water regulations (NPDWRs) that
set limits for physical, chemical, biological, and radiological
contaminants in drinking water and require specific treatment
techniques to ensure safe drinking water
This section describes the requirements applicable to EPA office
facilities and operations according to the following CWA and SDWA
program areas
Oil pollution prevention
• National Pollutant Discharge Elimination System (NPDES)
permits
• Pretreatment standards for discharges to the sanitary sewer
Safe drinking water management (e g, lead and copper).
OIL POLLUTION
PREVENTION (40 CFR
PARTS 110-112)
EPA office and administrative facilities frequently require the use of
oil and other petroleum products for heating, power, or motor
vehicles fueling. These substances typically are stored in aboveground
or underground storage tanks, which potentially threaten nearby
waterways in the event of a system failure or if overfilling occurs.
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Section 311 of the CWA establishes the oil pollution prevention
program to mitigate risks associated with releases from bulk storage
facilities and vessels It creates a general prohibition of discharging oil
to navigable waters of the United States, codified in 40 CFR Part 110
In addition, certain types of facilities are required under 40 CFR Part
112 to prepare a spill prevention, control, and countermeasure
(SPCC) plan to prevent releases from entering these types of waters
Discharge Of Oil
(40 CFR Part 110)
Notification
(110 10)
Spill Prevention Control
and Countermeasures
(40 CFR Part 112)
Prohibited discharges of oil into navigable waters include
Discharges that violate applicable water quality standards
Discharges that create an emulsion under the surface of the water
• Discharges that cause a film or sheen upon or discoloration of the
surface of the water or adjoining shorelines
It should be noted that the definition of navigable waters under the
CWA has been broadly interpreted to include very small bodies of
water such as tributaries, small creeks, and storm sewer systems that
discharge directly to surface waters
Facilities must notify the National Response Center (1 -800-424-8802)
in the event of any of the prohibited oil discharges identified in the
above discussion.
In addition to the prohibitions and reporting obligations, the CWA
also establishes preventive requirements and response measures to
minimize water quality impacts if spills occur This is achieved by
requiring certain facilities to prepare a SPCC plan EPA facilities are
required to have an SPCC plan if oil is stored on-site in excess of the
following quantities:
• 42,000 gallons underground
• 660 gallons in any single container aboveground
1,320 gallons aboveground total
The SPCC plan must include information on proper operating
requirements for various facilities (e g, bulk onshore storage tanks),
necessary spill response equipment, specific response actions for spills
or leaks, inspections, security, and training requirements for facility
employees (40 CFR 112.7).
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Requirements for
Preparation of SPCC Plans
(1123)
Amendments to SPCC
Plans (112 4-5)
Contents of SPCC Plans
(1127)
The SPCC plan must be certified by a registered professional engineer
to be deemed complete.
An SPCC plan must be updated and amended following a discharge
of oil greater than 1,000 gallons to a navigable water, or two or more
discharges to a navigable water within one year that are reportable
under 40 CFR Part 110 The plan must also be amended when there
is a change in the facility design, construction, operation, or
maintenance that may affect possible oil discharges. In addition to
reviews conducted for facility modifications or changes in operation,
the SPCC plan must be reviewed at least every three years and be
amended to include new technologies or spill control techniques that
will reduce the likelihood of a spill event at the facility It is important
that an SPCC plan reflects current conditions at a facility to ensure
proper response in the event of a oil spill All amendments to SPCC
plans must be certified by a registered professional engineer
The required contents of an SPCC plan are provided in 40 CFR 1127
To ensure that all items are included, the plan should address the
required items in the same order they are listed in the regulation
These elements include the following (1) history of spills occurring
at the facility, (2) prediction of the direction, rate of flow, and total
quantity of oil that could be discharged as a result of equipment
failure, (3) description of containment or diversionary structures, (4)
discussion of conformance with applicable guidelines in 40 CFR
112 7(e) for facility drainage, bulk storage tanks, and facility transfer
operations, (5) inspections and records, (6) security, and (7)
personnel, training and spill prevention procedures
NATIONAL
POLLUTANT
DISCHARGE
ELIMINATION
SYSTEM PERMITS
OVERVIEW
The NPDES program is a system for issuing, monitoring, and
enforcing permits for point source discharges of wastewaters into
navigable waters of the United States. The NPDES program is
established under Section 402 of the CWA. The implementing
standards are codified in 40 CFR Parts 122-124 If a facility plans to
discharge wastewater, such as noncontact cooling waters, or sanitary
wastes from any point source (e g, a pipe, ditch, or a container) into
navigable waters of the United States, the operator of that facility
must submit an application for a NPDES permit to the EPA Region
or a state agency with an approved NPDES program Once issued,
a permit can be viewed as a license to discharge wastewaters
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containing specified amounts of pollutants, under specified
circumstances, into navigable waters of the United States
General Program
Requirements
Exclusions (122 3)
Any EPA office facility with a point source discharge into navigable
waters must obtain an NPDES permit from the EPA Regional office
or an approved state authority Pertinent examples include non-
contact cooling water, boiler blowdown, or maintenance area
discharges to surface waters
The NPDES program provides exclusions for several types of
wastewater discharges Relevant exclusions for EPA office facilities
and operations include discharges to the publicly owned treatment
works (POTW) and discharges consisting solely of stormwater that
have not contacted industrial activities
Expired Permits
(1226)
Permit Application
(40 CFR Part 122, Subpart
B)
Signature to Permit
Application and Reports
(12222)
Permit Conditions
(40 CFR Part 122, Subpart
C)
The conditions of an expired permit remain in force until the effective
date of a new permit
Any EPA facility applying for an NPDES permit must submit an
application 180 days prior to commencing the point source discharge
Those facilities with an NPDES permit must reapply at least 180 days
prior to the expiration date of their existing permit (unless written
permission for a later date is obtained from the Regional
Administrator or State NPDES Program Director)
A principal executive officer (i e, EPA Regional Administrator) must
sign the NPDES permit application Discharge monitoring reports
(DMRs) may be signed by an authorized representative of the facility
director The authorization of such an individual must be in writing
Permitted facilities must establish and maintain discharge monitoring
procedures and submit DMRs to EPA (or the state authority for states
with approved programs) Some NPDES permits require facilities to
prepare a written operating plan that specifies monitoring procedures
Monitoring data must be maintained for a minimum period of three
years
Guidance: Since the statute of limitations applicable to permit
violations is Jive years, EPA facilities should maintain monitoring
records for five years instead of the minimum retention period of
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three years provided by the recordkeepmgprovisions in 40 CFRPart
122.
Permit Modification
(40 CFRPart 122, Subpart
D)
NPDES
Permits
Stormwater
The NPDES permit may need to be modified if there have been
substantial alterations or additions to the facility operations since the
original permit issuance The permitting authority will modify or
revoke and reissue the permit accordingly There are "anti-
backsliding" provisions in the CWA that prevent renewal, reissue, or
modification of the permits where effluent limitations are less stringent
than those in previous permits
Because of the number of cases of water quality impairment caused by
Stormwater run-off, Congress amended the CWA in 1987 to require
EPA and the states to regulate Stormwater discharges EPA
promulgated standards in 40 CFR 122 26 that require certain point
source Stormwater discharges to be regulated in accordance with a
permitting process. The following Stormwater point source discharges
require permits under the regulations issued by EPA
A discharge associated with industrial activities identified in 40
CFR 12226(b)(14)
• Adi scharge from certai n muni ci pal separate sewer sy stem s servi ng
a population between 100,000 and 250,000
• A discharge that violates water quality standards
CWA NATIONAL
PRETREATMENT
STANDARDS
(40 CFR Part 403)
EPA facilities generally will only trigger permitting requirements
under two of the industrial activities categories in 40 CFR
122 26(b)( 14) Specifically, relevant activities include (1) any EPA
facility conducting construction activities on an area greater than five
acres, or (2) an EPA facility that has a RCRA treatment, storage, or
disposal permit. These facilities would be required to submit a
NPDES Stormwater permit application, unless a waiver is obtained
from the EPA Region or State NPDES Program Director
The pretreatment program under the CWA provides that industrial
users must observe specific discharge limitations for wastewaters to
the POTW. Where contributed necessary to meet these limits,
facilities must pretreat wastewaters to prevent the pollutants from
interfering or passing through POTWs Two sets of national
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pretreatment standards are presently in effect prohibited discharge
standards (also known as general standards) and categorical
pretreatment standards
On July 24, 1990 (55 FR 30082), EPA promulgated new CWA
regulations that significantly revised the pretreatment regulations.
These new requirements are set forth to assure that hazardous wastes
discharged to POTWs are adequately controlled to protect human
health and the environment. All new regulatory provisions relevant to
EPA facilities and operations have been incorporated into this section,
where appropriate
Prohibited
Standards
(403 5)
Discharge
These standards prohibit discharges that will interfere with the
POTW's operation Potential discharges from EPA office complexes
regulated under this program include activities associated with the
print shop, graphic arts, photographic facilities, motor pools, and
maintenance areas EPA facilities must not introduce the following
pollutants into a POTW
Flammable or explosive pollutants including, but not limited to,
wastestreams with a closed cup flashpoint of less than 140 degrees
Fahrenheit (or 60 degrees Centigrade)
• Corrosive pollutants (including all pollutants with pH lower than
5 0 unless the POTW is designed to accommodate such
discharges)
• Solid or viscous pollutants which obstruct the flow to or the
operation of the POTW
• Any pollutants at a flow rate or concentration which may interfere
with the operation of the POTW (e.g, pollutants with a high
biological oxygen demand (BOD))
• Heat exceeding 40° C (104° F).
• Petroleum oil, non-biodegradable cutting oil, or products of
mineral oil origin
• Any pollutants which result'in the presence of toxic gases, vapors,
or fumes within the POTW that may cause worker health and
safety problems
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The prohibited discharge standards, outlined above, apply to all
facilities discharging pollutants, whether or not the facility also is
subject to local sewer use standards (40 CFR 403 S(a)(l)). Table 1
provides examples of EPA wastes that may exceed regulatory
standards if discharged to the POTW
Table 1
National Pretreatment Standards Guide
Pretreatment Standard Limitations
Flammable or explosive pollutants including, but not
limited to, waste streams with a flashpoint of less than
140 degrees Fahrenheit (60 degrees Centigrade) using
a test method identified in 40 CFR 261 21
Corrosive pollutants (including all pollutants with a pH
below 5 0, unless the POTW is designed to
accommodate such discharges)
Solid or viscous pollutants that may obstruct the flow to
the POTW
Pollutants, including oxygen-demanding pollutants
(e g , BOD) which will interfere with the POTW
Discharges exceeding 104 degrees Fahrenheit or 60
degrees Centigrade, unless approved by the POTW
Discharges of petroleum oil, non-biodegradable cutting
oil, or products of mineral oil origin that will interfere
with or pass through the POTW
Pollutants that result in the presence of toxic gases,
vapors, or fumes that pose a danger to worker health
and safety
EPA Office Waste Streams Affected
• Cleaning solvents (e g , acetone and 1,1,1-
tnchloroethane)
• Chemicals used in photographic, print shop, or
graphics arts operations
• Battery acids
• Muriatic acids
• Other bulk janitorial supplies
• Environmental media or other materials
containing solids (e g , sediment, soils)
• High-concentration etnylene and propylene
glycol compounds
• Discharges exceeding these standards are
uncommon at the majority of EPA office
facilities
• Oil-containing wastewaters
• Wastes from machine, maintenance, and
automotive shop areas
• Cyanide-containing photographic bleaches
Local Ordinances
(403 8)
Prohibitions
POTWs have the authority to establish their own pretreatment
standards for contributors to their systems. These standards often are
incorporated into local sewer system ordinances or permits Local
authorities may set more stringent standards than the national
standards.
Guidance • Where EPA office facilities discharge industrial effluents
to the POTW, a current copy of the local sewer-use ordinance should
be maintained on-site, in addition to the applicable federal
pretreatment regulations (40 CFR Parts 400 to 459).
Local ordinances usually contain prohibitions more stringent and
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specific than those in the national pretreatment standards SHEMP
Managers must carefully review these prohibitions and instruct facility
personnel on procedures to comply with the prohibitions.
Guidance: One way to comply with the prohibitions, both local and
national, is to instruct facility personnel to dispose of no hazardous
or toxic wastes via the print shop, maintenance area, or other facility
sinks. If an EPA facility chooses this approach, it should post a sign
instructing personnel not to dispose of hazardous or toxic substances
in the vicinity of such areas.
A POTW may require industrial users to perform periodic water
quality effluent monitoring in accordance with sewer use ordinance or
user's permit guidelines. Additionally, significant industrial users
(SIUs) with discharges of greater than 25,000 gallons per day are
required to perform monitoring of wastewater discharges every six
months The results of the biannual monitoring must be provided to
the POTW, along with a description of the nature, concentration and
flow of pollutants discharged
Guidance: EPA office facilities discharging industrial wastes to the
PO TW should periodically monitor its discharge to verify compliance
with the PO TW's pretreatment standards. This strategy will provide
data that support an affirmative defense of compliance with
applicable discharge standards in the event that a POTW initiates an
enforcement investigation against its industrial users.
All EPA facilities must immediately notify the POTW of any discharge
that may cause problems for the POTW or violate the prohibited
discharges in 40 CFR 403 5(b) (40 CFR 403 12(f); 53 FR 40613,
October 17, 1988) Notification requirements vary, some POTWs
have notification forms and require a description or analysis of the
discharge, while other POTWs simply require notification by phone.
Several local ordinances require that the POTW's phone number be
placed in a prominent place (e g, on a bulletin board which employees
regularly pass) in case a release to the POTW occurs Employees
should be made aware of this notification requirement.
Guidance: EPA facilities should adopt the above posting and
notification requirements regardless of whether or not they are
specified in their local POTW ordinance to do so.
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Spill Prevention
Notification
Many POTWs previously required industrial users to take preventative
measures to eliminate spills and other slug discharges into the system's
treatment works EPA has formalized this requirement in its revised
pretreatment regulations Accordingly, POTWs must evaluate SIUs,
at least once every two years, to determine the need to implement a
slugcontrolprogram Userssubjecttothisrequirementwouldinclude
those with a high risk of discharging toxic or hazardous materials into
the sewer system
Guidance: SHEMP Managers should identify and inventory areas
of the facility where hazardous substances may enter either the
POTW or storm sewer system. These areas should be diked or
bermed when there is potential for a release. For example, EPA
office facilities may have storm sewers located near hazardous
material storage areas or loading docks. These sewers should be
protected from spills during the packing and transport of hazardous
materials. Also, floor drams located in areas where hazardous
materials are located (e.g., print shops, storage rooms) should be
plugged or bermed, unless a dedicated spill catchment basin or tank
is provided. If such devices are used, the facility should ensure that
measures are taken to prevent spill basins and tanks from receiving
incompatible materials.
Under section 403.12(p) of the new pretreatment regulations, all
industrial users were required to provide a one-time notification by
February 23, 1991, to the local POTW, State, and Regional Waste
Management Division Director for discharges of hazardous" wastes to
the POTW If discharges would be considered hazardous waste if not
disposed of through the POTW in accordance with 40 CFR Part 261,
then they must be reported unless the amount of these discharges is
below 15 kg per month Discharges of any quantity of acute
hazardous wastes are subject to the one-time notification Reporting
requirements are divided into two tiers for dischargers of non-acute
hazardous wastes. 15-100 kg/month tier and greater than 100 kg per
month tier Discharges of between IS and 100 kg of non-acute
hazardous waste per month must provide the following information
• Name of the hazardous waste
• EPA waste code
• .Type of discharge (continuous, batch, other).
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For discharges of greater than 100 kg per month, the following
additional information must be provided.
• Identification of hazardous constituents
• Mass and concentration of these constituents
• An estimate of the mass of hazardous constituents to be
discharged during the following twelve months
CWA REGULATORY
GUIDE
SAFE DRINKING
WATER ACT
Table 2 on the next page summarizes the major regulatory programs
under the CWA that may have an impact on EPA facilities and
references applicable standards.
The SOW A, enacted on December 16, 1974, is the basis for
protecting the nation's drinking water supplies from physical,
chemical, biological, and radiological contaminants that may have an
impact on public health The Act's statutory mandates direct EPA to
develop NPDWRs that set limits for contaminants in drinking water
and require specific treatment techniques to ensure safe drinking
water The SDWA also directs EPA to develop underground
injection regulations for protecting underground sources of drinking
water
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Table 2
Clean Water Act Regulatory Guide
Topic
Oil Discharges
Spill Prevention Control and
Countermeasure Plans
Hazardous Substance
Release Reporting
National Pollutant
Discharges Elimination
System (NPDES) Permits
NPDES Effluent Limitations
Guidelines
NPDES Stormwater
Discharge Permits
National General
Pretreatment Standards
National Categorical
Pretreatment Standards
Local Pretreatment
Standards
Action Involved
Reporting is required for discharges of oil into
navigable water that
• Violates water quality standards
• Causes a film or sheen on the water or
shoreline
SPCC plans must be developed when
petroleum is being stored in quantities greater
than
• 42,000 gallons underground
• 1,320 gallons total aboveground
• 660 gallons in any single aboveground
container
Reporting is required for releases of hazardous
substances that exceed CWA reportable
quantities(hsted m 40 CFR Part 1 16) within a
24-hour period
NPDES permits are required for point source
discharges of wastewaters into navigable
waters of the United States
These requirements apply to point source
discharges of wastewaters from specific
activities into navigable waters (these will not
be applicable to most EPA facilities)
These requirements apply to point source
discharges of stormwater that have come in
contact with industrial or construction activities
into navigable waters These standards also
apply to RCRA treatment, storage, and
disposal facilities
Discharges of wastewater and sanitary waste
to the sewer system are subject to the National
General Pretreatment Standards, which
prohibit discharges of certain wastes to the
sewer system
Discharges of wastewater to the sewer system
from specific activities are regulated under the
national categoncal pretreatment standards.
Discharges of wastewater and sanitary wastes
to the sewer system will be regulated by a
municipal discharge permit or a local sewer
use ordinance issued by the local sewer
authority
Regulatory Citation
40 CFR Part 110
40 CFR Part 112
40 CFR Part 117
40 CFR Part 122
40 CFR Parts 405
through 471
40 CFR 12226
40 CFR 403 5(b)
40 CFR Parts 405
through 471
Municipal Discharge
Permit or local Sewer
Use Ordinance
Applicability
The SDWA regulations protect human health by regulating public
water systems A public water system is defined as a system that
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(1413)
provides water for human consumption and is comprised of at least 15
service connections or serves 25 individuals daily, at least 60 days out
of the year
Public water systems are divided into community and noncommunity
systems A community water system is a public water system that
serves at least IS service connections used by year-round residents or
regularly serves at least 25 year-round residents This definition
primarily pertains to residential communities. A noncommunity water
system includes those systems that do not fit the above definition (e g,
schools, factories, and mobile home parks).
EPA office facilities are served by public water systems and typically
are not subject to the SDWA regulations governing the delivery of
treated drinking water EPA facilities, however, should be cognizant
of other major provisions of the drinking water regulations, especially
those associated with the control of drinking water contaminants
typically arising from building plumbing systems (eg, lead and
copper) Additional information on these areas is provided in
subsequent discussions of this section
MAXIMUM
CONTAMINANT
LEVELS AND
MAXIMUM
CONTAMINANT
LEVEL GOALS
(CFR 40 Parts 141 11-16,
141.50-52, 141 60-63)
Maximum Contaminant
Level Goals
Maximum Contaminant
Levels
EPA has established two types of standards for contaminants in
drinking water primary standards and secondary standards
Primary standards, discussed here, are enforceable, health-based
contaminant levels. Secondary contaminants are nonenforceable
guidelines established to ensure the aesthetic quality of drinking
water provided by public systems and will be discussed in a later
section In regulating primary (health-based) drinking water
contaminants, EPA establishes two different types of levels,
maximum contaminant level goals (MCLGs) and maximum
contaminant levels (MCLs)
The MCLG is a concentration-based contaminant level that has
been identified by EPA as having no adverse health effects
MCLGs are determined through extensive toxicology studies and
represent a nonenforceable goal for drinking water systems For
example, the MCLG for certain known and suspected carcinogenic
chemicals (e g, vinyl chloride)-is zero.
MCLs are the enforceable primary standards established for public
water systems The MCL for a particular contaminant represents
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the maximum level, usually in terms of concentration, that may be
present in drinking water This level is set as close to the MCLG as
possible, while taking economic and technological factors into
consideration
CONTROL OF LEAD
AND COPPER
General Requirements
Monitoring Requirements
For Lead and Copper
Sample Collection
As mentioned previously, EPA facilities should be aware of major
provisions of the drinking water regulations associated with the
control of drinking water contaminants arising from building
plumbing systems Lead and copper are two major contaminants
of concern from these types of systems Considerations for
monitoring the levels of these contaminants are discussed in the
following paragraphs
Beginning July 1, 1993, all water systems must comply with the
requirements set forth for the control of lead and copper in
drinking water These regulations, codified in 40 CFR 141 80,
establish treatment technique requirements for corrosion control,
source water treatment and under special circumstances lead
service line replacement
To ensure safe levels of lead and copper in drinking water, the
municipal water supply system is required to conduct a materials
survey of the distribution system to identify a pool of sampling
sites. Tap water sampling will be conducted at high risk locations,
such as homes or buildings that recently were built using lead solder
and/or lead service lines.
Guidance: Given the random nature of municipal supply tap
water sampling, EPA office facilities should implement a drinking
water monitoring program. At a minimum, the program should
provide for conducting initial sampling upon taking occupancy of
new space or after installing newly plumbed systems. In addition,
follow-up monitoring should be performed whenever significant
facility modifications or renovations have been undertaken that
may have influenced the integrity of the drinking water supply
system within the facility. Specific sampling strategies are
described in the following discussion.
Drinking water within EPA office space should be monitored to
determine its conformance with the current EPA lead action level of
15 ;/g/L Samples should be collected in accordance with the
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Office of Water guidance document on sampling for lead in
drinking water in nonresidential facilities (EPA 812-B-94-002).
This document is available upon request through the Safe Drinking
Water Act Hotline (202-260-7908) or SHEMD
Copper monitoring also is recommended to evaluate the drinking
water supply against the action level of 1 3 mg/L. For copper
monitoring of EPA office water supplies, the Office of Water
recommends that at least one 30-second flush sample be taken at an
internal tap from which water typically is drawn for consumption
NATIONAL
SECONDARY
DRINKING WATER
STANDARDS
(40CFRPart 143)
Monitoring
The secondary drinking water standards establish secondary MCLs
(SMCLs) to ensure the aesthetic quality of the water, such as color,
odor and taste Contaminant levels above the SMCLs are not of
significance in terms of adverse health effects, but may decrease the
palatability of the water The levels are not enforceable and are
only to be used as guidelines States are free to adopt these
standards as enforceable levels in the implementation of their own
program
The drinking water quality in all newly leased or constructed
facilities should be tested to ensure conformance with the following
SMCLs aluminum (0 2 mg/L), chloride (250 mg/L), color (15
color units), iron (0 3 mg/L), manganese (0 05 mg/L), pH (6 5-8 5),
silver (0 1 mg/L), sulfate (250 mg/L), total dissolved solids (500
mg/L), and zinc (5 mg/L).
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Section 16-05
Radioactive Materials Management
STORAGE AND
CONTROL OF
LICENSED MATERIAL
(10CFRPart20,
Subpart I)
Requirements for the storage and control of licensed material are
contained in 10 CFR Part 20, Subpart I It requires licensees to
secure from unauthorized removal or access licensed materials that
are stored in controlled or unrestricted areas It also requires
licensees to control and maintain constant surveillance of licensed
material that is in a controlled or unrestricted area when it is not in
storage
Note that there currently is no de minimis quantity or concentration
of radioactive material that is exempt from these requirements The
requirements in this subpart apply to any and all forms of licensed
radioactive material, including contamination of surfaces in
unrestricted areas with radioactive material
PRECAUTIONARY
PROCEDURES
(10 CFR 20 Part,
Subpart J)
Subpart J of 10 CFR Part 20 contains requirements for posting
areas and labeling containers to apprise personnel that radiation
hazards or radioactive materials are present. It also contains
requirements for monitoring packages containing radioactive
material that are received by the facility to ensure that no damage to
packaging integrity has occurred during transit that could pose
unexpected radiological hazards.
Section 20 1902 contains requirements for posting of radiological
areas Signs must be posted conspicuously and must contain the
wording specified in the regulations Separate signs are required
for radiation areas, high radiation areas, very high radiation areas,
airborne radioactivity areas, and areas or rooms in which licensed
material is used or stored.
Section 20.1901 of 10 CFR Part 20 contains specifications for signs
used in posting areas. It requires that signs have magenta, purple,
or black words and symbols on a yellow background This section
also has specifications for the radiation symbol that is required on
signs Internal Nuclear Regulatory Commission (NRC) guidance
recommends the purchase of radiation symbol signs that conform to
the specifications in ANSI N2.1.
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Section 20 1903 provides exceptions to posting requirements in the
following situations'
Areas or rooms containing radioactive materials for periods of
less than eight hours do not have to be posted with signs, if the
materials are constantly attended during these periods and
precautions are taken to limit the exposure of individuals to
radiation or radioactive materials, and the area or room is
subject to the licensee's control
• A room or area is not required to be posted with a caution sign
because of the presence of a sealed source unless the radiation
level at 30 centimeters from the surface of the source container
or housing exceeds five millirem per hour.
Section 20 1904 contains requirements for labeling containers of
licensed material It specifies required wording and minimum
information necessary to permit individuals handling or using the
containers, or working in the vicinity of the containers, to take
precautions to avoid or minimize exposures It also requires that
labels be removed or defaced prior to disposing of empty
uncontaminated containers or removing them to unrestricted areas
Exemptions to labeling requirements are provided in Section
20 1905 and include
• Containers holding small quantities of licensed material or
material of very low concentration (numerical values are
specified in the regulation)
• Containers attended by an individual who takes precautions to
limit the exposure of nearby individuals
• Containers in transport and packaged and labeled in accordance
with the regulations of DOT
• Containers that are accessible only to individuals authorized to
handle or use them, or to work in the vicinity of the containers
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GENERAL DOMESTIC
LICENSES FOR BY-
PRODUCT MATERIAL
(10CFRPart31)
General licenses for the possession and use of by-product material
in certain items and a general license for ownership of by-product
material are established in 10 CFR Pan 31 This part also describes
the requirements of each of the general licenses, and the records
that must be maintained for measuring, gauging, and controlling
devices as described by the general license The types of sources
found at EPA office facilities, if present at all, will be primarily
limited to sealed sources covered under a general domestic license
(e g, X-ray analyzer for field screening).
ITEMS AND
MATERIALS
LICENSED
(10CFR31 3, 31 5,
and 31 8)
A general license for by-product material is any license granted by t
10 CFR Part 31 General licenses are granted by the regulation
itself, without application to NRC, and there usually will not be any
documentation at the facility to indicate that the general license
exists
A general license allows EPA facilities to transfer, receive, acquire,
own, possess, and use by-product material that is incorporated in
static elimination devices and ion generating tubes
A general license permits facilities to transfer, receive, acquire,
own, possess, and use by-product material contained in devices
designed and manufactured for the purpose of detecting,
measuring, gauging or controlling
• Thickness
Density
• Level
• Interface location
• Radiation
• Leakage
• Qualitative or quantitative chemical composition
• Producing light or an ionized atmosphere
A general license also allows offices to own, receive, acquire,
possess, use and transfer americium-241 in the form of calibration
or reference sources However, this applies only to persons in a
non-Agreement State or any government agencies that hold a
specific license issued pursuant to 10 CFR Part 30
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TERMS AND
CONDITIONS OF
LICENSE
(10 CFR 313, 31.5,
and 31 8)
Static elimination devices must not contain more than 500
microcuries of polonium-210 per device Ion-generating tubes
must not contain more than SOO microcuries of polonium-210 per
device or more than SO millicuries of tritium per device
Measuring, gauging and controlling devices are required to meet
the following conditions.
Labels, which bear the statement that removal is prohibited,
cannot be removed from the device
• Instructions and precautions provided on the labels must be
implemented
• The device must be tested for leakage and proper operation of
the on-off mechanism and indicator, if any, at no longer than
six-month intervals or as indicated on the label This does not
apply to devices containing krypton, tritium, not more than 100
microcuries of other beta and/or gamma emitting material, or
not more than 10 microcuries of alpha emitting material
Additionally, this does not apply to devices kept in their original
shipping container
• For testing, installation, servicing, and removal from installation
involving the radioactive material, its shielding or containment
shall be performed either in accordance with label instructions
or by a person holding a specific license to perform such
activities
Records showing compliance with the activities indicated above
are to be maintained as specified in the following section
• Upon failure of or damage to the shielding or on-off mechanism
or upon detection of 0.005 microcurie or more of removable
radioactive material, the device will be removed from service
until repaired by the manufacturer or person holding a specific
license for repairs; or disposed of by transfer to a person
holding a specific license to receive the material contained in the
device
• Such failure, damage or leakage must be reported to the NRC
Regional Office within 30 days
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• The device must not be abandoned or exported
• Transfer or disposal of the device only is to a person having a
specific license pursuant to 10 CFR Parts 30 and 32
• Such transfer, unless to receive a replacement device, must be
reported to the NRC Regional Office within 30 days
• Transfer to another general licensee can only occur if the device
remains in use or is held in storage in the original shipping
container
There must be no more than five microcuries of americium-241 in
any one location of storage or use. In addition, the source or
storage container for americium-241 must bear a label containing
the following statement:
The receipt, possession, use and transfer of this source. Model
—, Serial No. —, are subject to a federal license and the
regulations of the United States Nuclear Regulatory
Commission or of a State with which the Commission has
entered into an agreement for the exercise of regulatory
authority. Do not remove this label.
CA UTION - RADIOACTIVE MA TERIAL - THIS SOURCE
CONTAINS AMERICIUM-24 J. DO NOT TOUCH
RADIOACTIVE PORTION OF THIS SOURCE.
(Name of manufacturer or initial transferor)
Americium-241 must be handled as follows
• The source shall not be transferred, abandoned, or disposed of
except by transfer to a person authorized by 10 CFR 31 8 or an
Agreement State
• The source must be stored in a closed container that is
adequately designed and constructed
• The source cannot be used for purposes other than calibration
of radiation detectors or the standardization of other sources
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Manufacture, import, and export of americium-241 are not
authorized by the general license.
RECORDS FOR
MEASURING.
GAUGING. OR
CONTROLLING
DEVICES
(10 CFR Part 315)
Records must show the names of persons performing and the dates
of testing, installing, servicing, and removing radioactive material
and its shielding from the facility
Unless the source or device has been transferred or disposed of,
records must be retained as follows:
Each record of a test for leakage or radioactive material must
be retained for three years after the next required leak test
Each record of a test of the on-off mechanism and indicator
must be retained for three years from the date of the recorded
event
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Section 16-06
Nonhazardous Solid Waste Management
INTRODUCTION
SOLID WASTE
MANAGEMENT
GUIDELINES
(40CFR241 100)
This portion of the Office Compliance Issues chapter focuses on the
requirements applicable to EPA office and administrative facilities
to use nonhazardous solid waste management facilities that
conform with applicable federal, state, and local guidelines for solid
waste management. These requirements are established pursuant to
Subtitles D and F of the Resource Conservation and Recovery Act
(RCRA). The objective of this program is to effectively manage
nonhazardous solid waste in such a manner as to not pose a threat
to human health or the environment Additionally, this section
addresses the mandated requirements for the establishment of
returnable containers and high-quality paper recycling programs
This section describes the requirements applicable to EPA office
facilities and operations according to the following program areas'
Guidelines for nonhazardous solid waste management
Required recycling practices for aluminum containers
Required recycling practices for high-grade paper
The agency shall make every effort to use solid waste disposal
facilities for the processing or disposal of EPA-generated
nonhazardous solid wastes that comply with federal regulatory
requirements
Guidance: Prior to the release of shipment of nonhazardous solid
wastes for disposal to a contractor facility, the EPA facility should
verify the selected site operates in accordance with Subpart B Part
241.200, titled Requirements and Recommended Procedures. This
may be accomplished by contacting the disposal site directly-and
obtaining a copy of applicable state and federal documentation
demonstrating the site operates in accordance with applicable
state and federal regulatory requirements.
NONHAZARDOUS
SOLID WASTE
STORAGE
(40 CFR 243 200)
All solid wastes shall be stored in such a manner that it does not
constitute a fire, health, or safety hazard. Care shall be taken to
ensure that solid wastes awaiting off-site transport do not provide
food or harborage for vectors
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Guidance: All wastes containing food should be stored in securely
stored areas with containers that are covered or closed. These
containers should be made of non-absorbent materials, leak proof,
durable and easily cleaned. Containers should be maintained in a
clean condition so that they are not a nuisance, and will not
harbor vector and stored in such a manner as to not collect
excessive water or create condition to harbor vectors.
The waste shall be contained or bundled so as not to result in
spillage.
Guidance: Containers should be of adequate size and numbers to,
contain the waste materials for the period between collection. The
collection point should be designed to facilitate collection and
handling of wastes. Additionally, the wastes are most effectively
stored in containers that are not easily tipped over.
Returnable Beverage
Recycling
(40 CFR 244 200)
High-Grade Paper
Recycling
(40 CFR 246 200)
Federal facilities are required to implement recycling program when
beverage containers are offered for sale on the facility premises
Guidance: The facility should institute a collection program for
the collection of reusable beverage containers sold on-site. This
should include the sale of these containers to a licensed contractor
for proper collection, handling and recycling.
All beverages offered for sale on the premises should be sold in
returnable containers.
Guidance: EPA office facilities should require all beverages sold
on-site to be dispensed in returnable containers.
High-grade paper generated by office facilities of more than 100
office workers should be separated at the source of generation,
separately collected and sold for the purpose of recycling For
smaller operations this is a recommended practice that should be
evaluated on a site-by-site basis.
Guidance: The facility can utilize the recommended procedures
for market study and paper collection methods outlined in
246.200-3 through 246.200-9.' These regulatory provisions
identify specific methods to analyze and implement a recycling
program.
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Section 16-07
Underground Storage Tank Management
INTRODUCTION
This section provides policy, guidance and information to ensure
that EPA facilities and operations are in compliance with applicable
technical and procedural requirements of federal, state and local
underground storage tank controls
EPA finalized regulations impacting underground storage tanks
(UST) on September 23, 1988, which are found in 40 CFR Parts
280 and 281 These regulations apply to all tanks containing
petroleum products and hazardous substances as defined by EPA
The regulations direct facilities to implement technical standards
and corrective actions for the management of and releases from
underground storage tanks Further, the legislation specifically
charges federal agencies to follow not only the federal
requirements, but also applicable state and local regulations
UST PROGRAM
The information in this section is intended to ensure that EPA
facility operations pose a minimal risk to the environment due to
releases of hazardous substances It combines the federal
requirements in 40 CFR Part 280, GSA Technical Guides, and best
practices for UST management
In addition to following applicable environmental requirements, the
underground storage tank program shall follow the applicable
OSHA standards found in 29 CFR Parts 1910, 1926 and 1960
REQUIREMENTS AND
RECOMMENDATIONS
Tank Inventory
EPA office facilities should identify all USTs, and complete an
inventory of EPA-owned and operated tanks Exhibit 1 contains a
standard form that can be used for UST inventorying The
inventory must include all tanks that are currently regulated by
federal, and applicable state and local regulations The inventory-
must also include tanks used for storing heating oil for consumptive
use on premises where stored and for emergency power generator
tanks. Each office should retain a copy of the completed inventory
on-site. These actions will provide key information in the event of
a regulatory compliance inspection or data request from AEREB or
SHEMD
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Exhibit 1
Underground Storage Tank Inventory Report
Name and Address of Facility:
Where is the tank located''
What is the tank made of
What is the capacity of the
tank?
What substance is stored in
the tank?
When was the tank
installed?
Is the tank in use? (Y/N)
Detail leak detection results
Specify if the tank was
replaced or upgraded and
date of action.
Is there corrosion on the
tank and piping system?
If yes, describe.
Specify if the tank was
closed or removed and date
of a action.
Tank #
Tank*
Tank*
Tank*
Comments:
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Leak Testing and Tank
Upgrading
Underground storage tanks installed before December 1988, must
institute release detection by December 22, 1993 EPA also
requires existing tanks to have corrosion protection and
spill/overfill preventive devices by 1998 Exhibit 2 illustrates tank
upgrading requirements applicable to USTs managed by EPA office
facilities Specific UST design and construction criteria are
contained in Chapter 8 of the EPA Facility Safety, Health and
Environmental Management Manual.
Exhibit 2
UST Upgrading Requirements
Type of Tank & Piping
New Tanks and Piping*
Existing Tanks ** Installed-
Before 1965 or unknown
1965-1969
1970-1974
1975-1979
1980-December 1988
Existing Piping "
Pressurized
Suction
Pressured Suction
Leak
Detection
At installation
By No Later Than-
December 1989
December 1990
December 1991
December 1992
December 1993
December 1 990
Same as existing
tanks
Corrosion
Protection
At installation
H
H
" December 1998
n
it
December 1 988
December 1988
Spill/Overfill
Prevention
At installation
»
»
" December 1998
n
ii
Does not apply
Does nof apply
* New tanks and piping are those installed after December 1988
** Existing tanks and piping are those installed before December 1988
Tank Leaks
Tank Closure
If a tank leak occurs at an EPA-owned or -operated facility, the
UST or SHEMP Manager should be notified The UST or SHEMP
Manager should immediately contact the appropriate authorities
within SHEMD The notifications should be performed in
accordance with emergency action plans or other contingency plans
already in place at the facility
Before tank closure, a tank assessment must be conducted
according to applicable federal, state and local requirements.
During tank closure, removed materials should be managed through
recycling as a preferred option. Where significant contaminatiorfof
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Office Compliance Issues
the material exists, disposal should be accomplished through
appropriately licensed waste management facilities Closures must
follow the guidance of 40 CFR Parts 280 and 281, the National Fire
Protection Association (NFPA), and the American Petroleum
Institute (API)
At EPA office facilities where there is an EPA-owned or -operated
underground tank, the UST manager or SHEMP Manager must
develop a management plan for the tanks under his or her
jurisdiction This plan will identify applicable federal, state and
local requirements, specify the action planned for the tanks, and
provide for a compliance schedule The plan must contain the
following at a minimum'
A list of all tanks located at EPA-owned or -leased facilities
An up-to-date inventory of all EPA-owned or -operated tanks
Records of tank notifications to implementing state agencies
A priority ranking system for tank closure, replacement and
upgrade Give attention first to those tanks that are known to
be leaking Second, consider tanks that are not leaking but are
in noncompliance with applicable local, state and federal
regulations
• An approach to mitigate releases from underground storage
tanks
• A determination of estimated funds for tank projects and
schedule for implementation
• A plan for ongoing leak detection tests and repairs
Reporting procedures for notification of releases from tanks
Records management system and internal reporting of data
All new tank installations must meet applicable local, state and
federal requirements. Additional guidance on tank installations is
provided in Chapter 8 of the EPA Facility Safety, Health and
Environmental Management Manual.
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Reporting and
Recordkeeoine
The UST inventory should be reviewed and updated on an annual
basis. The specific type and use of each tank (e g., heating oil tank,
emergency power generator tank, EPA-regulated tank) should be
included on the underground storage tank inventory report.
EPA office facilities should track information about underground
storage tank upgrade, replacement and closure due to leaks In
addition, information concerning the extent of contamination,
corrective action, and estimated costs associated with cleanup
should be documented. These records should be placed in the
facility's environmental documentation file for future reference and
consultation
All records related to tank activities should be kept at the facility
location where the tanks are operated and located These records
include leak detection tests, closures, or tanks transferred to an
owner or operator other than EPA EPA requires facilities to keep
significant release detection records for five years after the date of
release and all other records for at least five years Tank closure
records should be kept indefinitely for liability avoidance and future
property transfer
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Section 16-08
Hazardous Waste Management
INTRODUCTION
Although not typically generating hazardous wastes in large
quantities on a routine basis, EPA office facilities may generate
solid wastes that meet the definition of a hazardous waste as a
result of maintenance operations, print shop activities, or surplus
chemical inventories Thus, these facilities should be aware of the
requirements for the cradle-to-grave management of hazardous
waste A systematic review of RCRA Subtitle C requirements of
major importance to EPA office and administrative operations is
presented below
DEFINITION OF SOLID
WASTE
(40CFR2612)
A solid waste is any material that is abandoned, recycled or
inherently waste-like, as explained in 40 CFR 261 2 Solid waste,
as defined in RCRA, refers not only to solids, but also to
semi-solids, sludges, liquids, and contained gases.
DEFINITION OF
HAZARDOUS WASTE
(40 CFR 261 3)
Section 3001 of RCRA charges EPA with developing criteria for
identifying the characteristics of hazardous waste and for listing
hazardous waste based on toxicity, persistence or degradability in
nature, potential for accumulation in tissue, and other related
hazardous properties
EXCLUSIONS FROM
SUBTITLE C
(40 CFR 2614)
Not Solid Wastes
(40CFR2414(a))
Two classes of materials are excluded from the hazardous waste
regulations materials that are not solid wastes and solid wastes
that are not hazardous wastes
Two materials specifically excluded from the definition of solid
waste are domestic sewage and mixtures of domestic sewage with
other wastes (including hazardous) that pass through a sewer
system to a POTW Requirements for these materials are
established under the Clean Water Management portion of this
chapter For example, a maintenance shop of an EPA office facility
may generate a corrosive waste during routine operations. Once
the waste is discharged via a sink or drain to the sewer which is
connected to a POTW, the waste is no longer subject to RCRA *
regulation CWA general pretreatment standards or local sewer use
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ordinances, however, will have to be met prior to discharge into the
municipal wastewater collection system. Refer to Section 261 4(a)
for the full list of materials that are excluded from the definition of a
solid waste
Nonhazardous Wastes
(40CFR2614(b))
Two exemptions primarily are applicable to EPA office facilities
First, CFCs used in air conditioning or refrigeration systems are
exempt from Subtitle C regulation when they are reclaimed for
further use, but not when they are sent off-site for disposal
Additionally, used oil filters may also be exempt from the hazardous
waste regulations. Non-terne plated (e g, automobile) oil filters
are excluded from the definition of hazardous waste if they are
gravity hot-drained and have not been mixed with a listed
hazardous waste Refer to Section 261 4(b) for a full list of solid
wastes that are excluded from hazardous waste regulations
LISTED HAZARDOUS
WASTE
(40CFR261 SubpartD)
F-Listed Hazardous
Wastes
(40CFR261 31)
Spent Solvents
If a solid waste has not been excluded, it is a hazardous waste if it
is specifically listed. The listed hazardous wastes in 40 CFR
261 31-33 comprise four groups
F-listed wastes
K-listed wastes
• P-listed wastes
U-Iisted wastes.
In establishing the lists, EPA arbitrarily identified F-, K-, P- and U-
designations. The letters carry no purpose other than to identify
particular listing categories.
Only a portion of the listed wastes are defined as acutely hazardous
They are F020-F023, F026-F027, and all P-listed wastes Such
wastes are not commonly generated by EPA office operations
The F-list includes nonspecific source wastes that are not
attributable to a specific industry or process unit. EPA office
facilities may generate spent solvents (F001-F005) in maintenance
shop or motor pool areas.
The spent solvent wastes F001-F005 are from nonspecific sources
The F001 listing, however, only applies to solvents used in
industrial degreasing operations. Office solvent wastes may fall
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K-Listed Wastes
(40CFR26132)
P- and U-Listed Wastes
(40CFR26133)
into one or more of the F002-F005 listings Additional detailed
information on the classification of F-listed organic solvents is
presented in the RCRA chapter of the SHEM Guidelines
The K-list consists of wastes from specific hazardous waste
generating processes and specific types of industries (e g, K009 is
distillation bottoms from the production of acetaldehyde from
ethylene). Generally, EPA office facilities do not generate K-list
wastes
P- and U-lists include commercial chemical products and
manufacturing chemical intermediates that are hazardous wastes
when discarded or intended to be discarded This applies only to •
unused formulations of these chemicals, or situations where
chemical products or intermediates are mixed with other solid
wastes for the purpose of disposal (as discussed in the definition of
hazardous waste, 40 CFR 261 3) U-listed chemicals may include
selected hazardous materials that are being disposed of because
they have exceeded their shelf life or are no longer needed to
support facility operations. P-listed chemicals are acutely
hazardous wastes when discarded and typically are not generated
by EPA office facilities
Unused chemical formulations in which a P- or U-listed chemical is
the sole active ingredient also would be regulated as a P- or
U-listed waste when discarded, regardless of concentration
CHARACTERISTIC
HAZARDOUS WASTE
(40 CFR Part 261,
Subpart C)
lenitabilitv
(40 CFR 261 21)
In addition to the hazardous waste listings, a solid waste is a
hazardous waste if it exhibits one or more characteristics of
hazardous waste. These characteristics, along with their
corresponding regulatory citation and waste code, follow.
Regulatory Citation
261 21
261 22
261 23
261 24
Characteristic
Ignitability
Corrosivity
Reactivity
TC Toxicity
Waste Code
D001
D002
D003
D004 - D043
A liquid waste, other than an aqueous solution containing less than
24 percent alcohol by volume, is considered ignitable if it has a flash
point less than 60_C (140_F) The ignitability characteristic also
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Petroleum distillates and
stoddard solvents often
exhibit the characteristics
of ignitability
Corrosivitv
(40CFR26122)
Excess chemicals such as
nitric or sulfunc acid
commonly display the
corrosivity characteristic
Reactivity
(40CFR26123)
Toxicitv
(40CFR26124)
includes a small category of nonliquids which are capable of
causing fire through friction, absorption of moisture, or
spontaneous chemical change. In addition, compressed gases
defined as flammable under DOT standards (e g, hydrogen,
oxygen, acetylene, propane), as well as DOT defined oxidizers
(e g, nitric acid, perchloric acid, chromic acid,hydrogen peroxide),
are ignitable hazardous wastes and carry the D001 waste code
A waste is considered corrosive if it is aqueous and has a pH of less
than or equal to 2, or greater than or equal to 12 5, or if it is a
liquid and corrodes steel at a rate of more than 635 mm (0 25
inches) per year The regulations only address the concept of
corrosivity for liquid or aqueous wastes Waste sodium hydroxide
pellets, for example, are not a hazardous wastes Generators,
however, should be warned that some solids may be corrosive when
dissolved in a liquid, and thus should be handled cautiously (even
though they are not hazardous wastes)
EPA office facilities may generate limited quantities of reactive
hazardous waste Generally, this characteristic is defined in
subjective terms For example, if a waste normally is unstable or
reacts violently with water, it is considered a reactive hazardous
waste One quantitative criterion for determining reactivity is the
generation of cyanide and sulfide gases when exposed to pH
conditions between 2 and 12 5 Although the regulations do not
specify a regulatory level of gas generation, EPA has published
interim threshold levels of 250 mg HCN/kg waste and 500 mg H2S
/kg waste.
The most common examples of reactive wastes at EPA office
facilities are spent concentrated sulfuric acid or cyanide-containing
photographic bleaches
In March 1990, EPA promulgated the final Toxicity Characteristic
(TC) rule (55 FR 11798) This rule established the Toxicity
Characteristic Leaching Procedure (TCLP), which replaced the
extraction procedure (EP) toxicity test as the method for
determining the characteristic of toxicity The TCLP more
accurately reproduces the leaching conditions of a landfill.
Additionally, the technical procedures associated with the TCLP
have allowed EPA to add 26 new organic constituents to the
contaminant list, which previously included eight metals (D004-
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DO 11) and six pesticides (D012-D017). The TCLP procedure
yields an extract of the waste. For each hazardous contaminant,
EPA has established a threshold level in this waste extract above
which the waste is considered hazardous
The TC final rule promulgated a number of parameter changes to
the originally proposed contaminant list The entire TC constituent
list is found in Exhibit 3 on the next page
The most common types of TC wastes potentially generated by
EPA offices include: lead-containing paint residues (D008), excess
paints (D005, D006, D008, D035), high-intensity discharge (HID)
lamps (D009), and used oil filters from motor pools (DO 18)
Guidance on the management of HID lamps from Green Lights and
routine maintenance operations is contained in the joint AEREB
and SHEMD memorandum (June 15, 1995) on waste fluorescent
and HID bulb management
MIXTURES
(40CFR261 3)
Characteristic Waste and
Solid Waste
Listed Waste and Solid
Waste
Mixtures of solid wastes and hazardous wastes can, in some cases,
be regulated as hazardous wastes
If a solid waste is mixed with a characteristic hazardous waste
through normal operations, and the mixture exhibits any hazardous
waste characteristic, the entire volume would be considered a
hazardous waste
If a solid waste or characteristic hazardous waste is mixed with a
listed hazardous waste, the mixture would require management as
the listed hazardous waste For example, if an F-listed solvent is
mixed with an aqueous-based solvent, the entire mixture would be
regulated as a listed hazardous waste
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Exhibit 3
TC Regulatory Levels
Contaminants
Arsenic
Barium
Benzene
Cadmium
Carbon tetrachlonde
Chlordane
Chlorobenzene
Chloroform
Chromium
o-Cresol •
m-Cresol
p-Cresol
Cresol
2,4 D
1.4 - Oichlorobenzene
1.2 - Dichloroethane
1,1- Dichloroethylene
2,4 Dmrtrotoluene
Endnn
Heptachlor (and hydroxide)
Hexachlorobenzene
Hexachlorobutadiene
Hexachlorethane
Lead
Lmdane
Mercury
Methoxychlor
Methyl ethyl ketone
Nitrobenzene
Pentachlorophenol
Pyndme
Selenium
Silver
Tetrachloroethylene
Toxaphene
Tnchloroethylene
2,4,5 - Tnchlorophenol
2,4,6 - Tnchlorophenol
2,4,5 - TP (Silvex)
Vinyl Chlonde
CASNO
7440-38-2
7440-39-3
71-43-2
7440-43-9
56-23-5
57-74-9
108-90-7
67-66-3
7440-47-3
95-48-7
108-39-4
106-44-5
94-75-7
106-46-7
107-06-2
75-35-4
121-14-2
72-20-8
76-44-2
118-74-1
87-68-3
67-72-1
7439-92-1
58-89-9
7439-97-6
72-43-5
78-93-3
96-95-3
87-86-5
110-86-1
7782-49-2
7440-22-4
127-18-4
8001-35-2
79-01-6
95-95-4
88-06-2
93-72-1
75-01-4
HWNO*
0004
0005
0018
0006
0019
0020
0021
0022
0007
0023
0024
0025
0026
0016
0027
0028
0029
0030
0012
0031
0032
0033
0034
0008
0013
0009
0014
0035
0036
0037
0038
0010
0011
0039
0015
0040
0041
0042
0017
0043
Regulatory level
(mg/l)
50
100
05
10
05
003
100
60
50
200
200
200
200
100
75
05
07
013
002
0008
013
05
30
50
04
02
100
200
20
^eo
50-
1 0
50
07
05
05
400
20
10 '
02
Hazardous waste number
Wastestreams from nutrient analyses should be evaluated against the TC where pyndme is used as a reagent
for possible classification as OO38
STATE REGULATED
HAZARDOUS WASTE
Alrhough some states adopt the federal standards verbatim, many
exercise their right to regulate hazardous waste more stringently by
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applying hazardous wastes controls to additional wastestreams and
adopting more restrictive standards.
Some of the most common wastestreams subject to regulation at
the state level are those protected by RCRA exclusions that states
have chosen not to adopt For example, wastes containing
polychlorinated biphenyls (PCBs) are not specifically regulated
under the federal RCRA program, and some are even subject to an
exclusion from certain characteristics of hazardous waste The
RCRA chapter of the SHEM Guidelines identifies more stringent
state requirements.
Guidance: EPA facilities should identify and comply with any
additional hazardous waste listings, characteristics, or
management standards imposed by state or local regulations.
GENERATOR
REGULATIONS
(40 CFR Part 262)
The RCRA regulations found in 40 CFR Part 262 contain the
requirements applicable to generators of hazardous waste The
summary table at the end of this section lists the requirements for
hazardous waste generators from Part 262
HAZARDOUS WASTE
DETERMINATION
(40 CFR 262 11)
The first step in determining which, if any, generator regulations are
applicable to a facility is to determine if solid wastes generated at
the facility are hazardous wastes This determination may- be based
either on testing of the waste or by applying knowledge of the
materials or processes generating the waste The hazardous waste
determination hierarchy in Section 262.11 requires that a generator
must first determine if the solid waste is excluded from RCRA
regulation under Section 261 4 Second, if the waste is not
excluded, the generator must determine if the waste meets one of
the F-, K-, P-, or U-listings. Third, for the purposes of compliance
with the land disposal restrictions (LDRs), or if the waste is not
listed, the generator must identify all relevant hazardous waste
characteristics (i e, ignitability, corrosivity, reactivity, and toxicity)
in Subpart C of Part 261 The final determination step ensures that
all applicable waste codes, both listed and characteristic, are
assigned to afford comprehensive treatment of all hazards
associated with a waste as mandated under the Hazardous and
Solid Waste Amendments (HSWA) of 1984.
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Guidance: To afford consistent waste classification and enhance
the availability of pertinent information for DOT description, as
well as employee health and safety, EPA facilities should include
all relevant hazardous waste codes (listed and characteristic) when
performing hazardous waste determinations.
GENERATOR
CLASSIFICATION
EPA facilities must count the quantity of hazardous waste
generated each month to determine their generator classification
The regulations stating which hazardous wastes are to be counted
in a generator's monthly quantity determination are found in
Sections 261 S(c) and (d) While the regulations for counting
hazardous waste appear in the section of the regulations applicable*
to conditionally exempt small quantity generators, all generators
must comply with the counting requirements found in Sections
261 5(c) and (d), not just conditionally exempt generators Table 3
provides a summary of the quantity thresholds for generator
classifications and identifies the applicable regulations The
majority of EPA office facilities normally are regulated under the
minimal provisions for conditionally exempt small quantity
generators (CESQG)
Table 3
Hazardous Waste Generator Classifications
Generator
Large Quantity
Generator (LQG)
Small Quantity
Generator (SQG)
Conditionally Exempt
Small Quantity
Generator (CESQG)
Quantity
>1000 kg/month hazardous waste
(approx. >2200 Ibs.)
>1 kg/month acute waste
Between 100-1000 kg/month
hazardous waste
(approx. 220-2200 Ibs.)
<100 kg/month hazardous waste
<1 kg acute waste
<100 kg acute residue
Applicable Regulations
40 CFR Part 262
40 CFR Part 262, Subparts A, B,
C (Section 262.34(d) is specific to
SQGs), E, and portions of Subpart
D as specified in Section 262 44
40 CFR 261 .5
CONDITIONALLY
EXEMPT SMALL
A conditionally exempt small quantity generator may generate up to
100 kg of hazardous waste or up to 1 kg of acutely hazardous
waste in a calendar month and be exempt from most RCRA
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QUANTITY
GENERATORS
(40CFR261 5)
Waste Disposal
(40CFR261 5(0
and (g))
EPA IDENTIFICATION
NUMBERS
(40CFR262 12)
generator requirements There is no on-site accumulation time limit
unless imposed by state law Nonetheless, to remain conditionally
exempt, these generators should not accumulate in excess of 1,000
kg of nonacute hazardous waste, 1 kg of acute hazardous waste or
100 kg of spill residue from acute hazardous waste If the 1,000 kg
limit is exceeded, the entire waste volume immediately becomes
subject to all requirements for facilities that generate between 100
and 1,000 kg of hazardous waste per month (refer to 40 CFR
262 34) If the 1 kg limit for acute waste is exceeded, that acute
waste is subject to large quantity generator standards As long as
generators remain conditionally exempt, they are not required to
obtain an EPA identification number unless stipulated by the state
hazardous waste agency
Occasionally, CESQGs may generate in excess of 100 kg of
hazardous waste in a single month If this occurs, all hazardous
waste generated that month would be subject to the 100-1000 kg
per month generator requirements Therefore, it would be prudent
to manage the waste volumes subject to different regulatory
schemes separately.
Guidance: The CESQG bears the burden of proof of
demonstrating that the facility is exempt from the regulations. It is
therefore essential that a log be maintained to quantify waste
generation volumes each month and that a waste tracking system
be implemented to ensure the waste is being sent to and received
by an approved facility.
To retain exempt status, CESQGs must ensure that their hazardous
waste is disposed of at a permitted or interim status RCRA
treatment storage or disposal facility (TSDF), a facility that is
licensed by a state to manage municipal or industrial solid waste, or
a recycling/reclamation facility that legitimately recycles the waste
Guidance: All EPA facilities, regardless 'of generator status, must
ensure that only federal and state licensed or permitted
transporters are used for the transportation of hazardous wastes
on public highways.
Each generator of hazardous waste, except a CESQG, must obtain
an EPA identification number (EPA ED No ). Generators may
obtain an EPA ED No by completing EPA Form 8700-12, which
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can be obtained from the state hazardous waste management
agency or the appropriate EPA Regional Office.
The EPA ID No. is site-specific; if a facility relocates, it will need
to apply for a new number Additionally, if the previously occupied
property is taken over by a new owner, the facility should be sure
its name is no longer associated with the past EPA ID No This can
be accomplished by the new owner of the property filing a
subsequent form 8700-12 identifying the change in ownership
Because the EPA ID No is site-specific, an EPA facility with
multiple noncontiguous generation sites must have a different EPA
ID No for each site.
Guidance: While not required, it is recommended that all EPA
generators obtain an EPA ID No. to safeguard CESOG in case
they, on occasion, slip into regulated generator status. Further,
most transporters will not accept hazardous waste from a facility
that Joes not have an EPA ID No. To address this problem, some
states will issue a temporary EPA ID No. for CESOG waste
shipments. In addition, EPA facilities should ensure, where
possible, that contractors and landlords who generate hazardous
waste have a separate EPA ID No. and that contracts specify
hazardous waste management responsibilities for waste generated
by contractors or landlords.
HAZARDOUS WASTE
MANIFESTS
(40 CFR 262.20-23)
Manifests are used to track hazardous waste from the point of
generation to the point of ultimate disposal Generators should
acquire manifests from the state to which the waste is being shipped
(consignment state). If this is not possible, they may acquire
manifests from their state hazardous waste officials If manifests
are not available from either source, they may obtain copies of the
manifests from commercial printers The facility must sign a copy
of the original manifest that will accompany the waste to the
treatment, storage and disposal facility The facility must receive a
signed copy of the manifest from the TSDF confirming that the
waste reached its ultimate destination If a signed copy of the
manifest is not received from the disposal facility within 45 days for
large quantity generators or 60 days for small quantity generators,
the facility must follow the exception reporting procedures in
Section 262 42 Although the manifest is typically completed by
the hazardous waste transporter, it is important to review this
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paperwork for accuracy prior to signing the manifest Common
manifest errors include improper waste characterization, inaccurate
DOT classification, and missing information
Facilities that generate between 100 and 1,000 kg of hazardous
waste a month may be exempt from manifest requirements if the
generator recycles the waste pursuant to a contractual agreement
with a recycler The agreement must stipulate the waste types and
recycling frequency, and the vehicle used to transport the waste and
return the regenerated product is owned by the reclaimer This is
referred to by many as the "Safety Kleen" exemption, and is
commonly employed to manage spent solvents
ACCUMULATION
STANDARDS
(40 CFR 262 34)
Accumulation standards for generators include on-site
accumulation time limits, training, preparedness and prevention
requirements, and contingency planning. The differences in the
requirements for LQG and SQG generators of hazardous waste are
explained in each subsection. LQGs may accumulate hazardous
waste on-site for up to 90 days, while facilities generating
100-1,000 kg per month may accumulate waste on-site for 180
days, or 270 days if the waste must be transported more than 200
miles The accumulation start date is considered to be the date
waste is first placed in the accumulation drum, tank or other
container The time period limitation does not apply while the
waste is in a satellite accumulation area. Table 4 provides the
accumulation standards for LQGs, SQGs, and CESQGs~
Table 4
Generator Classification Determines Length of Accumulation Time
Generator Category
Large Quantity Generators
Small Quantity Generators
Conditionally Exempt
Small Quantity Generators
On-Site Accumulation Time
< 90 days on-site
< 180 days on-srte or
< 270 days if shipped > 200 miles
No time limit
On-Site Quantity Limit
No Limit
6.000 kg
1 .000 kg nonacute waste
1 kg acute waste
100 kg acute spill residue
Waste Accumulation
Units
Hazardous waste containers are the most common waste
accumulation units at EPA facilities. Small and large quantity
generators accumulating hazardous waste in containers are subject
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to the container management standards for TSDFs in Pan 265,
Subpart I Containers and tanks accumulating hazardous waste
must be labeled "Hazardous Waste" and marked with the date that
waste initially accumulates in the container These standards are
discussed in more detail in the standards for TSDFs section Two
other waste management units may be used by generators for
accumulating hazardous waste- (1) tanks that meet the Part 265,
Subpart J standards, and (2) containment buildings that meet the
Part 265, Subpart DD standards
Accumulation at the Point
of Generation
(40CFR26234(c)(l))
Generator Training
Requirements
(40 CFR 262.34(a)(4))
Preparedness and
Prevention
(40 CFR 262.34(a)(4))
Generators may accumulate up to 55 gallons of hazardous waste,
or up to one quart of acutely hazardous waste, at or near the point
of generation provided they comply with marking requirements and
container management standards Accumulations of waste not
exceeding the 55-gallon limit may be stored indefinitely at the point
of generation unless otherwise specified by state law Once the
55-gallon limit is exceeded, the generator has three days to transfer
the excess waste to a hazardous waste accumulation area, at which
time the 90- or 180-day accumulation period begins, depending on
the generator's status For satellite accumulation points at a
laboratory, at or near the point of generation generally means
within the specific office facility area (e.g., print shop) where the
waste is generated Once waste is moved from that room, it must
be directly transferred to a designated hazardous waste
accumulation storage area or a permitted or interim status storage
area Typical satellite accumulation points in office complexes
include effluents from photographic processing units or
maintenance shop processes (e.g., parts cleaning).
Facility personnel conducting hazardous waste management
activities must receive training on emergency response procedures
and proper waste handling procedures that meet the personnel
training requirements for TSDFs in Section 265 16 Small quantity
generators are required to meet less stringent personnel training
requirements in Section 262.34(d)(5Xiii) CESQG facility
personnel are not required to meet personnel training requirements
under RCRA, but it is recommended.
EPA facilities generating hazardous waste must be prepared to
respond to fire, explosions, and releases of hazardous waste at the
facility. Large and small quantity generators must meet the •
preparedness and prevention requirements for TSDFs in Part 265,
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Subpart C The RCRA Subtitle C chapter of the SHEM
Guidelines and the EPA Facility Safety, Health and Environmental
Management Manual provide additional guidance on design
considerations for preparedness and prevention.
Contingency Plans
(40 CFR 262 34(a)(4))
Recordkeepmg and
Reporting
(40 CFR Part 262,
Subpart D)
In the event of a fire or explosion, the facility must have a
contingency plan designed for immediate response to minimize
hazards to human health and the environment Large quantity
generators must meet the contingency plan requirements for TSDFs
in Part 265, Subpart D RCRA does not require small quantity
generators to develop a formal contingency plan, but it is.
recommended. Facilities that have existing SPCC plans that meet,,
the requirements of 40 CFR Part 112 may amend the plans to
incorporate hazardous waste management provisions in lieu of
developing a separate contingency plan
Sound recordkeeping is a critical component in demonstrating
compliance with the RCRA regulations A complete set of records
should include waste analysis and testing data used to identify and
characterize hazardous waste, a copy of the 8700-12 that was
submitted to the state or EPA Region, copies of hazardous waste
manifests (both originals and signed copies with a date received by
the facility), biennial hazardous waste reports (some states require
annual reports), and land disposal restriction notifications and
certifications
A biennial report that details hazardous waste management
activities at large quantity generator facilities must be submitted to
the appropriate state environmental agency or EPA Regional
Office This report should include information on the quantity of
hazardous waste generated during each even-numbered year and
the amount of hazardous waste shipped off-site Information also
must be included on waste minimization activities that have been
undertaken during the year to reduce the volume and toxicity of
hazardous waste generated at the facility Generators should note
that many states require this information on an annual basis
HAZARDOUS WASTE
MINIMIZATION
As discussed above, large quantity generators must document
waste minimization activities conducted at the facility throughout
the year in their biennial report. Also, generators must sign each
hazardous waste manifest that includes a certification for LQGs that
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they have a waste minimization program in place and a certification
for SQGs that they have made a good faith effort to reduce the
volume or toxicity of hazardous waste generated at the facility
Waste minimization is defined as any environmentally sound
practice that reduces the toxicity or volume of waste that is
generated Additional information on waste minimization is
provided in the pollution prevention section of this chapter
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Table 5
RCRA Generator Summary
Requirements for Hazardous Waste Generators
Quantity Limits
EPA ID Number
On-Site
Accumulation
Quantity
Accumulation
Time Limits
Storage
Requirements
Off-site
Management of
Waste
Manifest
Biennial Report
Personnel
Training
Contingency Plan
Emergency
Procedures
DOT Transport
Requirements
CESQG
< 100 kg/month
< 1 kg acute/month
267 5(a) and (e)
Not required
2675
< 1000 kg
< 1 kg acute
< 100 kg spill reside
from acute waste
267 5(f)(2) and (g)(2)
None
267 5
None
267 5
Hazardous waste.
state approved solid
waste, or recycling
facility 267 5(f)(3) and
(9)(3)
Not required
2675
Not required
2675
Not required
2675
Not required
2675
Not required
2675
Yes
(as required by DOT)
SQG
between 100-1000 kg/month
Part 262 and 262 34(d)
Required
26272
< 6000 kg
262 34(d)(1)
< 180 days or
<270 days if shipped over 200
miles
262 34(d) and (3)
Basic requirements with most
technical standards for tanks or
containers 262 34(d)(2) and (3)
RCRA permitted/interim status
facility
262 20(b)
Required
26220
Not required
26244
Basic training required
262 34(d)(5)(m)
Basic plan required
262 34(d)(5)(i)
Required
262 34(d)(5)(iv)
Yes
262 30-262 33
LQG
> 1000 kg/month or> 1
> kg or acute hazardous
waste/month
Part 262 and Section
267 5f3;
Required
26272
No limit
< 90 days
262 34(a)
Full compliance for
management waste in
tanks, containers, or
containment buildings
262 34(a)
RCRA permitted/interim
status facility
262 20ft)
Required
26220
Required
26247
Required
262 34(a)(4)
Full plan required
262 34(a)(4)
Required
262 34(a)(4)
Yes
262 30-262 33
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Section 16-09
Toxic Substances Control
INTRODUCTION
PCS MANAGEMENT
(40 CFR Part 761)
The Toxic Substances Control Act (TSCA) is unique among
environmental statutes in that it provides regulatory controls
throughout the full life cycle of selected toxic substances Section
6(e) of TSCA provides the authorities for EPA to regulate certain
substances, such as polychlorinated biphenyls and asbestos that are
defined as posing special risks to human health and the
environment This section of the Office Compliance Issues chapter
addresses substances regulated under TSCA authorities
The PCB management regulations in 40 CFR Part 761 establish
standards for PCB use, storage, disposal, spill cleanup, and
recordkeeping. Central to understanding these requirements is a
working knowledge of PCB regulatory terminology
DEFINITIONS
PCB Article
PCB Article Container
PCB Authorizations
The following are definitions for the unique terms used in this
section
Any manufactured article, other than a PCB container, that contains
PCBs and whose surface has been in direct contact with PCBs
This term includes capacitors, transformers, electric motors, pumps,
and pipes
Any package, can, bottle, bag, barrel, drum, tank, or other device
used to contain PCB articles or PCB equipment, and whose
surface(s) has not been in direct contact with PCBs
Provisions of 40 CFR 761 30 that allow certain uses of PCBs
PCB Container
PCB Equipment
Any package, can, bottle, bag, barrel, drum, tank, or other device
that contains PCBs or PCB articles and whose surface(s) has been
in direct contact with PCBs.
Any manufactured item, other than a PCB container or a PCB
article container, that contains a PCB article or other PCB
equipment This term includes microwave ovens, electronic
equipment, and fluorescent lights ballasts and fixtures
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PCB Large Capacitor
PCB Small Capacitor
PCB Transformer
A device for accumulating and holding a charge of electricity and
consisting of conducting surfaces separated by 1 36 kg (3 Ib ) or
more dielectric fluid.
A device for accumulating and holding a charge of electricity and
consisting of conducting surfaces separated by less than 1.36 kg (3
Ib) of dielectric fluid.
Any transformer that contains 500 ppm PCBs or greater
GENERAL
APPLICABILITY
(Subpart A)
SO ppm Limit
Operations
Dilution
Part 761 applies to all persons who manufacture, process, distribute
in commerce, use or dispose of PCBs and PCB items
Unless otherwise indicated, the applicability of the PCB regulations
addressed in this section pertain only to PCBs or PCB items in
concentrations equal to or greater than 50 ppm
EPA facilities are not involved in manufacturing or processing
PCBs EPA office facilities may use electrical equipment
containing PCBs. Examples of TSCA-regulated operations
potentially applicable to EPA office facilities include1
Use - Operating and servicing PCB transformers, capacitors, and
other PCB electrical equipment. This also includes performing
Green Lights or other preventive maintenance activities that involve
the removal of fluorescent light ballasts.
Disposal - Facilities designating PCB items, PCB liquids or PCB
solid waste (soils or rags) for disposal. This includes samples and
laboratory waste from PCB analysis that are no longer needed for
enforcement purposes and that will not be returned to the sample
collector
TSCA requirements for marking and disposal become more
stringent with an increase in PCB concentration. EPA facilities
must be aware that the applicability section of TSCA regulations
(761 1 (b)) clearly states that "No provision specifying a PCB
concentration may be avoided as a result of any dilution, unless
otherwise specifically provided"
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EPA office facilities generally should manage all PCB waste
according to the original PCB concentration unless otherwise
directed through Agency policy statements To fulfill this
requirement, facilities should consider tracking PCB concentrations
from the time PCB materials are stored and managed Labeling
waste containers only as "PCBs" does not convey whether the
waste is >50 ppm PCBs or began at such a concentration
Uncertainty could lead to either increased disposal costs as wastes
are managed as regulated (conservatively) or improper disposal of
regulated wastes that began at PCB concentrations >50 ppm
AUTHORIZATIONS
(40 CFR 761 30)
PCB Transformers
Generally, the TSCA regulations prohibit the use of PCBs and PCB
items in any manner other than totally enclosed, however, TSCA
PCB regulations authorize the following uses of PCBs and PCB
items that are not totally enclosed
Registration - All PCB transformers must be registered with local
fire response personnel (761 30 (a)(l)(vi)) The registration must
provide the
Location of the transformer (building address and specific room
or outdoor location)
• Principal constituent of the dielectric fluid
• Name and telephone number of person to contact at the facility
in the event of a fire
-v
Guidance: PCB transformer registration information should be
sent by registered mail to verify compliance with this requirement
(the SHEMP Manager should maintain this verification on file at
the facility).
Quarterly Inspection - Facility personnel must conduct a quarterly
visual inspection of each transformer in use or stored for reuse
This can take place any time during January-March, April-June,
July-September, October-December, as long as there is a minimum
of 30 days between inspections (761 30(a)(l)(ix))
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The following inspection and maintenance information is required
to be maintained at a facility for three years after disposing of the
transformer (761.30(a)(l)(xii)):
• Location
• Date of inspection
• Person performing inspection
• Location of any leaks
• Amount of fluid released from any leak
• Date of any cleanup or maintenance
Description of cleanup or maintenance
Policy: Facilities must prepare a log to record the above required
inspection information. (See Exhibit 4 on the follow ing page.)
Use Conditions - Facilities are prohibited from using or storing
PCB transformers in a manner that poses an exposure risk to food
or feed.
Table 6 outlines the requirements for operating a PCB transformer
located in or near a commercial building (761.30 (ii-v))
Table 6
PCB Transformer Requirements
Requirements for PCB Transformers Located in
or Near Commercial Buildings
Network with Higher Secondary Voltage
Network with Lower Secondary Voltage
Radial with Higher Secondary Voltage
Radial with Lower Secondary Voltage
Prohibited
after
Oct. 1. 1990
X
Electrical
protection for
high current
faults by
Oct 1. 1990
N/A
X
X
X
Electrical
protection for
low current
faults by
Oct 1. 1990
N/A
X
Registered
with building
owners as of
Dec 1. 1985
N/A
X
X
X
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Exhibit 4
PCB Transformer Inspection Log
Facility Address
Transformer Location:
Building Name
Room*
Outdoor Subst.
PCB Transformer/Storage Facility Inspection and Maintenance Log
Date and
Inspector's
Initials
Inspection or
Maintenance
Inspection Results
(Provide volume and
location or leaks)
Describe
Remedial
Action
Describe
Maintenance Action
PCB Capacitors
After October 1, 1988, PCB large capacitors rated at high and low
voltages must be used only within a restricted access electrical
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substation or in a contained and restricted access indoor installation
that also provides containment (761.30(l)(l)(ii)).
MARKING
REQUIREMENTS
(40CFR76140)
PCB Transformers
Means of Access
PCB Large High- and
Low-Voltage Capacitors
Storage Areas
Under TSCA, certain structures, PCB equipment, and PCB
containers require a PCB mark to be placed on them in a prominent
position. The marking requirement identifies PCBs or PCB
equipment to protect emergency response personnel Excessive
marking of items, such as laboratory doors, gas chromatographs, or
refrigerators is inappropriate and defeats the intent of the marking
provisions Facilities are required to place marks on PCB
transformers, PCB large high-voltage capacitors, PCB large low-
voltage capacitors when taken out of service, PCB containers, and*
PCB storage areas as described below
Facilities operating a PCB transformer (dielectric fluid containing
>500 ppm PCBs) are required to place a large PCB mark on the
transformer PCB contaminated transformers (dielectric fluid with
50 to 500 ppm PCBs) do not require the official PCB mark in 40
CFR761 45
Vault doors, machinery room doors, fences or other means of
accessing PCB transformers must be labeled with a PCB mark
Facilities are required to label all large PCB capacitors with a large
PCB mark If the capacitor is protected behind a fence, or is
installed on a power line pole or other structure, this requirement
may be met by marking the fence, structure or pole. The facility
must keep a record in this situation to identify the capacitor
Because of recent Green Lights projects, the requirements for the
disposal of fluorescent light ballasts that qualify as small capacitors
may apply Under the PCB regulations, PCB small capacitors, if
intact, may be disposed of in a non-TSCA management facility In
the interest of environmental protection, EPA recommends that
these types of equipment be managed in a TSCA-approved facility
with a preference toward ballast recycling and recovery operations
Detailed guidance on the management of PCB light ballasts can be
obtained from the joint AEREB and SHEMD memorandum (June
15, 1995) ballast and HID lamp, management
Each storage area used to store PCBs and PCB items for disposal
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must be designated with a PCB mark
PCB Containers AJ1 containers holding PCBs in concentrations >50 ppm, whether in
storage for disposal or while being collected in the laboratory,
require the large PCB mark
If in any of the above situations a large PCB mark is required, but
there is inadequate space to accommodate the mark, a small mark
may be used in its place.
PCB DISPOSAL
(761 60)
Exhibit 5 on the next page outlines the PCB disposal options under
TSCA, taking into account land disposal restrictions under RCRA
STORAGE FOR
DISPOSAL
(40CFR761 65)
Acceptable Containers
PCBs or PCB items designated for disposal must immediately be
placed in an appropriate DOT specification container and
transferred to proper storage to await disposal The date on which
the PCBs or PCB items were taken out of service must be marked
on the PCB article or container. The facility must remove the
article or container and properly ensure its disposal within one year
from the date it was placed into storage for disposal For example,
a PCB transformer placed into storage for disposal on June 1 would
have to be incinerated by June 1 of the following year Although
the PCB regulations provide a total of one year to dispose of PCB
wastes, the generator of PCB waste, according to TSCA
Compliance Policy 6-PCB-6, must allow the disposal facility 90
days in which to dispose of the waste before the one-year deadline
occurs
While in storage for disposal, or 30-day temporary storage, PCBs
and PCB items must be placed in proper containers DOT-
approved containers for the management of PCB wastes are
identified in 49 CFR 173.202 and 204 A detailed list of DOT-
specification containers that may be used to store PCB wastes prior
to disposal is provided in Exhibit 6 on the page following Exhibit 5.
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PCB Disposal Options
PCB DISPOSAL OPTIONS FOR EPA OFFICES
PCB Category with CFR section
PCB Transformers -> 500 ppm
1 Undrained
(761 60 (b)(1)(i)(A))
2 Drained & solvent flushed
PCB Contaminated Transformers and other
contaminated electrical equip -50-500 ppm
1 Drained
(761 60 (b)(5)(i)(B))
PCB Large Capacitors -> 3 Ibs
dielectric fluid at >500 ppm
(761 60(b)(2)(ni)(A))
PCB Small Capacitors -<3 Ibs
dielectric fid (761 60 (b)(2)(ii))
Mineral oil dielectric fluid from PCB contaminated
electric equipment
-50-500 ppm
Liquids other than mineral oil with
50-500 ppm (761 50(a)(3»
1 Flash point <60° C (ignitabte hazardous
waste)
2 Flash point >60° C (ignitable hazardous
waste)
3 Flash point >60° C (Does not meet
hazardous waste definition)
Non liquid PCBs - sod, rags or other debns
>50 ppm (761 60)
1 Does not meet definition of hazardous waste
2 <1000 ppm PCBs and meets the definition
of hazardous waste
3 » 1000 ppm PCBs and meets the definition
of hazardous waste
All other PCBs with > 50 ppm
(761.60(a)(1»
TSCA
Incinerator
(761 70)
X
X
X
X
X
X
X
X
X
X
High Efficiency
Boiler
(761 60(a))
X
X
Che meal
Waste LandfiD
(76175)
X
X
X
X
X
Alternative
method
(761 60(e))
X
X
X
X
Solid Waste
Dsposal
X
X
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Exhibit 6
Department of Transportation Specification Containers
for PCB Waste Storage
Non-Bulk Packaging
for PCB Liquids
Non-Bulk Packaging
for PCB Solids
Steel drum. 1A1 or1A2
Aluminum drum: 1B1 or 1B2
Metal drum other than steel or aluminum:
1N1 or1N2
Plastic drum: 1H1 or1H2
Fiber drum: 1G (with liner)
Wooden barrel: 2C1
Steel jerrican: 3A1 or 3A2
Plastic jerrican: 3H1 or3H2
Plastic receptacle in steel, aluminum, fiber
or plastic drum 6HA1, 6HB1, 6HG1 or
6HH
Plastic receptacle in steel, aluminum,
wooden, plywood or fiberboard box 6HA2,
6HB2, 6HC, 6HD2 or6HG2
Steel drum: 1A1or1A2
Aluminum drum: 1B1 or1B2
Plywood drum: 1D
Plastic drum: 1H1 or1H2
Fiber drum: 1G
Metal drum other than steel or aluminum:
1N1 or1N2
Wooden barrel: 2C1 or 2C2
Steel jerrican- 3A1 or3A2
Plastic jerrican- 3H1or3H2
Steel box: 4A1
Steel box with liner: 4A2
Aluminum box: 4B1
Aluminum box with liner: 4B2
Natural wood box: 4C1
Natural wood box, sift proof: 4C2
Plywood box: 40
Reconstituted wood box: 4F
Fiberboard box: 4G
Expanded plastic box: 4H1
Solid plastic box- 4H2
Plastic receptacle in steel, aluminum, fiber
or plastic drum. 6HA1, 6HB1, 6HG1 or
6HH
Plastic receptacle in steel, aluminum,
wooden, plywood or fiberboard box: 6HA2,
6HB2, 6HC,6HD2or6HG2
Storage Facility
A facility used to store PCBs and PCB items designated for
disposal must meet the following requirements
• Adequate roof and walls to prevent rain water from reaching
the stored PCBs and PCB items
• Adequate floor with continuous curbing at least six inches high
The containment volume must be equivalent to twice the
internal volume of the largest PCB article or container, or 25
percent of the total internal volume of all PCB articles or
.containers in storage, whichever is greater
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Temporary Storage For
Disposal
(40CFR761 65(c))
• No drain valves, floor drains, expansion joints or any other
openings that would allow liquids to flow from the curbed area
• Floors and curbing constructed of smooth and impervious
materials, such as Portland cement
• Be located above the 100-year floodplain (This inform ad on
can be obtained through local county surveyor offices)
The regulations allow certain PCBs and PCB items to be stored for
up to 30 days in a temporary storage area that meets fewer
requirements than those for storage for disposal The following
items may be stored temporarily as long as each item is marked
with the date it was removed from service
• Non-leaking PCB articles and equipment
Leaking PCB articles and equipment, provided that the items
are placed in a non-leaking container with sufficient absorbent
material to absorb any PCB liquid
PCB containers holding nonliquid PCBs in the form of soils,
rags, and so forth
• PCB containers holding liquid PCBs at a concentration from SO
to 500 ppm, provided an SPCC plan has been prepared for the
area in accordance with 40 CFR Part 112 if any containers
exceed 110 gallons
• Non-leaking PCB large high-voltage capacitors and PCB-
contaminated electrical equipment that have not been drained
when on pallets next to a proper storage facility. This only is
allowed when the unfilled storage space within the facility is
equivalent to 10 percent of the total internal volume of all of the
equipment stored outside of the facility
RECORDKEEPING
(40 CFR 761 180)
Facilities must prepare and maintain on file a written annual
document log covering PCB use, storage, and disposal at the
facility during the calendar year (January-December), if during the
year they used or stored at one time:
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• A PCB transformer, or
• SO or more large capacitors, or
• 45 kilograms (99 4 Ib ) of PCBs in PCB containers
If facilities meet any of the previous criteria for transformers,
capacitors, or containers with PCBs, they must develop and
maintain records on the disposition of all PCBs and PCB items at
the facility These records are used to compile the annual
document log that must be completed by July 1 of the following
year There is no requirement for the submission of an annual
document log to any TSCA representative; TSCA requires that
facilities maintain the document on file at the facility The records •
and documents contributing to the annual document log must be
maintained for a period of three years after the facility stops using
or storing PCB items in the regulated quantities
The annual records include
• All signed manifests
All certificates of disposal
Information required for the annual document log varies depending
on what types of PCBs are on-site at the end of the calendar year or
were shipped off-site for disposal during the calendar year Exhibit
13-03 from the TSCA chapter provides a data collection construct
that can be used for the PCB Annual Document Log.
Guidance: EPA facility representatives are encouraged to create
a central file for all PCB records. Even though certain provisions
in the regulations allow facilities to dispose of records after a
period of time, SHEMD is recommending that EPA facilities retain
these records indefinitely. Besides records for the annual
document log, the PCB regulations necessitate the development of
the follow ing types of documentation to demonstrate compliance
with PCB management standards:
• Records of quarterly visual inspection and related maintenance
information of PCB transformers (refer to 761.30)
• Records of PCB transformer registration with local fire
response personnel (refer to 761.30)
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EPA Identification
Numbers
(40 CFR 761 202)
Notification of Waste
Activity
(40 CFR 761205)
• Records of monthly visual inspection of the PCB storage for
disposal area (refer to 761.65)
• Records of weekly visual inspections of the temporary or
interim PCB storage for disposal area (refer to 761.65).
Upon receipt of the notification form (refer to 761 20S), EPA will
assign a unique PCB identification number to each facility
Facilities that already possess a RCRA identification number will
receive that number as their PCB identification number
Facilities generating (and storing in long-term storage for disposal
areas), transporting, or disposing of PCB waste must notify EPA of
these activities using EPA Form 7710-53 Facilities engaged in
PCB waste handling prior to February 5, 1990, were required to
notify EPA by April 4, 1990 Facilities beginning such PCB
handling after February 5, 1990, must notify EPA prior to engaging
in PCB waste handling.
Facilities that generate and ship PCB waste off-site must complete a
uniform hazardous waste manifest for that material using EPA
Form 8700-22 Generators should acquire manifests from the state
to which the waste is being shipped (consignment state). If this is
not possible, they may acquire manifests from their state hazardous
waste officials. If manifests are not available from either source,
they may obtain copies of the manifests from commercial printers
Facilities are required to maintain signed manifests for three years
from the date the PCB waste was accepted by the initial
transporter
Guidance: SHEMP Managers should consider retaining PCB
waste manifests and related Certificates of Disposal (CDs) for
longer than the three-year mandatory time period to document
compliance with PCB management standards. Additionally, an
extended retention period is useful for documenting the quantity
and type of PCB wastes that are sent for off-site treatment and
disposal in the event that a potentially responsible party search is
conducted under the Comprehensive Environmental Response,
Compensation and Liability Act (CERCLA). Accordingly, EPA
facilities should retain PCB manifests and CDs for five years, at a
minimum.
Manifests
(40 CFR 761 207)
Retention of Manifests
(40 CFR 761209)
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Exception Reports and
Certificates of Disposal
(40 CFR 761 215 and
218)
As with hazardous waste, generators are required to contact the
transporter and/or the disposal facility if a signed manifest is not
returned within 35 days After 45 days, the generator is required to
submit an exception report to the EPA Regional Administrator
The report must include a copy of the manifest and a letter
indicating efforts taken to secure a signed copy.
For any regulated PCB waste, disposal facilities must return a CD
within 30 days of disposal indicating how and when the waste was
disposed. For PCBs sent for disposal within nine months of being
taken out of service, the CD must be received within 13 months
after the PCBs were taken out of service If the CD is not received
within 13 months, or if it indicates that the waste was disposed
beyond one year from the date the waste was removed from
service, a one-year exception report must be filed This report must
include a copy of the manifest, the date the PCBs were removed
from service, the date they were transferred off-site, the identities
of all parties handling the PCBs after leaving the facility, and any
information as to why disposal did not occur within the allotted
time
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Section 16-10
Pesticides Management
INTRODUCTION
This section provides policy, guidance, information, and procedures
to EPA office facilities for complying with federal, state, and local
regulations on pesticides management
PESTICIDE
REGISTRATION AND
CLASSIFICATION
PROCEDURES
Pesticide products containing the active ingredients listed in the
SHEM Guidelines, Chapter 8, Federal Insecticide, Fungicide, and
Rodenticide Act (FIPRA), Exhibit 1, have been classified for
restricted use and are limited to use by or under the direct
supervision of a certified applicator
Guidance: EPA contract personnel should ensure that all pesticide
service contracts specify the appropriate training and certification
requirements for the pesticide applicators.
Certified applicators supporting EPA office facilities most likely
fall into the category of industrial, institutional, structural, and
health related pest control. Training for these applicators
includes:
• Practical knowledge of a wide variety of pests, including their
life cycles, types of formulations appropriate for their control
and methods of application that avoid contammatiotLoffood,
damage and contamination of habitat, and exposure of people
andpets.
• Practical knowledge of specific factors which may lead to a
hazardous condition, including continuous exposure in the
various situations encountered in this category.
• Practical knowledge of the environmental conditions related to
this particular activity.
EPA contract personnel also should require that certified
applicators provide a list of all pesticides to be used at the EPA
office, the corresponding material safety data sheet (MSDS)for
each pesticide, and a current list of references.
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DISPOSAL AND
STORAGE Of
PESTICIDES
This section provides policy, guidance, information, and procedures
for complying with federal, state, and local regulations on the
proper disposal and storage of pesticides and containers
Procedures Not
Recommended
Storage of Pesticides and
Containers
(165 10)
[165 10 (c)]
Operational Procedures
[165 10 (d)]
EPA office facilities should ensure that persons do not dispose of
(or receive for disposal or storage) or store pesticides, pesticide
containers, or pesticide container residue in a manner which
• Is inconsistent with the manufacturer's product label
• Involves open dumping or open burning on land (unless allowed
by state or local regulations)
Involves discharge POTWs or navigable waters regulated by the
CWA, unless the discharge is covered by, and in compliance
with, applicable pretreatment standards or a NPDES permit
• Violates any applicable state or federal pollution control
standard.
Additional guidance regarding the disposal of pesticides can be
obtained by referencing the FIFRA chapter of the SHEM
Guidelines
These guidelines are applicable only to those pesticides classified as
highly toxic or moderately toxic and whose labels are required to
bear the signal words "Danger", "Poison", or "Warning" or the
skull and crossbones symbol. Home and garden pesticides, and
pesticides classified as slightly toxic, are not covered under these
guidelines. EPA should inventory and monitor its storage facilities
even if pesticide application is completed by contractor
Pesticide storage facilities should be designed in accordance with
the guidelines in Chapter 8 of the EPA Facility Safety, Health and
Environmental Management Manual
Storage areas should be operated to ensure that.
• Containers are stored with labels plainly visible
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Pesticides are segregated by formulation and stored under a
sign with the name of the formulation
Complete inventories with number and identity of containers in
storage are maintained
Containers are inspected regularly for corrosion and leaks, and
absorbent spill materials are available.
CERTIFICATION OF
PESTICIDE
APPLICATORS
(40CFRPart 171)
This part outlines the training and certification requirements for
commercial applicators of restricted use pesticides
Guidance: EPA contract personnel should ensure that all pesticide
service contracts specify the appropriate training and certification
requirements for the pesticide applicators. Office facilities should
maintain documentation on-site verifying that commercial
applicators of pesticides at their facilities are certified by their
state, county or municipality.
Exhibit 7 on the next page provides an example of an on-site log
used for maintaining records of pesticide applicators
INTEGRATED PEST
MANAGEMENT
Integrated pest management (IPM) programs combine chemical,
cultural, and biological practices into one program to manage pest
populations IPM stresses non-chemical control forms of pesticide
management IPM incorporates preventive practices (e g, timely
planting, crop rotation, and surveying fields for pest density),
remedial practices (e g., timely and spot spraying of pesticides only
when required), and economic thresholds (i.e, the point when pests
damage enough crops that growing the crops is uneconomical),
thus reducing the amount of chemicals used by applying pesticides
only when necessary at the minimum effective rate EPA should
work with its pesticide contractors to ensure that they are
employing IPM approaches when servicing EPA office facilities
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Exhibit 7
Sample Pesticide Applicator Record Book
Handler's Certification Expiration Application Area of
George Smith P0483S6793002 12/31/97 9/21/95 Area Surrounding
Integrated Pest Listed below are techniques that will result in an overall reduction
Management Approaches in the quantity of pesticides applied at EPA office facilities
• Identify and monitor pests
Develop a pesticide needs inventory
• Landscape with indigenous plants; this promotes natural pest
resistance
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• Practice soil sampling
• Purchase pesticides in containers with design features that
prevent spilling and leaking through splashing and dripping
• Buy only the amount of pesticide needed
• Use first-in, first-out procedures for storage to avoid shelf-life
issues
• Use less persistent, teachable pesticides (consult EPA's list of
teachable pesticides)
• Use contact pesticides that do not need to be incorporated into
the soil
Do not exceed recommended application rates
• A void excess mixing of pesticides
• Keep applicator equipment properly calibrated to control
pesticide droplet size and deposition
• Add dyes to the pesticides to facilitate uniform application and
monitoring rates
• Select an appropriate pesticide mixing/loading area to reduce
damage to the environment from spills, avoid high runoff areas
• Practice spot application of pesticides
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Section 16-11
National Environmental Policy Act
INTRODUCTION
The purpose of the National Environmental Policy Act (NEPA) is
to ensure that environmental impacts and associated public
concerns are systematically considered in making decisions on
federal actions. NEPA requires an environmental evaluation by
federal agencies prior to the execution of a proposed federal action
which could potentially cause environmental impacts Specific
examples of actions that would require a NEPA review include
construction-related activities, such as new construction, as well as*
improvements or modifications to office or administrative facilities
that could affect the environment.
NEPA establishes the Council on Environmental Quality (CEQ),
which provides guidance to federal agencies on complying with the
statute In executing this task, CEQ promulgated NEPA
regulations 40 CFR 1500-1508 to accurately translate the intent of
the NEPA statute into practical guidance for federal agencies
EPA's implementing regulations for NEPA are codified in 40 CFR
Part 6 AEREB developed the NEPA Review Procedures for EPA
Facilities, and easy-to-use, comprehensive guide that presents the
requirement of 40 CFR Part 6 and EPA implementation procedures.
NEPA REVIEW
PROCESSES
The NEPA regulations identify three basic types of environmental
impact reviews.
• Categorical exclusion (CX)
• Environmental assessment (EA)
• Environmental impact statement (EIS)
A CX, which does not require an EA or an EIS, may be applicable
to actions that have minimal or no effect on environmental quality
and pose no environmentally significant change to existing
conditions If a construction project falls under the CX criteria, it is
exempt from further environmental impact reviews Examples
applicable to EPA office facilities include renovations or facility
modifications that do not entail any sensitive activities, such as
asbestos removal A CX must be documented and maintained as
part of the project file. The NEPA Review Procedures for EPA
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Facilities contains a review form, page 1 of which will suffice as
CX documentation
Actions that may pose an environmental impact, such as the
construction of new facilities or significant renovations to an
existing facility, should be evaluated through an EA The purpose
of an EA is to determine whether or not a proposed action may
significantly affect the environment. If the results of an EA indicate
no significant impact or that significant impacts can be mitigated
effectively, EPA shall issue a finding of no significant impact
(FNSI), which may address measures to mitigate potential
environmental impacts. The NEPA Review Procedures of EPA
Facilities contains instructions and the review form to assist in
preparing an EA and, if appropriate, a FNSI
If a FNSI is not appropriate, an EIS will need to be performed An
EIS is the most extensive level of NEPA analysis As a result, EPA
facility actions requiring the preparation of EISs are typically
limited to larger construction projects that present the greatest
likelihood for potentially significant impacts. There are specific
documentation and regulatory requirements that must be executed
in preparing an EIS The NEPA Review Procedures for EPA
Facilities thoroughly explains these requirements and provides a
review from to assist in determining whether an EIS is required
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Section 16-12
Emergency Planning and Community Right-to-Know Act
INTRODUCTION
EPA offices are required to comply with the Emergency Planning
and Community Right-to-Know Act (EPCRA) if they store, use, or
release certain chemicals EPCRA compliance requires offices to
make its operations public and to improve the ability of local
authorities to respond to emergencies
DEFINITIONS
State Emergency
Response Commission
(SERC)
Local Emergency
Planning Committee
(LEPC)
National Response Center
(NRC)
The following definitions are essential in understanding EPCRA
requirements
The SERC designates emergency planning districts within each
state to facilitate the preparation and implementation of emergency
plans under Section 303
The LEPC reviews the information submitted by facilities under
EPCRA, regarding specific chemicals used at the offices and
develops plan to respond to local chemical releases.
The NRC is the national communication center and is manned
continuously for handling activities related to response actions
The NRC is the single federal point of contact for all pollution
incident reporting through the Emergency Response Notification
System (ERNS) and serves as the National Response Team (NRT)
communications center.
REQUIREMENTS
EPA office facilities should ensure that they comply with the
provisions of EPCRA Sections 301 through 312, all implementing
regulations, and future amendments to these authorities. The
following sections of EPCRA may be applicable to the office-
• Sections 302-302 - Emergency Planning and Notification.
These sections require notifying the SERC and LEPC if the
office has an extremely hazardous substance (EHS) over its
threshold planning quantity (TPQ) at anytime This notification
should be in the form of a letter; no standard form is required
In addition, each office required to complete this notification
must designate an emergency response coordinator who should
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participate in the local emergency planning process. The
coordinator should provide any required information to the
LEPC.
Section 304 - Emergency Release Notification. This section
requires offices that release an EHS or hazardous substance (as
defined in 40 CFR 302.4) in excess of its reportable quantity to
notify the SERC, LEPC, or NRC. The oral notification should
be followed by a written notification. Relevant exemptions
from this reporting include federally permitted releases under
CERCLA Section 101(10), releases that result in exposure only
to persons within the boundaries of the facility under Section
355 40(2)(i) of EPCRA, releases of pesticide product exempt
from CERCLA Section 103(a) reporting under Section 103(e),
and any release not meeting the definition of release under
Section 101 (22) of CERCLA
Sections 311-312 - Hazardous Chemical Inventory Reporting.
This section requires offices that maintain MSDSs for a
chemical, mixture, or product on-site at a quantity above
10,000 pounds or its TPQ if the chemical is an EHS, to supply
the MSDSs or a list of the chemicals and a Tier I inventory
form to the SERC, LEPC, an local fire department Some
offices may be requested to file a business plan or Tier n form
with additional information.
EXAMPLES OF EPCRA
REPORTING
EPA offices should require little EPCRA reporting since most
offices will not exceed the established thresholds Possible
examples of chemicals that may exceed the thresholds are listed in
Table 7
Table 7
Examples of EPCRA Chemicals
EPCRA Section
Section 302
Section 304
Section 311-312
Example Chemical
Chlorine used in water treatment processes
Large spill of print shop chemicals
Fuel contained in USTs is an example of
chemicals that may exceed the threshold
quantities of 10.000 pounds.
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Section 16-13
Pollution Prevention
INTRODUCTION
As defined in the Pollution Prevention Act of 1990, pollution
prevention means "any practice which reduces the amount of a
hazardous substance, pollutant, or contaminant entering any waste
stream or otherwise released into the environment (including
fugitive emissions) prior to recycling, treatment, or disposal, and
any practice which reduces the hazards to the public health and the
environment associated with the release of such substances,
pollutants or contaminants."
EXECUTIVE ORDER
12856
Objectives
Executive Order 12856, Federal Compliance with Right-to-Know
Laws and Pollution Prevention Requirements, requires federal
facilities to lead by example in applying pollution prevention to
daily operations, purchasing decisions, and policies to facilitate the
protection of human health and the environment
Guidance: EPA offices should develop a pollution prevention
program designed to reduce releases and off-site transfers of toxic
pollutants or hazardous materials to ensure compliance with the
requirements of the executive order.
The following requirements of the executive order are applicable to
EPA's office facilities' —
• Voluntary Reduction Goals - The executive order requires each
federal agency to reduce its total releases and transfers of toxic
chemicals or pollutants by 50% by 1999 EPA offices should
contribute to this goal
• Procurement - Each agency should develop a plan and goals to
reduce or eliminate its procurement of EHS or toxic chemicals
EPA offices should contribute to the overall Agency goal of
reducing toxic pollutants
• Planning - Each EPCRA covered facility should develop a
pollution prevention plan EPA requires all facilities to develop
pollution prevention plans.
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SOURCE REDUCTION
EPA further defines pollution prevention as source reduction and
other practices that reduce the amount of pollutants entering a
waste stream prior to out-of-process recycling, treatment, or
disposal. It includes improvements such as materials substitution,
in-process recycling, equipment modification, and housekeeping
improvements.
Materials Substitution
Process Modifications
EPA employees should attempt to use office products and cleaning
supplies that contain the least hazardous or toxic ingredients
possible Examples of substitutions that emphasize the use of low
hazard products include
Painting office spaces with latex paint and low VOC paint
where possible
• Using citrus-based degreasers instead of chlorinated solvents
Replacing office chillers containing CFCs with chillers
containing non or less ozone-depleting substances, such as
HFC-134aorHCFC 123
Purchasing white-out and markers without chlorinated solvents
Purchasing low VOC glues and adhesives or non-chlorinated
glues and adhesives.
EPA offices should modify processes or implement new processes
to minimize the amount of pollutants entering its waste stream
Table 8 on the next page provides suggestions for process changes
in standard office operations
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Table 8
Process Modifications
Office Operation
Process Modification
Graphics/Photo
Processing/Printing
Producing high-quality images using electronic methods
instead of wet-chemical processing methods
Implementing silver recovery systems on photographic
processors
Using soy-based inks in the printing process
Office Practices
Encouraging the use of electronic communication such as
e-mail in place of hard-copy memorandum, document
distribution, etc.
Encouraging double-sided copying
Transportation
Encouraging the use of telephone- or video conferencing to
reduce travel to meetings
Providing preferred parking places for car pools
Providing showers for bicycle nders
ENERGY AND WATER
CONSERVATION
Energy Efficiency
Water Conservation
Pollution prevention also includes energy and water conservation
practices that protect natural resources EPA offices should
implement these conservation practices where possible
EPA office facilities should encourage conservation practices and
ensure that building repairs and modifications use the following
energy-efficient practices where possible
• Replace air conditioning equipment with high-efficiency chillers
Encourage employees to turn off* lights when not in use
Install upgrade insulation
• Install programmable thermostats
• Install direct digital control for HVAC control
• Design facility additions so that natural lighting and heating and
cooling equipment are optimized
EPA office facilities should encourage conservation practices and
ensure that building repairs and modifications use the following
water conservation practices and where possible
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• Encourage employees to turn off faucets after use and report
leaking faucets to maintenance
• Install low-flow faucets with repairs and new washroom/kitchen
facilities
• Landscape with indigenous plants to decrease the need for
watering
AFFIRMATIVE
PROCUREMENT
Procuring Recovered
Content Materials
Environmentally
Preferable Products
Executive Order 12856 requires each federal agency to establish a
plan and goals for eliminating or reducing the unnecessary
acquisition of products containing EHSs or toxic chemicals. EPA
offices should reduce their acquisition of these products
EPA office facilities should consult EPA's Recovered Material
Advisory Notice (RMAN) guidance and Comprehensive
Procurement Guideline (CPG) to determine the appropriate
recycled content of certain materials including
Construction products including structural fiberboard,
laminated paperboard, carpet, and floor tiles
• Landscaping products including hydraulic mulch and yard
trimmings compost
• Nonpaper office products including office recycling containers,
office waste receptacles, toner cartridges, binders, and plastic
trash bags
EPA office facilities also should consult the environmentally
preferable catalogs such as the General Services Administration's
Environmental Products Guide. Additional information and
guidance regarding the selection of environmentally preferred
products can be obtained by consulting the references included in
Exhibit 8 of this chapter.
EPA office facilities should incorporate EPA's seven guiding
principles (Table 9) for purchasing environmentally preferable
products
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EPA office facilities should encourage the procurement of
environmentally preferred products such as Energy Star computers,
office equipment, and nonhazardous biodegradable cleaners
Table 9
Seven Guiding Principles For Environmentally Preferable Products
Principle
Pollution Prevention
Multiple Attributes
Life-cycle Perspective
Magnitude of Impact
Local Conditions
Competition
Product Attribute Claims
Objective
Consideration of environmental preferability should begin
early in the acquisition process and be rooted in the ethic
of pollution prevention that strives to eliminate or reduce,
up front, potential risks to human health and the
environment.
A product or service's environmental preferability is a
function of multiple environmental attributes.
Environmental preferability should reflect life-cycle
considerations of products and services to the extent
feasible.
Environmental preferability should consider the scale
(global versus local) and temporal aspects (reversibility)
of the impacts.
Environmental preferability should be tailored to local
conditions where appropriate.
Environmental attributes of products or services should
be an important factor or subfactor in competition among
vendors, when appropriate.
Agencies need to examine product attribute claims
carefully.
MATERIAL
RECYCLING
Recycling Practices
Executive Order 12873 Federal Acquisition, Recycling, and Waste
Prevention, directs EPA to purchase recycled and environmentally
preferable products and services
EPA offices should implement a comprehensive recycling program
Offices that share buildings should initiate a recycling program for
the building or participate in existing programs. Examples of
rec.-cling practices that EPA can participate in are-
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• Recycling of aluminum, glass, paper, toner cartridges, floppy
disks, cardboard
• Purchasing products that contain less packaging material, allow
the reuse of the packaging material, or that the vendor will
accept for reuse
Recycling of used cooking oil from cafeterias
• Composting of yard and cafeteria waste
Exhibit 8 provides additional pollution prevention references,
program contacts, and hotlines to supplement the information
contained in this section.
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Exhibit 8
Pollution Prevention Hotlines and Other Resources
Green Lights Program
1850 K Street. NW Suite 290
Washington. DC 20006
Solid Waste Assistance Program
PO Box 7219
8750 Georgia Avenue
Silver Spring, MD 20907
(800) 677-9424
Fax (301) 585-0297
RCRA/Superfund/UST Hotline
1725 Jefferson Davis Highway
Arlington, VA 22202
(703)412-9877
(800) 553-0202
(800) 553-7672
National Response Center
US Coast Guard Headquarters
2100 Second Street, SW
Room 2611
Washington, DC 20593
TSCA Hotline (Design for the Environment
and 33/50)
(202) 554-1404
Stratospheric Ozone Information Hotline
501 3rd Street
Washington. DC 20001
The 33/50 Program
US Environmental Protection Agency
(Mail Code 7408)
401 M Street. SW
(202) 260-6907
Fax (202) 260-1764
Pollution Prevention Information Clearinghouse
US Environmental Protection Agency
401 M Street, SW
Washington. DC 20460
(202)260-1023
Fax (202) 260-0178
Pollution Prevention Information Exchange
System
7600-A Leesburg Pike
Room 369
Falls Church, VA 22034
(703)821-4800
Pollution Prevention
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APPENDIX A
Model Office/Facility Environmental Program
Appendix A
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Revised Draft Appendix A—Model Office/Facility Environmental Program
Attachment 1
Office/Facility CEMP Self-Assessment Matrix
Principle 1: Management Commitment
Level
Finish
1
5
1
4
1
3
1
2
1
1
START
1.1 Obtain Management Support
Policy Develooment
Office/facility communicates its policy externally to
regulatory authorities, other agencies, and other
stakeholders
Office/facility develops final policy and communicates it
Internally
Office/facility develops draft policy and circulates it for
review and comment
Office/facility evaluates environmental concerns of key
stakeholders
• Develop goals and priorities
• Communicate with stakeholders
Office/facility evaluates its mission in environmental
terms
• Prepare Mission/Vision statements
System Intearation
All office/facility decisions consider environmental
criteria when appropriate, program thoroughly integrated
• Assume leadership through outreach
More than 50% of office/facility decisions consider
environmental criteria, program integrated through 75%
of office/facility
• Encourage teaming across divisions
Environmental criteria are incorporated into employee
performance standards as appropriate, program
integrated through 50% of office/facility, criteria for
environmental decision-making developed
• Review responsibilities
Environmental criteria are incorporated into affected
managerial performance standards, program integrated
through 25% office/facility, starting with activities most
affected
• Conduct organizational review
• Assign management responsibilities
• Include performance criteria
« Coordinate and review budget
Environmental program is communicated throughout
office/facility, environmental groups and their missions
defined and communicated
• Identify liabilities and nsks
• Provide awareness training
1.2 Environmental Stewardshlo
All office/facility decisions include appropriate
environmental criteria to minimize impact
• Consider environmental impacts
• Participate in hearings and other activities
Office/facility develops procedures to evaluate
environmental impacts of future activities
Introduce design for environment concepts
Provide outside speakers
Sponsor outside activities
Conduct "open house" for community
Demonstrate commitment
Office/facility identifies alternatives to high-impact
activities
» Encourage environmental action plans
• Provide "brown bag" speakers
• Create promotional items
Office/facility Implements awareness programs to inform
employees and stakeholders
• Provide orientation
Office/facility evaluates environmental impacts of Its
activities
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Revised Draft Appendix A—Model Office/Facility Environmental Program
Attachment 1 Continued
Office/Facility CEMP Self-Assessment Matrix
Principle 2: Compliance Assurance and Pollution Prevention
Level
2.1 Compliance Assurance
2.2 Emergency Preparedness
2.3 Pollution Prevention and Resource
Conservation
Finish
I
5
Full office/facility compliance is sustainable, contractors
are included within the compliance program
« Set "beyond compliance" performance goals
• Evaluate contractor performance
• Introduce risk assessment
All office/facility are trained in emergency response
procedures, lull-scale exercises are conducted at least
annually
Program maintained throughout the office/facility.
reductions in waste generation achieved
Office/facility develops proactive and cooperative
relations with regulators, non-compliance situations
reduced significantly
• Employee reporting encouraged
• Regular contact with regulators
• Procedures to elevate issues to upper
management
• Pollution prevention Is primary management
approach
Office/facility implements medical monitoring for
environmental program personnel, as appropriate, and
inspects facilities periodically
« Conduct in-house medical monitoring, where
appropriate
Office/facility encourages reduced use of resources and
identifies individuals contributing to the success of the
program, process improvements implemented
• Affirmative procurement program
• Life-cycle analysis
• Design for environment
• Product stewardship
Office/facility fully implements compliance program,
develops a program to track relevant legislation and
regulations, and sees improved performance
» Track regulatory initiatives
• Address non-compliance conditions
t Track corrective action progress
t Implement environmental record-keeping system
• Identify problems and prevent non-compliance
incidents
• Establish compliance management system that is
mteorated with EMS
Office/facility emergency response teams are trained
and penodic drills are conducted
« Establish emergency response team
• Tram Emergency Response Team and other
personnel
« Conduct regular exercises
• Identify emergency resources
Office/facility develops goals, implements empbyee
suggestion procedures, and identifies alternative to
major generators
• Toxic materials reductions
• Water conservation program
• 'Repair or Replace" program
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Revised Draft Appendix A—Model Office/Facility Environmental Program
Attachment 1 Continued
Office/Facility CEMP Self-Assessment Matrix
Principle 2: Compliance Assurance and Pollution Prevention
Level
1
2
1
1
START
2.1 Compliance Assurance
Office/facility communicates with regulatory authorities,
develops procedures to address compliance situations,
and distributes them throughout the office/facility
» Introduce compliance group
t Develop compliance guidance
• Coordinate with regulators
• Communicate information on regulations and
permits
Office/facility compliance group evaluates office/facility
activities and compliance history
• Develop compliance group
• Review office/facility activities
• Assess compliance baseline
2.2 Emergency Preparedness
Office/facility develops procedures to address
emergency response, distributes them throughout the
office/facility
• Response procedures
» Disaster preparedness plan
• Hazard mitigation measures
• Preventative maintenance program
• Coordination with authorities
• Communication plan
Office/facility emergency response group evaluates its
activities and vulnerability to natural disaster and
accidents
• Identify hazards at office/facility
2.3 Pollution Prevention and Resource
Conservation
Office/facility communicates pollution prevention
commitment to all personnel and begins recycling
programs (paper, aluminum, glass)
• Energy conservation program
• Recycling program
• Reuse of matenals encouraged
Office/facility evaluates its waste generation profile and
identifies major points of generation
• Pollution prevention program emphasizes source
reduction
-------
Revised Draft Appendix A—Model Office/Facility Environmental Program
Attachment 1 Continued
Office/Facility CEMP Self-Assessment Matrix
Principle 3: Enabling Systems
Level
3.1 Training
3.2 Structural Supports
3.3 Information Management,
Communication, Documentation
Finish
I
5
100% of office/facility fully trained, refresher training
provided, computer-based and distance learning
employed when appropriate, training program
continually evaluated
• Obtain feedback on training
• Investigate alternative training methods
Procedures are fully implemented and reviewed
periodically
• Conduct periodic review of procedures to ensure
currency
Office/facility maintains effective communications,
applies environmental information to decision-making,
and maintains thorough records
• Uses EMS data in decision-making
75% of office/facility fully trained, refresher training
developed and available, where appropriate, continuing
education encouraged
• Establish refresher training
• Encourage continuing education
Office/facility implements procedures and begins
training of all staff, as appropriate
• Pursue integration of environmental program
throughout office/facility
Office/facility develops procedures for use of
information, provides avenues for employee input, and
has a well-maintained records center
• Use electronic networks
» Assure validity of environmental data
• Secure data-handling procedures
« Establish employee reporting system
« Encourage employee input
60% of office/facility fully trained, system to track
fulfillment of training requirements developed and
implemented
• Establish in-house group to track training program
Office/facility disseminates procedures throughout to
raise awareness of issues, Implementing staff is trained
• Encourage input from personnel
Office/faalrty communicates with regulators and
stakeholders and develops information gathering,
manipulation, and management procedures
Evaluate new IM projects
Establish Resource Center
Provide regular status updates
Communicate with other organizations
Develop public outreach program
Communicate with stakeholders
Develop distribution network
« Establish QA and security procedures
-------
Revised Draft Appendix A—Model Office/Facility Environmental Program
Attachment 1 Continued
Office/Facility CEMP Self-Assessment Matrix
Principle 3: Enabling Systems
Level
3.1 Training
3.2 Structural Supports
3.3 Information Management,
Communication, Documentation
Office/facility training group identifies available outside
training and develops In-house training where
necessary. 20% of office/facility fully trained
• Identity job-specific requirements
» Evaluate outside vs In-house training
« Tram-the-trainers, as necessary
Office/facility develops or revises procedures to address
activities identified as having environmental aspects
« Eliminate or revise procedures found to be barriers
Office/facility develops Internal communications and
information management infrastructure, and document
control procedures
• Ensure compatibility
• Develop environmental IM procedures
• Identify key records/documents
• Develop in-house communication
• Enable working relationships
• Report completion procedures
« Maintain MSDSs. etc
START
Office/facility training group identifies environmental
training needs and where training is available
• Develop "Core Curriculum"
Office/facility identifies and evaluates existing
procedures and activities that have environmental
aspects
• Review office/facility documentation
Office/facility identifies lines of communication,
information needs, documentation procedures
Assign managerial responsibility
Create in-house IM group
Review current capabilities
Define lines of communication
Assign environmental POCs
Develon centralized lilinn system
-------
Revised Draft Appendix A—Model Office/Facility Environmental Program
Attachment 1 Continued
Office/Facility CEMP Self-Assessment Matrix
Principle 4: Performance and Accountability
Level
Finish
1
5
1
4
1
3
1
2
1
\
START
4 1 Responsibility Authority Accountability
Assignment of environmental responsibilities is reviewed periodically in
light of performance
Personnel are provided avenues to provide input and employees are
held accountable for environmental performance
• Develop employee input/concerns program
All employees assigned environmental responsibilities are given
appropriate authority and training
• Issue clear statements of environmental responsibility
* Prepare process to address authority conflict
* Develop policy on accountability
Managers assigned environmental responsibilities are given training and
authority to meet those responsibilities
• Issue statements of defining authority
Office/facility identifies personnel with responsibility for environmental
performance
4.2 Employee Performance Standards
Office/facility develops a program to recognize and reward personnel that
carry out environmental responsibilities exceptionally well, appropriate
disciplinary mechanisms also in place
• Prepare program for reward or recognize honorees
• Prepare disciplinary mechanisms to address non-conformance with
agency-level and office/facility policy or procedures
Personnel are evaluated based on environmental aspects of their
performance standards
• Develop procedures for evaluating performance
Affected employees have environmental responsibilities clearly stated in
performance standards
Managers have environmental responsibilities clearly stated in
performance standards
• Develop employee evaluation standards
• Publicize standards and solicit input from agency/office facility
Office/facility identifies personnel with responsibility for environmental
performance
• Identify ornan.7at.onal nerfarmance ooals
-------
Revised Draft Appendix A—Model Office/Facility Environmental Program
Attachment 1 Continued
Office/Facility CEMP Self-Assessment Matrix
Principle 5: Measurement and Improvement
Level
5.1 Evaluate Performance
Gather/Analyze Data
Institute Benchmarking
5.2 Continuous Improvement
Finish
I
5
Data -gathering is continuous process, gaps in
performance are identified and analyses conducted to
identify their root cause(s)
Office/facility maintains ongoing "benchmarking cycles,"
office/facility becomes a target for benchmarking by
others
• Explore possibility of mentoring other organizations
Office/facility shows significant improvement in
addressing substandard performance situations and
aggressively seeks to compare its performance to
others
• Review other management approaches for
applicability
I
4
Periodic evaluations of operations and data-gathering
procedures are conducted to assess performance
» Include system measurement in review and
improvement process
Office/facility identifies and implements improvements
based on evaluation of other organization
• Develop methods to apply results of benchmarking
and pursue further involvement
Office/facility fully implements periodic reviews of
systems and performance and seeks out additional
opportunities for improvement
• Develop methods to apply results of benchmarking
and pursue other further involvement
• Conduct review of procedures
» Review and report improvements
Data-gathenng and processing procedures are
implemented throughout the office/facility
• Identify independent audit group
« Develop procedures to manage and use
information from audits
Office/facility evaluates performance of target
organization through sharing of information (e g , site
visit) for comparison with its own
Office/ facility implements employee-Involvement
measures, such as newsletters and lessons learned, to
solicit input on improving performance
• Develop lessons learned program
• Encourage employee suggestions
« Work to include Improvements in next planning
cycle
Office/facility develops procedures for gathering
appropriate data and communicates them to
management
• Define assessment parameters
• Develop QA objectives
Office/facility identifies other organizations with similar
activities and/or exceptional performance and initiates
contact with them
• Develop program of companson to other
organizations
Office/facility develops procedure to address preventive
and corrective action situations and communicates
them to management
• Develop procedures to identify root causes
• Develop program of companson to other
organizations
START
Office/facility identifies performance indicators, data
needs, and standards of companson
• Develop and report on performance indicators
* Develop internal audit program
Office/facility evaluates its activities and sets goals for
environmental performance
• Evaluate most useful benchmarking areas
Office/facility evaluates performance to identify areas
needing improvement
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Safety, Health, and Environmental May 1998
Management Guidelines
Office Compliance Issues
APPENDIX B
List or Acronyms
Appendix B
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Safety, Health, and Environmental
Management Guidelines
May 1998
Office Compliance Issues
Appendix B
List of Acronyms
AEREB Architecture, Engineering and Real Estate Branch
API American Petroleum Institute
ASHRAE American Society of Heating, Refrigeration and Air Conditioning Engineers
BOD Biological Oxygen Demand
CAA Clean Air Act
CAAA Clean Air Act Amendments
CD Certificate of Disposal
CESQG Conditionally Exempt Small Quantity Generator
CFC Chlorofluorocarbon
CPG Comprehensive Procurement Guideline
CWA Clean Water Act
CX Categorical Exclusion
DMR Discharge Monitoring Reports
DOT Department of Transportation
EA Environmental Assessment
EHS Extremely Hazardous Substance
EIS Environmental Impact Statement
EP Extraction Procedure
EPA Environmental Protection Agency
EPCRA Emergency Planning and Community Right-to-Know Act
ERNS Emergency Response Notification System
FIFRA Federal Insecticide, Fungicide and Rodenticide Act
FNSI Finding of No Significant Impact
FR Federal Register
HAP Hazardous Air Pollutant
HCFC Hydrochlorofluorocarbon
HID High-Intensity Discharge
HSWA Hazardous and Solid Waste Amendments
HVAC Heating, Ventilation and Air Conditioning
IAQ Indoor Air Quality
IPM Integrated Pest Management
LDR Land Disposal Restriction
LEPC Local Emergency Planning Committee
LQG Large Quantity Generator
MACT Maximum Achievable Control Technology
MCL Maximum Contaminant Level
MCLG Maximum Contaminant Level Goals
MSDS Material Safety Data Sheet
Appendix B
B-l
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Office Compliance Issues
NAAQS National Ambient Air Quality Standards
NEPA National Environmental Policy Act
NESHAP National Emission Standards for Hazardous Air Pollutants
NFPA National Fire Protection Association
NPDES National Pollutant Discharge Elimination System
NPDWR National Primary Drinking Water Regulations
NRC Nuclear Regulatory Commission
NRC National Response Center
NRT National Response Team
NSPS New Source Performance Standards
PCS Polychlorinated Biphenyl
POTW Publicly Owned Treatment Works
RCRA Resource Conservation and Recovery Act
RMAN Recovered Material Advisory Notice
SDWA Safe Drinking Water Act
SERC State Emergency Response Commission
SHEM Safety, Health and Environmental Management
SHEMD Safety, Health and Environmental Management Division
SHEMP Safety, Health and Environmental Management Program
SIP State Implementation Plan
SIU Significant Industrial Users
SMCL Secondary MCL
SNAP Significant New Alternatives Policy
SPCC Spill Prevention, Control, and Countermeasure
SQG Small Quantity Generator
TC Toxicity Characteristic
TCLP Toxicity Characteristic Leaching Procedure
TPQ Threshold Planning Quantity
TSCA Toxic Substances Control Act
TSDF Treatment, Storage and Disposal Facility
UST Underground Storage Tank
VOC Volatile Organic Compound
Appendix B
B-2
-------
SAFETY, HEALTH, AND
ENVIRONMENTAL MANAGEMENT
PROGRAM GUIDE
Guide No.
Issued 05/78
Revised
OFFICE ENVIRONMENTAL COMPLIANCE ISSUES PROGRAM
SCOPE OF THE PROGRAM
This Program Guide provides an overview of the
policy, guidance, information, and procedures
EPA office facilities must fulfill to comply with
the regulations promulgated pursuant to the
Clean Air Act, Clean Water Act. Atomic Energy
Act Resource Conservation and Recovery Act.
Comprehensive Environmental Response.
Compensation and Liability Act, Toxic
Substance Control Act. Federal Insecticide,
Fungicide and Rodenticide Act. National
Environmental Policy Act. Emergency Planning
and Community Right-To-Know Act, and the
Pollution Prevention Act Executive Order
12856 complements these requirements by
establishing provisions for promoting federal
facilities as leaders in emergency planning and
pollution prevention This chapter presents
information and guidance on air pollution
control, water pollution control, radioactive
materials management, nonhazardous solid
waste management, underground storage tank
management, hazardous waste management,
toxic substance control, pesticides management.
environmental review requirements under the
National Environmental Policy Act, emergency
planning and community nght-to-know, and
pollution prevention.
REGULATORY REQUIREMENTS
The ke> or basic elements of the Office
Environmental Compliance Issues Program
required by law and/or EPA policy are to
• Comply with applicable environmental
regulatory and executive order
requirements.
• Implement integrated pollution prevention
approaches.
AUTHORITIES
The following documents are the sources of
legal authority that establish the applicability
and requirements for this chapter
• Atomic Energy Act, 10 CFR Parts 19-70
• Clean Air Act, as amended, 40 CFR Parts
50-82
• Comprehensive Environmental Response,
Compensation and Liability Act, as
amended, 40 CFR Parts 300-302, 373
• Emergency Planning and Community
Right-to-Know Act, 40 CFR Parts 355-372
• Federal Insecticide, Fungicide, and
Rodenticide Act, as amended; 40 CFR Parts
151-170
• Federal Water Pollution Control Act as
amended by the Clean Water Act, 40 CFR
Parts 110-136,403-699
• Lead Contamination Control Act of 1988;
Internal Agenc> Policy April 24. 11J89
• National Environmental Policy Act, 40 CFR
Pans 6, 1500-1508
• Resource Conservation and Recovery Act.
as amended, 40 CFR Parts 240-281
• Safe Drinking Water Act, as amended, 40
CFR Parts 141-143
-------
• Toxic Substances Control Act. as amended.
40 CFR Parts 721-763
• Executive Orders 12088, 12856,12873,
12902
REFERENCES
The documents listed below can help you
implement the Office Compliance Issues
program
• 40 CFR Parts 6-1508
• 53 FR 40562. October 17. 1988
• 53 FR 47631. November 23, 1988
• 55 FR 30082, July 24, 1990
• Government Institutes. Inc . Environmental
Laws Handbook
• Bureau of National Affairs. Environment
Reporter
• EPA. Office of Water, Environmental
Regulations and Technology. The National
Pretreatment Program
• EPA. EPA CERCLA/Superfund Orientation
Manual
• EPA. EPA Facility Safety. Health and
Environmental Management Manual
• EPA. EPA RCRA Orientation Manual
• EPA, Report to Congress on the Discharge
of Hazardous Wastes to Publicly Owned
Treatment Works
• GSA Environmental Management Technical
Guides pursuant to Instructional Letter PBS
IL-92-4
IMPLEMENTATION ACTIVITIES
The following list gives an overview of the
activities that this program will require To
implement and operate this program, you must.
• Maintain a copy of the applicable state and
local air pollution control regulations and
be aware of the types of emissions,
pollutants, and emission increases that may
require permits
• Identify and fulfill any permit program
requirements triggered by an NSPS
• Investigate emissions of any NESH AP
pollutants, determine whether your office
facility is subject to any NESHAP subparts,
and comply with the applicable general and
specific NESHAP requirements
• Where a discharge of industrial effluents to
the POTW exists, monitor the discharge to
verify compliance with the POTW's
pretreatment standards.
• Identify and comply with any additional
liazardous waste listings, characteristics, or
management standards imposed by state or
local regulations
• Ensure that all pesticide service contracts
specify the appropriate training and
certification requirements for the pesticide
applicators
• Establish an awareness in all office facility
staff to promote sound environmental
compliance and pollution prevention
practices
IMPLEMENTATION IMPLICATIONS
The management systems and internal controls
required to implement this program include.
• Maintain discharge monitoring records for
five years instead of the minimum retention
period of three years provided by the
recordkeeping provisions in 40 CFR Part
122
• Where the discharge of industrial effluents
to the POTW exists, maintain a current
copy of the local sewer-use ordinance on-
site m addition to the applicable federal
pretreatment regulations (40 CFR Parts 400
to 459)
-------
• Implement a dnnking water monitoring
program that conducts initial sampling
upon the occupancy of a new space or after
installing newly plumbed systems. Follow-
up monitoring should be performed
whenever significant facility modifications
or renovations have been undertaken
• Implement a recycling program when
beverage containers are offered for sale on
the facility premises
• Verify facilities that have released shipment
of nonhazardous solid wastes for disposal to
contractor facilities, are in accordance with
Subpart B Part 241 200. titled Requirements
and Recommended Procedures
• Include all relevant hazardous waste codes
(listed and characteristic) when performing
hazardous waste determinations
• Ensure that only federal and state licensed
or permitted transporters are used for the
transportation of hazardous wastes on
public highways.
• Maintain a log to quantify CESQG waste
generation volumes each month and
implement a waste tracking system to
ensure the waste is being sent to and
received by an approved facility
• Create a central file for all PCB records It
is recommended that these records be
retained indefinitely PCB waste manifests
and related Certificates of Disposal (CDs)
should be retained longer than the three-
year mandatory tune penod to document
compliance with PCB management
standards
• Develop a pollution prevention program
that reduces releases and off-site transfers of
toxic pollutants or hazardous materials to
ensure compliance with the requirements of
Executive Order 12856
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Office Compliance Issues
May 1998
Section 16-01
Table of Contents
OCI16-01 Table of Contents
OCI 16-02 Introduction
Purpose .
Scope
Authority
Objectives
Responsible Officers
References
OCI 16-03 Air Pollution Control
Introduction
National Ambient Air Quality Standards
State Implementation Plans
SIP Permitting
Standards of Performance for New Stationary Sources
NESHAPs
Stratospheric Ozone Protection
Indoor Air Quality
Sources of Contaminants
OCI 16-04 Clean Water Management
Introduction
Oil Pollution Prevention
National Pollutant Discharge Elimination System Permits Overview
CWA National Pretreatment Standards
CWA Regulatory Guide . .
Safe Drinking Water Act ...
Maximum Contaminant Levels and Maximum Contaminant Level Goals
Control of Lead and Copper
National Secondary Drinking Water Standards
16-5
16-5
16-5
16-6
16-6
16-7
16-9
16-9
16-10
16-10
16-11
16-12
16-13
16-14
16-14
16-17
16-17
J6-19
16-21
16-26
16-26
16-28
16-29
16-30
Table of Contents
16-1
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Management Guidelines
Office Compliance Issues
OCI 16-05 Radioactive Materials Management
Storage and Control of Licensed Material 16-31
Precautionary Procedures . 16-31
General Domestic Licenses for By-Product Material . . . 16-33
Items and Materials Licensed . . . 16-33
Terms and Conditions of License ... . 16-34
Records for Measuring, Gauging, or Controlling Devices . 16-36
OCI 16-06 Nonhazardous Solid Waste Management
Introduction . 16-37
Solid Waste Management Guidelines 16-37
Nonhazardous Solid Waste Storage 16-37
OCI 16-07 Underground Storage Tank Management
Introduction . . . - 16-39
UST Program 16-39
Requirements and Recommendations 16-39
OCI 16-08 Hazardous Waste Management
Introduction . 16-45
Definition of Solid Waste . . 16-45
Definition of Hazardous Waste .... . 16-45
Exclusion from Subtitle C . . . . 16-45
Listed Hazardous Waste . . - 16-46
Characteristic Hazardous Waste . . 16-47
Mixtures . . . 16-49
State Regulated Hazardous Waste . . 16-51
Generator Regulations . . . 16-51
Hazardous Waste Determination 16-51
Generator Classification .. ... .... ... 16-52
Conditionally Exempt Small Quantity Generators 16-52
EPA Identification Numbers ... . • • 16-53
Hazardous Waste Manifests . ..... 16-54
Accumulation Standards .... ... . 16-55
Hazardous Waste Minimization . . ... • 16-57
Table of Contents 16-2
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Office Compliance Issues
K-Listed Wastes
(40CFR26132)
P- and U-Listed Wastes
(40CFR26133)
into one or more of the F002-F005 listings. Additional detailed
information on the classification of F-listed organic solvents is
presented in the RCRA chapter of the SHEM Guidelines.
The K-list consists of wastes from specific hazardous waste
generating processes and specific types of industries (e g, K009 is
distillation bottoms from the production of acetaldehyde from
ethylene) Generally, EPA office facilities do not generate K-list
wastes
P- and U-lists include commercial chemical products and
manufacturing chemical intermediates that are hazardous wastes
when discarded or intended to be discarded This applies only to
unused formulations of these chemicals, or situations where
chemical products or intermediates are mixed with other solid
wastes for the purpose of disposal (as discussed in the definition of
hazardous waste, 40 CFR 261 3) U-listed chemicals may include
selected hazardous materials that are being disposed of because
they have exceeded their shelf life or are no longer needed to
support facility operations P-listed chemicals are acutely
hazardous wastes when discarded and typically are not generated
by EPA office facilities.
Unused chemical formulations in which a P- or U-listed chemical is
the sole active ingredient also would be regulated as a P- or
U-listed waste when discarded, regardless of concentration
CFLARACTERJSTIC
HAZARDOUS WASTE
(40 CFR Part 261,
Subpart C)
Ignitabilitv
(40 CFR 261 21)
In addition to the hazardous waste listings, a solid waste is a
hazardous waste if it exhibits one or more characteristics of
hazardous waste. These characteristics, along with their
corresponding regulatory citation and waste code, follow
Regulatory Citation
26121
261 22
261 23
261 24
Characteristic
Ignitability
Corrosivity
Reactivity
TC Toxicity
Waste Code
D001
D002
D003
D004 - D043
A liquid waste, other than an aqueous solution containing less than
24 percent alcohol by volume, is considered ignitable if it has a flash
point less than 60_C (140_F) The ignitability characteristic also
Hazardous Waste Management
16-48
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Office Compliance issues
Petroleum distillates and
stoddard solvents often
exhibit the characteristics
ofigni lability
Corrosivitv
(40CFR261.22)
Excess chemicals such as
nitric or sulfuric acid
commonly display the
corrosivity characteristic
Reactivity
(40CFR261 23)
Toxicitv
(40CFR261.24)
includes a small category of nonliquids which are capable of
causing fire through friction, absorption of moisture, or
spontaneous chemical change In addition, compressed gases
defined as flammable under DOT standards (e g., hydrogen,
oxygen, acetylene, propane), as well as DOT defined oxidizers
(e g., nitric acid, perchloric acid, chromic acid,hydrogen peroxide),
are ignitable hazardous wastes and carry the D001 waste code
A waste is considered corrosive if it is aqueous and has a pH of less
than or equal to 2, or greater than or equal to 12.5, or if it is a
liquid and corrodes steel at a rate of more than 6 35 mm (0 25
inches) per year The regulations only address the concept of
corrosivity for liquid or aqueous wastes Waste sodium hydroxide
pellets, for example, are not a hazardous wastes. Generators,
however, should be warned that some solids may be corrosive when
dissolved in a liquid, and thus should be handled cautiously (even
though they are not hazardous wastes)
EPA office facilities may generate limited quantities of reactive
hazardous waste Generally, this characteristic is defined in
subjective terms For example, if a waste normally is unstable or
reacts violently with water, it is considered a reactive hazardous
waste One quantitative criterion for determining reactivity is the
generation of cyanide and sulfide gases when exposed to pH
conditions between 2 and 12 5 Although the regulations do not
specify a regulatory level of gas generation, EPA has published
interim threshold levels of 250 mg HCN/kg waste and 500 mg H2S
/kg waste.
The most common examples of reactive wastes at EPA office
facilities are spent concentrated sulfuric acid or cyanide-containing
photographic bleaches
In March 1990, EPA promulgated the final Toxicity Characteristic
(TC) rule (55 FR 11798). This rule established the Toxicity
Characteristic Leaching Procedure (TCLP), which replaced the
extraction procedure (EP) toxicity test as the method for
determining the characteristic of toxicity The TCLP more
accurately reproduces the leaching conditions of a landfill
Additionally, the technical procedures associated with the TCLP
have allowed EPA to add 26 new organic constituents to the
contaminant list, which previously included eight metals (D004-
Hazardous Waste Management
16-49
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Office Compliance Issues
DO 11) and six pesticides (DO 12-DO17) The TCLP procedure
yields an extract of the waste For each hazardous contaminant,
EPA has established a threshold level in this waste extract above
which the waste is considered hazardous.
The TC final rule promulgated a number of parameter changes to
the originally proposed contaminant list The entire TC constituent
list is found in Exhibit 3 on the next page
The most common types of TC wastes potentially generated by
EPA offices include lead-containing paint residues (D008), excess
paints (D005, D006, D008, D03S), high-intensity discharge (HID)
lamps (D009), and used oil filters from motor pools (DO 18)
Guidance on the management of HID lamps from Green Lights and
routine maintenance operations is contained in the joint AEREB
and SHEMD memorandum (June 15, 1995) on waste fluorescent
and HID bulb management
MIXTURES
(40CFR2613)
Characteristic Waste and
Solid Waste
Listed Waste and Solid
Waste
Mixtures of solid wastes and hazardous wastes can, in some cases,
be regulated as hazardous wastes
If a solid waste is mixed with a characteristic hazardous waste
through normal operations, and the mixture exhibits any hazardous
waste characteristic, the entire volume would be considered a
hazardous waste
If a solid waste or characteristic hazardous waste is mixed with a
listed hazardous waste, the mixture would require management as
the listed hazardous waste For example, if an F-listed solvent is
mixed with an aqueous-based solvent, the entire mixture would be
regulated as a listed hazardous waste
Hazardous Waste Management
16-50
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Safety, Health, and Environmental
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Office Compliance Issues
Exhibit 3
TC Regulatory Levels
Contaminants
Arsenic
Barium
Benzene
Cadmium
Carbon tetrachlonde
Chlordane
Chlorobenzene
Chloroform
Chromium
o-Cresol
m-Cresol
p-Cresol
Cresol
2,4 D
1.4 - Dichlorobenzene
1,2 - Oichloroethane
1,1 - Dichloroethylene
2,4 Dmitrotoluene
Endnn
Heptachlor (and hydroxide)
Hexachlorobenzene
Hexachlorobutadiene
Hexachlorethane
Lead
Lmdane
Mercury
Methoxychlor
Methyl ethyl ketone
Nitrobenzene
Pentachlorophenol
Pyndme
Selenium
Silver
Tetrachloroethylene
Toxaphene
Trichloroethylene
2.4,5 - Tnchlorophenol
2,4,6 - Tnchlorophenol
2.4,5 - TP (Silvex)
Vinyl Chloride
CASNO
7440-38-2
7440-39-3
71-43-2
7440-43-9
56-23-5
57-74-9
108-90-7
67-66-3
7440-47-3
95-48-7
108-39-4
106-44-5
94-75-7
106-46-7
107-06-2
75-35-4
121-14-2
72-20-8
76-44-2
118-74-1
87-68-3
67-72-1
7439-92-1
58-89-9
7439-97-6
72-43-5
78-93-3
96-95-3
87-86-5
110-86-1
7782-49-2
7440-22-4
127-18-4
8001-35-2
79-01-6
95-95-4
88-06-2
93-72-1
75-01-4
HWNO-
D004
D005
0018
D006
D019
0020
D021
D022
0007
0023
0024
D025
0026
0016
0027
0028
0029
0030
0012
0031
0032
0033
0034
0008
0013
0009
0014
0035
0036
0037
0038
0010
0011
0039
0015
0040
0041
0042
0017
0043
Regulatory level
(mg/l)
50
100
05
1 0
05
003
100
60
50
200
200
200
200
100
75
05
07
013
002
0008
013
05
30
50
04
02
100
200
20
100
50"
1 0
50
07
05
05
400
20 '
1 0
02
* Hazardous waste number
** Wastestreams from nutrient analyses should be evaluated against the TC where pyndme is used as a reagent
for possible classification as DO38
STATE REGULATED
HAZARDOUS WASTE
Although some states adopt the federal standards verbatim, mam*
exercise their right to regulate hazardous waste more stringently by
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applying hazardous wastes controls to additional wastestreams and
adopting more restrictive standards
Some of the most common wastestreams subject to regulation at
the state level are those protected by RCRA exclusions that states
have chosen not to adopt. For example, wastes containing
polychlorinated biphenyls (PCBs) are not specifically regulated
under the federal RCRA program, and some are even subject to an
exclusion from certain characteristics of hazardous waste The
RCRA chapter of the SHEM Guidelines identifies more stringent
state requirements
Guidance: EPA facilities should identify and comply with any
additional hazardous waste listings, characteristics, or
management standards imposed by state or local regulations.
GENERATOR
REGULATIONS
(40 CFR Part 262)
The RCRA regulations found in 40 CFR Part 262 contain the
requirements applicable to generators of hazardous waste The
summary table at the end of this section lists the requirements for
hazardous waste generators from Part 262
HAZARDOUS WASTE
DETERMINATION
(40 CFR 262 11)
The first step in determining which, if any, generator regulations are
applicable to a facility is to determine if solid wastes generated at
the facility are hazardous wastes This determination may be based
either on testing of the waste or by applying knowledge of the
materials or processes generating the waste The hazardous waste
determination hierarchy in Section 262.11 requires that a generator
must first determine if the solid waste is excluded from RCRA
regulation under Section 261 4 Second, if the waste is not
excluded, the generator must determine if the waste meets one of
the F-, K-, P-, or U-listings. Third, for the purposes of compliance
with the land disposal restrictions (LDRs), or if the waste is not
listed, the generator must identify all relevant hazardous waste
characteristics (i e, ignitability, corrosivity, reactivity, and toxicity)
in Subpart C of Part 261 The final determination step ensures that
all applicable waste codes, both listed and characteristic, are
assigned to afford comprehensive treatment of all hazards
associated with a waste as mandated under the Hazardous and
Solid Waste Amendments (HSWA) of 1984.
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Guidance: To afford consistent waste classification and enhance
the availability of pertinent information for DOT description, as
well as employee health and safety, EPA facilities should include
all relevant hazardous waste codes (listed and characteristic) when
performing hazardous waste determinations.
GENERATOR
CLASSIFICATION
EPA facilities must count the quantity of hazardous waste
generated each month to determine their generator classification
The regulations stating which hazardous wastes are to be counted
in a generator's monthly quantity determination are found in
Sections 261 S(c) and (d) While the regulations for counting
hazardous waste appear in the section of the regulations applicable
to conditionally exempt small quantity generators, all generators
must comply with the counting requirements found in Sections
261 5(c) and (d), not just conditionally exempt generators. Table 3
provides a summary of the quantity thresholds for generator
classifications and identifies the applicable regulations The
majority of EPA office facilities normally are regulated under the
minimal provisions for conditionally exempt small quantity
generators (CESQG)
Table 3
Hazardous Waste Generator Classifications
Generator
Large Quantity
Generator (LQG)
Small Quantity
Generator (SQG)
Conditionally Exempt
Small Quantity
Generator (CESQG)
Quantity
>1 000 kg/month hazardous waste
(approx. >2200 Ibs.)
>1 kg/month acute waste
Between 100-1000 kg/month
hazardous waste
(approx 220-2200 Ibs.)
<1 00 kg/month hazardous waste
<1 kg acute waste
<100 kg acute residue
Applicable Regulations
40 CFR Part 262
40 CFR Part 262, Subparts A. B,
C (Section 262.34(d) is specific to
SQGs), E. and portions of Subpart
D as specified in Section 262.44
40 CFR 261 .5
CONDITIONALLY
EXEMPT SMALL
A conditionally exempt small quantity generator may generate up to
100 kg of hazardous waste or up to 1 kg of acutely hazardous
waste in a calendar month and be exempt from most RCRA
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QUANTITY
GENERATORS
(40CFR261 5)
Waste Disposal
(40CFR261 5(f)
and (g))
EPA IDENTIFICATION
NUMBERS
(40CFR262 12)
generator requirements There is no on-site accumulation time limit
unless imposed by state law Nonetheless, to remain conditionally
exempt, these generators should not accumulate in excess of 1,000
kg of nonacute hazardous waste, 1 kg of acute hazardous waste or
100 kg of spill residue from acute hazardous waste If the 1,000 kg
limit is exceeded, the entire waste volume.immediately becomes
subject to all requirements for facilities that generate between 100
and 1,000 kg of hazardous waste per month (refer to 40 CFR
262 34) If the 1 kg limit for acute waste is exceeded, that acute
waste is subject to large quantity generator standards As long as
generators remain conditionally exempt, they are not required to
obtain an EPA identification number unless stipulated by the state
hazardous waste agency
Occasionally, CESQGs may generate in excess of 100 kg of
hazardous waste in a single month If this occurs, all hazardous
waste generated that month would be subject to the 100-1000 kg
per month generator requirements Therefore, it would be prudent
to manage the waste volumes subject to different regulatory
schemes separately
Guidance: The CESOG bears the burden of proof of
demonstrating that the facility is exempt from the regulations. It is
therefore essential that a log be maintained to quantify waste
generation volumes each month and that a waste tracking system
be implemented to ensure the waste is being sent to and received
by an approved facility.
To retain exempt status, CESQGs must ensure that their hazardous
waste is disposed of at a permitted or interim status RCRA
treatment storage or disposal facility (TSDF), a facility that is
licensed by a state to manage municipal or industrial solid waste; or
a recycling/reclamation facility that legitimately recycles the waste
Guidance: All EPA facilities, regardless of generator status, must
ensure that only federal and state licensed or permitted
transporters are used for the transportation of hazardous wastes
on public highways.
Each generator of hazardous waste, except a CESQG, must obtain
an EPA identification number (EPA ID No.). Generators may
obtain an EPA ID No by completing EPA Form 8700-12, which
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can be obtained from the state hazardous waste management
agency or the appropriate EPA Regional Office
The EPA ID No is site-specific, if a facility relocates, it will need
to apply for a new number. Additionally, if the previously occupied
property is taken over by a new owner, the facility should be sure
its name is no longer associated with the past EPA ID No This can
be accomplished by the new owner of the property filing a
subsequent form 8700-12 identifying the change in ownership
Because the EPA ID No is site-specific, an EPA facility with
multiple noncontiguous generation sites must have a different EPA
ID No for each site
Guidance: While not required, it is recommended that all EPA
generators obtain an EPA ID No. to safeguard CESQG in case
they, on occasion, slip into regulated generator status. Further,
most transporters will not accept hazardous waste from a facility
that does not have an EPA ID No. To address this problem, some
states will issue a temporary EPA ID No. for CESQG waste
shipments. In addition, EPA facilities should ensure, where
possible, that contractors and landlords who generate hazardous
waste have a separate EPA ID. No. and that contracts specify
hazardous waste management responsibilities for waste generated
by contractors or landlords.
HAZARDOUS WASTE
MANIFESTS
(40 CFR 262 20-23)
Manifests are used to track hazardous waste from the point of
generation to the point of ultimate disposal. Generators should
acquire manifests from the state to which the waste is being shipped
(consignment state) If this is not possible, they may acquire
manifests from their state hazardous waste officials If manifests
are not available from either source, they may obtain copies of the
manifests from commercial printers The facility must sign a copy
of the original manifest that will accompany the waste to the
treatment, storage and disposal facility. The facility must receive a
signed copy of the manifest from the TSDF confirming that the
waste reached its ultimate destination. If a signed copy of the
manifest is not received from the disposal facility within 45 days for
large quantity generators or 60 days for small quantity generators,
the'-acility must follow the exception reporting procedures in
Section 262 42 Although the manifest is typically completed by
the hazardous waste transporter, it is important to review this
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paperwork for accuracy prior to signing the manifest. Common
manifest errors include improper waste characterization, inaccurate
DOT classification, and missing information
Facilities that generate between 100 and 1,000 kg of hazardous
waste a month may be exempt from manifest requirements if the
generator recycles the waste pursuant to a contractual agreement
with a recycler The agreement must stipulate the waste types and
recycling frequency, and the vehicle used to transport the waste and
return the regenerated product is owned by the reclaimer. This is
referred to by many as the "Safety Kleen" exemption, and is
commonly employed to manage spent solvents.
ACCUMULATION
STANDARDS
(40 CFR 262 34)
Accumulation standards for generators include on-site
accumulation time limits, training, preparedness and prevention
requirements, and contingency planning. The differences in the
requirements for LQG and SQG generators of hazardous waste are
explained in each subsection. LQGs may accumulate hazardous
waste on-site for up to 90 days, while facilities generating
100-1,000 kg per month may accumulate waste on-site for 180
days, or 270 days if the waste must be transported more than 200
miles The accumulation start date is considered to be the date
waste is first placed in the accumulation drum, tank or other
container The time period limitation does not apply while the
waste is in a satellite accumulation area Table 4 provides the
accumulation standards for LQGs, SQGs, and CESQGs
Table 4
Generator Classification Determines Length of Accumulation Time
Generator Category
Large Quantity Generators
Small Quantity Generators
Conditionally Exempt
Small Quantity Generators
On-Site Accumulation Time
< 90 days on-site
< 180 days on-site or
< 270 days if shipped > 200 miles
No time limit
On-Site Quantity Limit
No Limit
6,000 kg
1 ,000 kg nonacute waste
1 kg acute waste
100 kg acute spill residue
Waste Accumulation
Units
Hazardous waste containers are the most common waste
accumulation units at EPA facilities Small and large quantity
generators accumulating hazardous waste in containers are subject
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to the container management standards for TSDFs in Part 265,
Subpart I. Containers and tanks accumulating hazardous waste
must be labeled "Hazardous Waste" and marked with the date that
waste initially accumulates in the container These standards are
discussed in more detail in the standards for TSDFs section Two
other waste management units may be used by generators for
accumulating hazardous waste (1) tanks that meet the Part 265,
Subpart J standards, and (2) containment buildings that meet the
Part 265, Subpart DD standards
Accumulation at the Point
of Generation
(40CFR26234(c)(l))
Generator Training
Requirements
(40 CFR 262.34(a)(4))
Preparedness and
Prevention
(40 CFR 262 34(a)(4))
Generators may accumulate up to 55 gallons of hazardous waste,
or up to one quart of acutely hazardous waste, at or near the point*
of generation provided they comply with marking requirements and
container management standards Accumulations of waste not
exceeding the 55-gallon limit may be stored indefinitely at the point
of generation unless otherwise specified by state law Once the
55-gallon limit is exceeded, the generator has three days to transfer
the excess waste to a hazardous waste accumulation area, at which
time the 90- or 180-day accumulation period begins, depending on
the generator's status For satellite accumulation points at a
laboratory, at or near the point of generation generally means
within the specific office facility area (e g., print shop) where the
waste is generated. Once waste is moved from that room, it must
be directly transferred to a designated hazardous waste
accumulation storage area or a permitted or interim status storage
area. Typical satellite accumulation points in office complexes
include effluents from photographic processing units or
maintenance shop processes (e.g., parts cleaning)
Facility personnel conducting hazardous waste management
activities must receive training on emergency response procedures
and proper waste handling procedures that meet the personnel
training requirements for TSDFs in Section 265.16 Small quantity
generators are required to meet less stringent personnel training
requirements in Section 262 34(d)(5)(iii). CESQG facility
personnel are not required to meet personnel training requirements
under RCRA, but it is recommended
EPA facilities generating hazardous waste must be prepared to
respond to fire, explosions, and releases of hazardous waste at the
facility. Large and small quantity generators must meet the
preparedness and prevention requirements for TSDFs in Part 265,
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Subpart C The RCRA Subtitle C chapter of the SHEM
Guidelines and the EPA Facility Safety, Health and Environmental
Management Manual provide additional guidance on design
considerations for preparedness and prevention.
Contingency Plans
(40 CFR 262 34(a)(4))
Recordkeeping and
Reporting
(40 CFR Part 262,
Subpart D)
In the event of a fire or explosion, the facility must have a
contingency plan designed for immediate response to minimize
hazards to human health and the environment Large quantity
generators must meet the contingency plan requirements for TSDFs
in Part 265, Subpart D. RCRA does not require small quantity
generators to develop a formal contingency plan, but it is
recommended Facilities that have existing SPCC plans that meet
the requirements of 40 CFR Part 112 may amend the plans to
incorporate hazardous waste management provisions in lieu of
developing a separate contingency plan.
Sound recordkeeping is a critical component in demonstrating
compliance with the RCRA regulations A complete set of records
should include waste analysis and testing data used to identify and
characterize hazardous waste, a copy of the 8700-12 that was
submitted to the state or EPA Region, copies of hazardous waste
manifests (both originals and signed copies with a date received by
the facility), biennial hazardous waste reports (some states require
annual reports), and land disposal restriction notifications and
certifications
A biennial report that details hazardous waste management
activities at large quantity generator facilities must be submitted to
the appropriate state environmental agency or EPA Regional
Office This report should include information on the quantity of
hazardous waste generated during each even-numbered year and
the amount of hazardous waste shipped off-site. Information also
must be included on waste minimization activities that have been
undertaken during the year to reduce the volume and toxicity of
hazardous waste generated at the facility. Generators should note
that many states require this information on an annual basis
HAZARDOUS WASTE
MINIMIZATION
As discussed above, large quantity generators must document
waste minimization activities conducted at the facility throughout
the year in their biennial report. Also, generators must sign each
hazardous waste manifest that includes a certification for LQGs that
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they have a waste minimization program in place and a certification
for SQGs that they have made a good faith effort to reduce the
volume or toxicity of hazardous waste generated at the facility
Waste minimization is defined as any environmentally sound
practice that reduces the toxicity or volume of waste that is
generated Additional information on waste minimization is
provided in the pollution prevention section of this chapter
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Table 5
RCRA Generator Summary
Requirements for Hazardous Waste Generators
Quantity Limits
EPA ID Number
On-Site
Accumulation
Quantity
Accumulation
Time Limits
Storage
Requirements
Off-site
Management of
Waste
Manifest
Biennial Report
Personnel
Training
Contingency Plan
Emergency
Procedures
DOT Transport
Requirements
CESQG
< 100 kg/month
< 1 kg acute/month
261 5(a) and (e)
Not required
2615
< 1000 kg
< 1 kg acute
< 100 kg spill reside
from acute waste
267 5(f)(2) and (g)(2)
None
261 5
None
267 5
Hazardous waste.
state approved solid
waste, or recycling
facility 261 5(f)(3) and
(9)(3)
Not required
261 5
Not required
2615
Not required
261 5
Not required
261 5
Not required
2615
Yes
(as required by DOT)
SQG
between 100-1000 kg/month
Part 262 and 262 34(d)
Required
26212
< 6000 kg
262 34(d)(1)
< 180 days or
<270 days if shipped over 200
miles
262 34(d) and (3)
Basic requirements with most
technical standards for tanks or
containers 262 34(d)(2) and (3)
RCRA permitted/interim status
facility
262 20(b)
Required
26220
Not required
26244
Basic training required
262 34(d)(5)(m)
Basic plan required
262 34(d)(5)(i)
Required
262 34(d)(5)(iv)
Yes
262.30-262.33
LQG
> 1000 kg/month or > 1
> kg or acute hazardous
waste/month
Part 262 and Section
261 5(3)
Required
26212
No limit
< 90 days
262 34(a)
Full compliance for
management waste in
tanks, containers, or
containment buildings
262 34(a)
RCRA permitted/interim
status facility
262 20ft)
Required
26220
Required
262 41 ~
Required
262 34(a)(4)
Full plan required
262 34(a)(4)
Required
262.34(a)(4)
Yes
262.30-262.33
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Section 16-09
Toxic Substances Control
INTRODUCTION
PCB MANAGEMENT
(40 CFR Part 761)
The Toxic Substances Control Act (TSCA) is unique among
environmental statutes in that it provides regulatory controls
throughout the full life cycle of selected toxic substances Section
6(e) of TSCA provides the authorities for EPA to regulate certain
substances, such as polychlorinated biphenyls and asbestos that are
defined as posing special risks to human health and the
environment. This section of the Office Compliance Issues chapter
addresses substances regulated under TSCA authorities
The PCB management regulations in 40 CFR Part 761 establish
standards for PCB use, storage, disposal, spill cleanup, and
recordkeeping Central to understanding these requirements is a
working knowledge of PCB regulatory terminology
DEFINITIONS
PCB Article
PCB Article Container
PCB Authorizations
The following are definitions for the unique terms used in this
section
Any manufactured article, other than a PCB container, that contains
PCBs and whose surface has been in direct contact with PCBs
This term includes capacitors, transformers, electric motors, pumps,
and pipes.
Any package, can, bottle, bag, barrel, drum, tank, or other device
used to contain PCB articles or PCB equipment, and whose
surface(s) has not been in direct contact with PCBs
Provisions of 40 CFR 761 30 that allow certain uses of PCBs
PCB Container
PCB Equipment
Any package, can, bottle, bag, barrel, drum, tank, or other device
that contains PCBs or PCB articles and whose surface(s) has been
in direct contact with PCBs
Any manufactured item, other than a PCB container or a PCB
article container, that contains a PCB article or other PCB
equipment This term includes microwave ovens, electronic
equipment, and fluorescent lights ballasts and fixtures.
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PCB Large Capacitor
PCB Small Capacitor
PCB Transformer
A device for accumulating and holding a charge of electricity and
consisting of conducting surfaces separated by 1 36 kg (3 Ib ) or
more dielectric fluid.
A device for accumulating and holding a charge of electricity and
consisting of conducting surfaces separated by less than 1 36 kg (3
Ib ) of dielectric fluid.
Any transformer that contains 500 ppm PCBs or greater
GENERAL
APPLICABILITY
(Subpart A)
SO ppm Limit
Operations
Dilution
Part 761 applies to all persons who manufacture, process, distribute
in commerce, use or dispose of PCBs and PCB items
Unless otherwise indicated, the applicability of the PCB regulations
addressed in this section pertain only to PCBs or PCB items in
concentrations equal to or greater than SO ppm
EPA facilities are not involved in manufacturing or processing
PCBs EPA office facilities may use electrical equipment
containing PCBs Examples of TSCA-regulated operations
potentially applicable to EPA office facilities include1
Use - Operating and servicing PCB transformers, capacitors, and
other PCB electrical equipment. This also includes performing
Green Lights or other preventive maintenance activities that involve
the removal of fluorescent light ballasts.
Disposal - Facilities designating PCB items, PCB liquids or PCB
solid waste (soils or rags) for disposal This includes samples and
laboratory waste from PCB analysis that are no longer needed for
enforcement purposes and that will not be returned to the sample
collector.
TSCA requirements for marking and disposal become more
stringent with an increase in PCB concentration EPA facilities
must be aware that the applicability section of TSCA regulations
(761 1 (b)) clearly states that "No provision specifying a PCB
concentration may be avoided as a result of any dilution, unless
otherwise specifically provided"
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EPA office facilities generally should manage all PCB waste
according to the original PCB concentration unless otherwise
directed through Agency policy statements To fulfill this
requirement, facilities should consider tracking PCB concentrations
from the time PCB materials are stored and managed. Labeling
waste containers only as "PCBs" does not convey whether the
waste is >50 ppm PCBs or began at such a concentration.
Uncertainty could lead to either increased disposal costs as wastes
are managed as regulated (conservatively) or improper disposal of
regulated wastes that began at PCB concentrations >50 ppm.
AUTHORIZATIONS
(40CFR76130)
PCB Transformers
Generally, the TSCA regulations prohibit the use of PCBs and PCB
items in any manner other than totally enclosed, however, TSCA
PCB regulations authorize the following uses of PCBs and PCB
items that are not totally enclosed
Registration - All PCB transformers must be registered with local
fire response personnel (761.30 (a)(lXvi)). The registration must
provide the
• Location of the transformer (building address and specific room
or outdoor location)
• Principal constituent of the dielectric fluid
• Name and telephone number of person to contact at the facility
in the event of a fire
Guidance: PCB transformer registration information should be
sent by registered mail to verify compliance with this requirement
(the SHEMP Manager should maintain this verification on file at
the facility).
Quarterly Inspection - Facility personnel must conduct a quarterly
visual inspection of each transformer in use or stored for reuse
This can take place any time during January-March, April-June,
July-September, October-December, as long as there is a minimum
of 30 days between inspections (761 30(a)(l)(ix))
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The following inspection and maintenance information is required
to be maintained at a facility for three years after disposing of the
transformer (761 30(a)(l)(xii))
• Location
Date of inspection
• Person performing inspection
Location of any leaks
• Amount of fluid released from any leak
• Date of any cleanup or maintenance
• Description of cleanup or maintenance.
Policy: Facilities must prepare a log to record the above required
inspection information. (See Exhibit 4 on the follow ing page.)
Use Conditions - Facilities are prohibited from using or storing
PCB transformers in a manner that poses an exposure risk to food
or feed
Table 6 outlines the requirements for operating a PCB transformer
located in or near a commercial building (761 30 (ii-v))
Table 6
PCB Transformer Requirements
Requirements for PCB Transformers Located in
or Near Commercial Buildings
Network with Higher Secondary Voltage
Network with Lower Secondary Voltage
Radial with Higher Secondary Voltage
Radial with Lower Secondary Voltage
Prohibited
after
Oct. 1. 1990
X
Electrical
protection for
high current
faults by
Oct. 1. 1990
N/A
X
X
X
Electrical
protection for
low current
faults by
Oct 1, 1990
N/A
X
"Registered
with building
owners as of
Dec 1, 1985
N/A
X
X •
X
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Exhibit 4
PCB Transformer inspection Log
Facility Address
Transformer Location:
Building Name
Room #
Outdoor Subst.
PCB Transformer/Storage Facility Inspection and Maintenance Log
Date and
Inspector's
Initials
Inspection or
Maintenance
Inspection Results
(Provide volume and
location or leaks)
Describe
Remedial
Action
Describe
Maintenance Action
PCB Capacitors
After October 1, 1988, PCB large capacitors rated at high and Idb
voltages must be used only within a restricted access electrical
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substation or in a contained and restricted access indoor installation
that also provides containment (761 30(l)(l)(ii)).
MARKING
REQUIREMENTS
(40CFR76140)
PCB Transformers
Means of Access
PCB Large High- and
Low-Voltage Capacitors
Storage Areas
Under TSCA, certain structures, PCB equipment, and PCB
containers require a PCB mark to be placed on them in a prominent
position The marking requirement identifies PCBs or PCB
equipment to protect emergency response personnel. Excessive
marking of items, such as laboratory doors, gas chromatographs, or
refrigerators is inappropriate and defeats the intent of the marking
provisions Facilities are required to place marks on PCB
transformers, PCB large high-voltage capacitors, PCB large low-
voltage capacitors when taken out of service, PCB containers, and
PCB storage areas as described below
Facilities operating a PCB transformer (dielectric fluid containing
>500 ppm PCBs) are required to place a large PCB mark on the
transformer PCB contaminated transformers (dielectric fluid with
SO to 500 ppm PCBs) do not require the official PCB mark in 40
CFR76145.
Vault doors, machinery room doors, fences or other means of
accessing PCB transformers must be labeled with a PCB mark
Facilities are required to label all large PCB capacitors with a large
PCB mark. If the capacitor is protected behind a fence, or is
installed on a power line pole or other structure, this requirement
may be met by marking the fence, structure or pole The facility
must keep a record in this situation to identify the capacitor
Because of recent Green Lights projects, the requirements for the
disposal of fluorescent light ballasts that qualify as small capacitors
may apply Under the PCB regulations, PCB small capacitors, if
intact, may be disposed of in a non-TSCA management facility In
the interest of environmental protection, EPA recommends that
these types of equipment be managed in a TSCA-approved facility
with a preference toward ballast recycling and recovery operations
Detailed guidance on the management of PCB light ballasts can be
obtained from the joint AEREB and SHEMD memorandum (June
15, 1995) ballast and HID lamp management.
Each storage area used to store PCBs and PCB items for disposal
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must be designated with a PCB mark
PCB Containers All containers holding PCBs in concentrations >50 ppm, whether in
storage for disposal or while being collected in the laboratory,
require the large PCB mark
If in any of the above situations a large PCB mark is required, but
there is inadequate space to accommodate the mark, a small mark
may be used in its place.
PCB DISPOSAL
(761 60)
Exhibit 5 on the next page outlines the PCB disposal options under
TSCA, taking into account land disposal restrictions under RCRA
STORAGE FOR
DISPOSAL
(40CFR761.65)
Acceptable Containers
PCBs or PCB items designated for disposal must immediately be
placed in an appropriate DOT specification container and
transferred to proper storage to await disposal The date on which
the PCBs or PCB items were taken out of service must be marked
on the PCB article or container. The facility must remove the
article or container and properly ensure its disposal within one year
from the date it was placed into storage for disposal For example,
a PCB transformer placed into storage for disposal on June 1 would
have to be incinerated by June 1 of the following year Although
the PCB regulations provide a total of one year to dispose of PCB
wastes, the generator of PCB waste, according to TSCA
Compliance Policy 6-PCB-6, must allow the disposal facility 90
days in which to dispose of the waste before the one-year deadline
occurs
While in storage for disposal, or 30-day temporary storage, PCBs
and PCB items must be placed in proper containers DOT-
approved containers for the management of PCB wastes are
identified in 49 CFR 173.202 and 204 A detailed list of DOT-
specification containers that may be used to store PCB wastes prior
to disposal is provided in Exhibit 6 on the page following Exhibit 5.
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PCB Disposal Options
PCB DISPOSAL OPTIONS FOR EPA OFFICES
PCB Category wtth CFR section
PCB Transformers -> 500 ppm
1 Undrained
(761 60 (b)(1)(i)(A))
2 Drained & solvent flushed
PCB Contaminated Transformers and other
contaminated electrical equip -50-500 ppm
1 Drained
(761 60 (b)(5)(i)(B))
PCB Large Capacitors -> 3 Ibs
dielectric fluid at >500 ppm
(761 60(b)(2)(n.)(A))
PCB Small Capacitors -<3 Ibs
dielectric fid (761 60 (b)(2)(ii))
Mineral oil dielectric fluid from PCB contaminated
electric equipment
-50-500 ppm
Liquids other than mineral oil with
50-500 ppm (761 50(a)(3))
1 Flash point <60° C (ignitable hazardous
waste)
2 Flash point >60° C (ignitable hazardous
waste)
3 Flash point >60° C (Does not meet
hazardous waste definition)
Non liquid PCBs - sod. rags or other debns
>50 ppm (761 60)
1 Does not meet definition of hazardous waste
2. < 1 000 ppm PCBs and meets the definition
of hazardous waste
3 >1000 ppm PCBs and meets the definition
of hazardous waste
All other PCBs with > 50 ppm
(761 60(a)(1))
TSCA
Incinerator
(761 70)
X
X
X
X
X
X
X
X
X
X
High Efficiency
Boiler
(761 60(a))
X
X
Chemical
Waste LandfiS
(761 75)
X
X
X
X
X
Alternative
method
(761 60(e))
X
X
X
X
Solid Waste
Disposal
X
X
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Exhibit 6
Department of Transportation Specification Containers
for PCB Waste Storage
Non-Bulk Packaging
for PCB Liquids
Non-Bulk Packaging
for PCB Solids
Steel drum: 1A1 or1A2
Aluminum drum: 1B1 or1B2
Metal drum other than steel or aluminum-
1N1 or1N2
Plastic drum: 1H1 or1H2
Fiber drum: 1G (with liner)
Wooden barrel: 2C1
Steel jerrican: 3A1 or3A2
Plastic jerrican- 3H1or3H2
Plastic receptacle in steel, aluminum, fiber
or plastic drum 6HA1, 6HB1, 6HG1 or
6HH
Plastic receptacle in steel, aluminum,
wooden, plywood orfiberboard box- 6HA2,
6HB2, 6HC. 6HD2 or 6HG2
Steel drum: 1A1 or 1A2
Aluminum drum: 1B1 or 1B2
Plywood drum: 10
Plastic drum: 1H1 or1H2
Fiber drum: 1G
Metal drum other than steel or aluminum:
1N1 or1N2
Wooden barrel: 2C1 or2C2
Steel jerrican: 3A1 or3A2
Plastic jerrican: 3H1 or3H2
Steel box: 4A1
Steel box with liner: 4A2
Aluminum box: 4B1
Aluminum box with liner: 4B2
Natural wood box: 4C1
Natural wood box, sift proof 4C2
Plywood box: 4D
Reconstituted wood box: 4F
Fiberboard box: 4G
Expanded plastic box: 4H1
Solid plastic box: 4H2
Plastic receptacle in steel, aluminum, fiber
or plastic drum: 6HA1, 6HB1, 6HG1 or
6HH
Plastic receptacle in steel, aluminum, —
wooden, plywood or fiberboard box- 6HA2,
6HB2, 6HC. 6HD2 or 6HG2
Storage Facility
A facility used to store PCBs and PCB items designated for
disposal must meet the following requirements
• Adequate roof and walls to prevent rain water from reaching
the stored PCBs and PCB items
Adequate floor with continuous curbing at least six inches high
The containment volume must be equivalent to twice the
internal volume of the largest PCB article or container, or 25
percent of the total internal volume of all PCB articles or
' containers in storage, whichever is greater
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Temporary Storage For
Disposal
(40CFR76165(c))
• No drain valves, floor drains, expansion joints or any other
openings that would allow liquids to flow from the curbed area
• Floors and curbing constructed of smooth and impervious
materials, such as Portland cement
• Be located above the 100-year floodplain (This information
can be obtained through local county surveyor offices)
The regulations allow certain PCBs and PCB items to be stored for
up to 30 days in a temporary storage area that meets fewer
requirements than those for storage for disposal. The following
items may be stored temporarily as long as each item is marked
with the date it was removed from service:
• Non-leaking PCB articles and equipment
Leaking PCB articles and equipment, provided that the items
are placed in a non-leaking container with sufficient absorbent
material to absorb any PCB liquid
PCB containers holding nonliquid PCBs in the form of soils,
rags, and so forth
• PCB containers holding liquid PCBs at a concentration from SO
to 500 ppm, provided an SPCC plan has been prepared for the
area in accordance with 40 CFR Part 112 if any containers
exceed 110 gallons
• Non-leaking PCB large high-voltage capacitors and PCB-
contaminated electrical equipment that have not been drained
when on pallets next to a proper storage facility. This only is
allowed when the unfilled storage space within the facility, is
equivalent to 10 percent of the total internal volume of all of the
equipment stored outside of the facility.
RECORDKEEPING
(40 CFR 761 180)
Facilities must prepare and maintain on file a written annual
document log covering PCB use, storage, and disposal at the
facility during the calendar year (January-December), if during the
year they used or stored at one time-
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• A PCB transformer, or
• 50 or more large capacitors, or
• 45 kilograms (99 4 Ib ) of PCBs in PCB containers
If facilities meet any of the previous criteria for transformers,
capacitors, or containers with PCBs, they must develop and
maintain records on the disposition of all PCBs and PCB items at
the facility These records are used to compile the annual
document log that must be completed by July 1 of the following
year There is no requirement for the submission of an annual
document log to any TSCA representative; TSCA requires that
facilities maintain the document on file at the facility The records
and documents contributing to the annual document log must be
maintained for a period of three years after the facility stops using
or storing PCB items in the regulated quantities
The annual records include
All signed manifests
• All certificates of disposal
Information required for the annual document log varies depending
on what types of PCBs are on-site at the end of the calendar year or
were shipped off-site for disposal during the calendar year Exhibit
13-03 from the TSCA chapter provides a data collection construct
that can be used for the PCB Annual Document Log
Guidance: EPA facility representatives are encouraged to create
a central file for all PCB records. Even though certain provisions
in the regulations allow facilities to dispose of records after a
period of time, SHEMD is recommending that EPA facilities retain
these records indefinitely. Besides records for the annual
document log, the PCB regulations necessitate the development of
the follow ing types of documentation to demonstrate compliance
with PCB management standards:
• Records of quarterly visual inspection and related maintenance
information of PCB transformers (refer to 761.30)
• Records of PCB transformer registration with local fire
/ asponse personnel (refer to 76J. 30)
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EPA Identification
Numbers
(40CFR761202)
Notification of Waste
Activity
(40 CFR 761.205)
Records of monthly visual inspection of the PCB storage for
disposal area (refer to 761.65)
Records of weekly visual inspections of the temporary or
interim PCB storage for disposal area (refer to 761.65).
Upon receipt of the notification form (refer to 761 205), EPA will
assign a unique PCB identification number to each facility.
Facilities that already possess a RCRA identification number will
receive that number as their PCB identification number
Facilities generating (and storing in long-term storage for disposal
areas), transporting, or disposing of PCB waste must notify EPA of
these activities using EPA Form 7710-53 Facilities engaged in
PCB waste handling prior to February 5, 1990, were required to
notify EPA by April 4, 1990 Facilities beginning such PCB
handling after February 5, 1990, must notify EPA prior to engaging
in PCB waste handling.
Facilities that generate and ship PCB waste off-site must complete a
uniform hazardous waste manifest for that material using EPA
Form 8700-22 Generators should acquire manifests from the state
to which the waste is being shipped (consignment state) If this is
not possible, they may acquire manifests from their state hazardous
waste officials. If manifests are not available from either source,
they may obtain copies of the manifests from commercial printers
Facilities are required to maintain signed manifests for three years
from the date the PCB waste was accepted by the initial
transporter
Guidance: SHEMP Managers should consider retaining PCB
waste manifests and related Certificates of Disposal (CDs) for
longer than the three-year mandatory time period to document
compliance with PCB management standards. Additionally, an
extended retention period is useful for documenting the quantity
and type of PCB wastes that are sent for off-site treatment and
disposal in the event that a potentially responsible party search is
conducted under the Comprehensive Environmental Response,
Compensation and Liability Act (CERCLA). Accordingly, EPA
facilities should retain PCB manifests and CDs for five years, at a
minimum.
Manifests
(40 CFR 761 207)
Retention of Manifests
(40 CFR 761209)
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Exception Reports and
Certificates of Disposal
(40 CFR 761 215 and
.218)
As with hazardous waste, generators are required to contact the
transporter and/or the disposal facility if a signed manifest is not
returned within 35 days. After 45 days, the generator is required to
submit an exception report to the EPA Regional Administrator
The report must include a copy of the manifest and a letter
indicating efforts taken to secure a signed copy
For any regulated PCB waste, disposal facilities must return a CD
within 30 days of disposal indicating how and when the waste was
disposed For PCBs sent for disposal within nine months of being
taken out of service, the CD must be received within 13 months
after the PCBs were taken out of service If the CD is not received
within 13 months, or if it indicates that the waste was disposed
beyond one year from the date the waste was removed from
service, a one-year exception report must be filed This report must
include a copy of the manifest, the date the PCBs were removed
from service, the date they were transferred off-site, the identities
of all parties handling the PCBs after leaving the facility, and any
information as to why disposal did not occur within the allotted
time
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Section 16-10
Pesticides Management
INTRODUCTION
This section provides policy, guidance, information, and procedures
to EPA office facilities for complying with federal, state, and local
regulations on pesticides management.
PESTICIDE
REGISTRATION AND
CLASSIFICATION
PROCEDURES
Pesticide products containing the active ingredients listed in the
SHEM Guidelines, Chapter 8, Federal Insecticide, Fungicide, and
Rodenticide Act (FIPRA), Exhibit 1, have been classified for
restricted use and are limited to use by or under the direct
supervision of a certified applicator
Guidance: EPA contract personnel should ensure that all pesticide
service contracts specify the appropriate training and certification
requirements for the pesticide applicators.
Certified applicators supporting EPA office facilities most likely
fall into the category of industrial, institutional, structural, and
health related pest control. Training for these applicators
includes:
• Practical knowledge of a wide variety of pests, including their
life cycles, types of formulations appropriate for their control
and methods of application that avoid contamination of food,
damage and contamination of habitat, and exposure of people
andpets.
• Practical knowledge of specific factors which may lead to a
hazardous condition, including continuous exposure in the
various situations encountered in this category.
• Practical knowledge of the environmental conditions related to
this particular activity.
EPA contract personnel also should require that certified
applicators provide a list of all pesticides to be used at the EPA
office, the corresponding material safety data sheet (MSDS)for
each pesticide, and a current list of references.
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DISPOSAL AND
STORAGE Of
PESTICIDES
This section provides policy, guidance, information, and procedures
for complying with federal, state, and local regulations on the
proper disposal and storage of pesticides and containers.
Procedures Not
Recommended
Storage of Pesticides and
Containers
(165 10)
[165 10 (c)]
Operational Procedures
[165.10(d)]
EPA office facilities should ensure that persons do not dispose of
(or receive for disposal or storage) or store pesticides, pesticide
containers, or pesticide container residue in a manner which
• Is inconsistent with the manufacturer's product label
Involves open dumping or open burning on land (unless allowed
by state or local regulations)
• Involves discharge POTWs or navigable waters regulated by the
CWA, unless the discharge is covered by, and in compliance
with, applicable pretreatment standards or a NPDES permit
Violates any applicable state or federal pollution control
standard
Additional guidance regarding the disposal of pesticides can be
obtained by referencing the FIFRA chapter of the SHEM
Guidelines
These guidelines are applicable only to those pesticides classified as
highly toxic or moderately toxic and whose labels are required to
bear the signal words "Danger", "Poison", or "Warning" or the
skull and crossbones symbol Home and garden pesticides, and
pesticides classified as slightly toxic, are not covered under these
guidelines EPA should inventory and monitor its storage facilities
even if pesticide application is completed by contractor
Pesticide storage facilities should be designed in accordance with
the guidelines in Chapter 8 of the EPA Facility Safety, Health and
Environmental Management Manual
Storage areas should be operated to ensure that
• .Containers are stored with labels plainly visible
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Pesticides are segregated by formulation and stored under a
sign with the name of the formulation
Complete inventories with number and identity of containers in
storage are maintained
Containers are inspected regularly for corrosion and leaks, and
absorbent spill materials are available
CERTIFICATION OF
PESTICIDE
APPLICATORS
(40CFRPart 171)
This part outlines the training and certification requirements for
commercial applicators of restricted use pesticides
Guidance: EPA contract personnel should ensure that all pesticide
service contracts specify the appropriate training and certification
requirements for the pesticide applicators. Office facilities should
maintain documentation on-site verifying that commercial
applicators of pesticides at their facilities are certified by their
state, county or municipality.
Exhibit 7 on the next page provides an example of an on-site log
used for maintaining records of pesticide applicators.
INTEGRATED PEST
MANAGEMENT
Integrated pest management (IPM) programs combine chemical,
cultural, and biological practices into one program to manage pest
populations IPM stresses non-chemical control forms of pesticide
management IPM incorporates preventive practices (e g., timely
planting, crop rotation, and surveying fields for pest density),
remedial practices (e.g., timely and spot spraying of pesticides only
when required), and economic thresholds (i.e., the point when pests
damage enough crops that growing the crops is uneconomical),
thus reducing the amount of chemicals used by applying pesticides
only when necessary at the minimum effective rate EPA should
work with its pesticide contractors to ensure that they are
employing IPM approaches when servicing EPA office facilities
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Exhibit 7
Sample Pesticide Applicator Record Book
Handler's Certification Expiration Application Area of
George Smith P048356793002 12/31/97 9/21/95 Area Surrounding
Integrated Pest Listed below are techniques that will result in an overall reduction
Management Approaches in the quantity of pesticides applied at EPA office facilities
• Identify and monitor pests
• Develop a pesticide needs inventory
• Landscape with indigenous plants, this promotes natural pest
resistance
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• Practice soil sampling
• Purchase pesticides in containers with design features that
prevent spilling and leaking through splashing and dripping
Buy only the amount of pesticide needed
• Use first-in, first-out procedures for storage to avoid shelf-life
issues
Use less persistent, teachable pesticides (consult EPA's list of
teachable pesticides)
• Use contact pesticides that do not need to be incorporated into
the soil
• Do not exceed recommended application rates
• Avoid excess mixing of pesticides
• Keep applicator equipment properly calibrated to control
pesticide droplet size and deposition
• Add dyes to the pesticides to facilitate uniform application and
monitoring rates
• Select an appropriate pesticide mixing/loading area to reduce
damage to the environment from spills, avoid high runoff areas
• Practice spot application of pesticides
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Section 16-11
National Environmental Policy Act
INTRODUCTION
The purpose of the National Environmental Policy Act (NEPA) is
to ensure that environmental impacts and associated public
concerns are systematically considered in making decisions on
federal actions. NEPA requires an environmental evaluation by
federal agencies prior to the execution of a proposed federal action
which could potentially cause environmental impacts. Specific
examples of actions that would require a NEPA review include
construction-related activities, such as new construction, as well as
improvements or modifications to office or administrative facilities
that could affect the environment.
NEPA establishes the Council on Environmental Quality (CEQ),
which provides guidance to federal agencies on complying with the
statute In executing this task, CEQ promulgated NEPA
regulations 40 CFR 1500-1508 to accurately translate the intent of
the NEPA statute into practical guidance for federal agencies
EPA's implementing regulations for NEPA are codified in 40 CFR
Part 6 AEREB developed the NEPA Review Procedures for EPA
Facilities, and easy-to-use, comprehensive guide that presents the
requirement of 40 CFR Part 6 and EPA implementation procedures
NEPA REVIEW
PROCESSES
The NEPA regulations identify three basic types of environmental
impact reviews
Categorical exclusion (CX)
Environmental assessment (EA)
Environmental impact statement (EIS)
A CX which does not require an EA or an EIS, may be applicable
to actions that have minimal or no effect on environmental quality
and pose no environmentally significant change to existing
conditions If a construction project falls under the CX criteria, it is
exempt from further environmental impact reviews. Examples
applicable to EPA office facilities include renovations or facility
modifications that do not entail any sensitive activities, such as
asbestos removal A CX must be documented and maintained as
part of the project file. The NEPA Review Procedures for EPA
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Facilities contains a review form, page 1 of which will suffice as
CX documentation
Actions that may pose an environmental impact, such as the
construction of new facilities or significant renovations to an
existing facility, should be evaluated through an EA The purpose
of an EA is to determine whether or not a proposed action may
significantly affect the environment. If the results of an EA indicate
no significant impact or that significant impacts can be mitigated
effectively, EPA shall issue a finding of no significant impact
(FNSI), which may address measures to mitigate potential
environmental impacts The NEPA Review Procedures of EPA
Facilities contains instructions and the review form to assist in
preparing an EA and, if appropriate, a FNSI
If a FNSI is not appropriate, an EIS will need to be performed. An
EIS is the most extensive level of NEPA analysis As a result, EPA
facility actions requiring the preparation of EISs are typically
limited to larger construction projects that present the greatest
likelihood for potentially significant impacts. There are specific
documentation and regulatory requirements that must be executed
in preparing an EIS The NEPA Review Procedures for EPA
Facilities thoroughly explains these requirements and provides a
review from to assist in determining whether an EIS is required
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Section 16-12
Emergency Planning and Community Right-to-Know Act
INTRODUCTION
EPA offices are required to comply with the Emergency Planning
and Community Right-to-Know Act (EPCRA) if they store, use, or
release certain chemicals EPCRA compliance requires offices to
make its operations public and to improve the ability of local
authorities to respond to emergencies
DEFINITIONS
State Emergency
Response Commission
(SERC)
Local Emergency
Planning Committee
(LEPC)
National Response Center
(NRC)
The following definitions are essential in understanding EPCRA
requirements
The SERC designates emergency planning districts within each
state to facilitate the preparation and implementation of emergency
plans under Section 303
The LEPC reviews the information submitted by facilities under
EPCRA, regarding specific chemicals used at the offices and
develops plan to respond to local chemical releases
The NRC is the national communication center and is manned
continuously for handling activities related to response actions
The NRC is the single federal point of contact for all pollution
incident reporting through the Emergency Response Notification
System (ERNS) and serves as the National Response Team (NRT)
communications center.
REQUIREMENTS
EPA office facilities should ensure that they comply with the
provisions of EPCRA Sections 301 through 312, all implementing
regulations, and future amendments to these authorities The
following sections of EPCRA may be applicable to the office
• Sections 302-302 - Emergency Planning and Notification
These sections require notifying the SERC and LEPC if the
office has an extremely hazardous substance (EHS) over its
threshold planning quantity (TPQ) at anytime. This notification
should be in the form of a letter, no standard form is required
In addition, each office required to complete this notification
must designate an emergency response coordinator who should
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participate in the local emergency planning process The
coordinator should provide any required information to the
LEPC
Section 304 - Emergency Release Notification This section
requires offices that release an EHS or hazardous substance (as
defined in 40 CFR 302 4) in excess of its reportable quantity to
notify the SERC, LEPC, or NRC. The oral notification should
be followed by a written notification Relevant exemptions
from this reporting include federally permitted releases under
CERCLA Section 101(10), releases that result in exposure only
to persons within the boundaries of the facility under Section
355 40(2)(i) of EPCRA, releases of pesticide product exempt
from CERCLA Section 103(a) reporting under Section 103(e),
and any release not meeting the definition of release under
Section 101(22) of CERCLA
Sections 311-312 - Hazardous Chemical Inventory Reporting
This section requires offices that maintain MSDSs for a
chemical, mixture, or product on-site at a quantity above
10,000 pounds or its TPQ if the chemical is an EHS, to supply
the MSDSs or a list of the chemicals and a Tier I inventory
form to the SERC, LEPC, an local fire department Some
offices may be requested to file a business plan or Tier n form
with additional information
EXAMPLES OF EPCRA
REPORTING
EPA offices should require little EPCRA reporting since most
offices will not exceed the established thresholds. Possible
examples of chemicals that may exceed the thresholds are listed in
Table 7
Table 7
Examples of EPCRA Chemicals
EPCRA Section
Section 302
Section 304
Section 311 -31 2
Example Chemical
Chlorine used in water treatment processes
Large spill of print shop chemicals
Fuel contained in USTs is an example of
chemicals that may exceed the threshold
quantities of 10.000 pounds.
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Section 16-13
Pollution Prevention
INTRODUCTION
As defined in the Pollution Prevention Act of 1990, pollution
prevention means "any practice which reduces the amount of a
hazardous substance, pollutant, or contaminant entering any waste
stream or otherwise released into the environment (including
fugitive emissions) prior to recycling, treatment, or disposal, and
any practice which reduces the hazards to the public health and the
environment associated with the release of such substances,
pollutants or contaminants."
EXECUTIVE ORDER
12856
Objectives
Executive Order 12856, Federal Compliance with Right-to-Know
Laws and Pollution Prevention Requirements, requires federal
facilities to lead by example in applying pollution prevention to
daily operations, purchasing decisions, and policies to facilitate the
protection of human health and the environment.
Guidance: EPA offices should develop a pollution prevention
program designed to reduce releases and off-site transfers of toxic
pollutants or hazardous materials to ensure compliance with the
requirements of the executive order.
The following requirements of the executive order are applicable to
EPA's office facilities
• Voluntary Reduction Goals - The executive order requires each
federal agency to reduce its total releases and transfers of toxic
chemicals or pollutants by 50% by 1999 EPA offices should
contribute to this goal.
Procurement - Each agency should develop a plan and goals to
reduce or eliminate its procurement of EHS or toxic chemicals
EPA offices should contribute to the overall Agency goal of
reducing toxic pollutants.
• Planning - Each EPCRA covered facility should develop a
pollution prevention plan. EPA requires all facilities to develop
pollution prevention plans.
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SOURCE REDUCTION
EPA further defines pollution prevention as source reduction and
other practices that reduce the amount of pollutants entering a
waste stream prior to out-of-process recycling, treatment, or
disposal It includes improvements such as materials substitution,
in-process recycling, equipment modification, and housekeeping
improvements
Materials Substitution
Process Modifications
EPA employees should attempt to use office products and cleaning
supplies that contain the least hazardous or toxic ingredients
possible. Examples of substitutions that emphasize the use of low
hazard products include:
Painting office spaces with latex paint and low VOC paint
where possible
Using citrus-based degreasers instead of chlorinated solvents
Replacing office chillers containing CFCs with chillers
containing non or less ozone-depleting substances, such as
HFC-134aorHCFC 123
Purchasing white-out and markers without chlorinated solvents
Purchasing low VOC glues and adhesives or non-chlorinated
glues and adhesives.
EPA offices should modify processes or implement new processes
to minimize the amount of pollutants entering its waste stream.
Table 8 on the next page provides suggestions for process changes
in standard office operations
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Table 8
Process Modifications
Office Operation
Process Modification
Graphics/Photo
Processing/Printing
Producing high-quality images using electronic methods
instead of wet-chemical processing methods
Implementing silver recovery systems on photographic
processors
Using soy-based inks in the printing process
Office Practices
Encouraging the use of electronic communication such as
e-mail in place of hard-copy memorandum, document
distribution, etc.
Encouraging double-sided copying
Transportation
Encouraging the use of telephone- or video conferencing to
reduce travel to meetings
Providing preferred parking places for car pools
Providing showers for bicycle nders
ENERGY AND WATER
CONSERVATION
Energy Efficiency
Water Conservation
Pollution prevention also includes energy and water conservation
practices that protect natural resources EPA offices should
implement these conservation practices where possible.
EPA office facilities should encourage conservation practices and
ensure that building repairs and modifications use the following
energy-efficient practices where possible
• Replace air conditioning equipment with high-efficiency chillers
Encourage employees to turn off lights when not in use
• Install upgrade insulation
• Install programmable thermostats
• Install direct digital control for HVAC control
• Design facility additions so that natural lighting and heating and
cooling equipment are optimized
EPA office facilities should encourage conservation practices and
ensure that building repairs and modifications use the following
water conservation practices and where possible.
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Encourage employees to turn off faucets after use and report
leaking faucets to maintenance
Install low-flow faucets with repairs and new washroom/kitchen
facilities
Landscape with indigenous plants to decrease the need for
watering
AFFIRMATIVE
PROCUREMENT
Procuring Recovered
Content Materials
Environmentally
Preferable Products
Executive Order 12856 requires each federal agency to establish a
plan and goals for eliminating or reducing the unnecessary
acquisition of products containing EHSs or toxic chemicals EPA
offices should reduce their acquisition of these products
EPA office facilities should consult EPA's Recovered Material
Advisory Notice (RMAN) guidance and Comprehensive
Procurement Guideline (CPG) to determine the appropriate
recycled content of certain materials including:
• Construction products including structural fiberboard,
laminated paperboard, carpet, and floor tiles
• Landscaping products including hydraulic mulch and yard
trimmings compost
Nonpaper office products including office recycling containers,
office waste receptacles, toner cartridges, binders, and plastic
trash bags.
EPA office facilities also should consult the environmentally
preferable catalogs such as the General Services Administration's
Environmental Products Guide. Additional information and
guidance regarding the selection of environmentally preferred
products can be obtained by consulting the references included in
Exhibit 8 of this chapter.
EPA office facilities should incorporate EPA's seven guiding
principles (Table 9) for purchasing environmentally preferable
products.
Pollution Prevention
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Office Compliance Issues
EPA office facilities should encourage the procurement of
environmentally preferred products such as Energy Star computers,
office equipment, and nonhazardous biodegradable cleaners
Table 9
Seven Guiding Principles For Environmentally Preferable Products
Principle
Pollution Prevention
Multiple Attributes
Life-cycle Perspective
Magnitude of Impact
Local Conditions
Competition
Product Attribute Claims
Objective
Consideration of environmental preferability should begin
early in the acquisition process and be rooted in the ethic
of pollution prevention that strives to eliminate or reduce.
up front, potential risks to human health and the
environment.
A product or service's environmental preferability is a
function of multiple environmental attnbutes
Environmental preferability should reflect life-cycle
considerations of products and services to the extent
feasible
Environmental preferability should consider the scale
(global versus local) and temporal aspects (reversibility)
of the impacts.
Environmental preferability should be tailored to local
conditions where appropnate.
Environmental attnbutes of products or services should
be an important factor or subfactor in competition among
vendors, when appropriate.
Agencies need to examine product attribute claims
carefully.
MATERIAL
RECYCLING
Recycling Practices
Executive Order 12873 Federal Acquisition, Recycling, and Waste
Prevention, directs EPA to purchase recycled and environmentally
preferable products and services
EPA offices should implement a comprehensive recycling program
Offices that share buildings should initiate a recycling program for
the building or participate in existing programs Examples of
recycling practices that EPA can participate in are
Pollution Prevention
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__ Office Compliance Issues
• Recycling of aluminum, glass, paper, toner cartridges, floppy
disks, cardboard
• Purchasing products that contain less packaging material, allow
the reuse of the packaging material, or that the vendor will
accept for reuse
• Recycling of used cooking oil from cafeterias
• Composting of yard and cafeteria waste
Exhibit 8 provides additional pollution prevention references,
program contacts, and hotlines to supplement the information
contained in this section.
Pollution Prevention 16-91
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Management Guidelines
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Office Compliance Issues
Exhibit 8
Pollution Prevention Hotlines and Other Resources
Green Lights Program
1850 K Street, NW Suite 290
Washington, DC 20006
Solid Waste Assistance Program
PO Box 7219
8750 Georgia Avenue
Silver Spring, MO 20907
(800) 677-9424
Fax (301) 585-0297
RCRA/Superfund/UST Hotline
1725 Jefferson Davis Highway
Arlington, VA 22202
(703)412-9877
(800) 553-0202
(800) 553-7672
National Response Center
US Coast Guard Headquarters
2100 Second Street, SW
Room 2611
Washington, DC 20593
TSCA Hotline (Design for the Environment
and 33/50)
(202) 554-1404
Stratospheric Ozone Information Hotline
501 3rd Street
Washington, DC 20001
The 33/50 Program
US Environmental Protection Agency
(Mail Code 7408)
401 M Street, SW
(202) 260-6907
Fax (202) 260-1764
Pollution Prevention Information Clearinghouse
US Environmental Protection Agency
401 M Street. SW
Washington, DC 20460
(202) 260-1023
Fax (202) 260-0178
Pollution Prevention Information Exchange
System
7600-A Leesburg Pike
Room 369
Falls Church, VA 22034
(703) 821-4800
Pollution Prevention
16-92
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APPENDIX A
Model Office/Facility Environmental Program
Appendix A
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Revised Draft Appendix A—Model Office/Facility Environmental Program
Attachment 1
Office/Facility CEMP Self-Assessment Matrix
Principle 1: Management Commitment
Level
1.1 Obtain Management Support
Policv Develonment
System Intearation
1.2 Environmental Stewardship
Finish
I
5
Office/facility communicates its policy externally to
regulatory authorities, other agencies, and other
stakeholders
All office/facility decisions consider environmental
cntena when appropriate, program thoroughly integrated
• Assume leadership through outreach
All office/facility decisions include appropriate
environmental criteria to minimize impact
• Consider environmental impacts
• Participate in hearings and other activities
Office/facility develops final policy and communicates it
internally
More than 50% of office/facility decisions consider
environmental cntena. program integrated through 75%
of office/facility
• Encourage teaming across divisions
Office/facility develops procedures to evaluate
environmental impacts of future activities
• Introduce design for environment concepts
» Provide outside speakers
« Sponsor outside activities
« Conduct "open house" for community
• Demonstrate commitment
Office/facility develops draft policy and circulates it for
review and comment
Environmental cntena are incorporated into employee
performance standards as appropriate, program
integrated through 50% of office/facility, criteria for
environmental decision-making developed
» Review responsibilities
Office/facility identifies alternatives to high-impact
activities
• Encourage environmental action plans
• Provide "brown bag" speakers
Create promotional items
Office/facility evaluates environmental concerns of key
stakeholders
« Develop goals and priorities
« Communicate with stakeholders
Environmental cntena are incorporated into affected
managerial performance standards, program integrated
through 25% office/facility, starting with activities most
affected
» Conduct organizational review
• Assign management responsibilities
• Include performance criteria
« Coordinate and review budget
Office/facility implements awareness programs to inform
employees and stakeholders
• Provide orientation
Office/facility evaluates its mission in environmental
terms
• Prepare Mission/Vision statements
Environmental program is communicated throughout
office/facility, environmental groups and their missions
defined and communicated
» Identify liabilities and risks
» Provide awareness training
Office/facility evaluates environmental impacts of its
activities
-------
Revised Draft Appendix A—Model Office/Facility Environmental Program
Attachment 1 Continued
Office/Facility CEMP Self-Assessment Matrix
Principle 2: Compliance Assurance and Pollution Prevention
Level
2.1 Compliance Assurance
2.2 Emergency Preparedness
2.3 Pollution Prevention and Resource
Conservation
Finish
I
5
Full office/facility compliance is sustainable, contractors
are included within the compliance program
• Set "beyond compliance" performance goals
« Evaluate contractor performance
» Introduce risk assessment
AD office/facility are trained in emergency response
procedures, full-scale exercises are conducted at least
annually
Program maintained throughout the office/facility,
reductions in waste generation achieved
Office/facility develops proactive and cooperative
relations with regulators, non-compliance situations
reduced significantly
• Employee reporting encouraged
* Regular contact with regulators
» Procedures to elevate issues to upper
management
• Pollution prevention is primary management
approach
Office/facility implements medical monitoring for
environmental program personnel, as appropriate, and
inspects facilities periodically
• Conduct in-house medical monitoring, where
appropriate
Office/facility encourages reduced use of resources and
identifies individuals contributing to the success of the
program, process improvements implemented
• Affirmative procurement program
• Life-cycle analysis
« Design for environment
• Product stewardship
I
3
Office/facility fully implements compliance program.
develops a program to track relevant legislation and
regulations, and sees improved performance
t Track regulatory initiatives
• Address non-compliance conditions
• Track corrective action progress
• Implement environmental record-keeping system
• Identify problems and prevent non-compliance
incidents
• Establish compliance management system that is
integrated with EMS
Office/facility emergency response teams are trained
and periodic drills are conducted
• Establish emergency response team
• Train Emergency Response Team and other
personnel
• Conduct regular exercises
« Identify emergency resources
Office/facility develops goals. Implements employee
suggestion procedures, and identifies alternative to
major generators
• Toxic materials reductions
» Water conservation program
• "Repair or Replace" program
-------
Revised Draft Appendix A—Model Office/Facility Environmental Program
Attachment 1 Continued
Office/Facility CEMP Self-Assessment Matrix
Principle 2: Compliance Assurance and Pollution Prevention
Level
1
2
1
1
START
2.1 Compliance Assurance
Office/facility communicates with regulatory authorities,
develops procedures to address compliance situations.
and distributes them throughout the office/facility
• Introduce compliance group
• Develop compliance guidance
• Coordinate with regulators
• Communicate information on regulations and
permits
Office/facility compliance group evaluates office/facility
activities and compliance history
• Develop compliance group
• Review office/facility activities
• Assess compliance baseline
2.2 Emergency Preparedness
Office/facility develops procedures to address
emergency response, distributes them throughout the
office/facility
Response procedures
Disaster preparedness plan
Hazard mitigation measures
Preventatave maintenance program
Coordination with authorities
Communication plan
Office/facility emergency response group evaluates its
activities and vulnerability to natural disaster and
accidents
• Identity hazards at office/facility
2.3 Pollution Prevention and Resource
Conservation
Office/facility communicates pollution prevention
commitment to all personnel and begins recycling
programs (paper, aluminum, glass)
• Energy conservation program
• Recycling program
• Reuse of materials encouraged
Office/facility evaluates its waste generation profile and
identifies major points of generation
• Pollution prevention program emphasizes source
reduction
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Revised Draft Appendix A—Model Office/Facility Environmental Program
Attachment 1 Continued
Office/Facility CEMP Self-Assessment Matrix
Principle 3: Enabling Systems
Level
3.1 Training
3.2 Structural Supports
3.3 Information Management,
Communication, Documentation
Finish
I
5
100% of office/facility fully trained, refresher (raining
provided, computer-based and distance learning
employed when appropriate, training program
continually evaluated
t Obtain feedback on training
• Investigate alternative training methods
Procedures are fully implemented and reviewed
periodically
• Conduct periodic review of procedures to ensure
currency
Office/facility maintains effective communications,
applies environmental information to decision-making,
and maintains thorough records
• Uses EMS data In decision-making
75% of office/facility fully trained, refresher training
developed and available, where appropriate, continuing
education encouraged
• Establish refresher training
« Encourage continuing education
Office/facility implements procedures and begins
training of all staff, as appropnate
• Pursue integration of environmental program
throughout office/facility
Office/facility develops procedures for use of
information, provides avenues for employee input, and
has a weD-maintalned records center
• Use electronic networks
• Assure validity of environmental data
» Secure data-handling procedures
« Establsh employee reporting system
« Encourage employee input
50% of office/facility fully trained, system to track
fulfillment of training requirements developed and
implemented
• Establish in-house group to track training program
Office/facility disseminates procedures throughout to
raise awareness of issues, implementing staff is trained
• Encourage input from personnel
Office/facility communicates with regulators and
stakeholders and develops information gathering,
manipulation, and management procedures
• Evaluate new IM projects
• Establish Resource Center
• Provide regular status updates
• Communicate with other organizations
• Develop public outreach program
• Communicate with stakeholders
• Develop distribution network
» Establish QA and security procedures
-------
Revised Draft Appendix A—Model Office/Facility Environmental Program
Attachment 1 Continued
Office/Facility CEMP Self-Assessment Matrix
Principle 3: Enabling Systems
Level
3.1 Training
3.2 Structural Supports
3.3 Information Management.
Communication, Documentation
Office/facility training group identifies available outside
training and develops In-house training where
necessary, 20% of office/facility fully trained
« Identify job-specific requirements
« Evaluate outside vs in-house training
• Train-the-trainers. as necessary
Office/facility develops or revises procedures to address
activities identified as having environmental aspects
• Eliminate or revise procedures found to be barriers
Office/faculty develops internal communications ana
information management infrastructure, and document
control procedures
• Ensure compatibility
• Develop environmental IM procedures
Identify key records/documents
Develop in-house communication
Enable working relationships
Report completion procedures
Maintain MSDSs^etc
START
Office/facility training group identifies environmental
training needs and where training is available
« Develop "Core Curriculum"
Office/facility identifies and evaluates existing
procedures and activities that have environmental
aspects
* Review office/facility documentation
Office/facility identifies lines of communication,
information needs, documentation procedures
• Assign managerial responsibility
• Create in-house IM group
• Review current capabilities
• Define lines of communication
« Assign environmental POCs
-------
Revised Draft Appendix A—Model Office/Facility Environmental Program
Attachment 1 Continued
Office/Facility CEMP Self-Assessment Matrix
Principle 4: Performance and Accountability
Level
Finish
I
5
1
4
1
3
1
2
1
t
START
4.1 Responsibility. Authority. Accountability
Assignment of environmental responsibilities is reviewed periodically in
light of performance
Personnel are provided avenues to provide input and employees are
held accountable for environmental performance
• Develop employee input/concerns program
All employees assigned environmental responsibilities are given
appropriate authority and training
* Issue clear statements of environmental responsibility
• Prepare process to address authority conflict
t Develop policy on accountability
Managers assigned environmental responsibilities are given training and
authority to meet those responsibilities
* Issue statements of defining authority
Office/facility identifies personnel with responsibility for environmental
performance
f Assian authority to ensure environmental comohance
4.2 Employee Performance Standards
Office/facility develops a program to recognize and reward personnel that
carry out environmental responsibilities exceptionally well, appropriate
disciplinary mechanisms' also in place
• Prepare program for reward or recognize honorees
• Prepare disciplinary mechanisms to address non-conformance with
agency-level and office/facility policy or procedures
Personnel are evaluated based on environmental aspects of their
performance standards
• Develop procedures for evaluating performance
Affected employees have environmental responsibilities clearly stated in
performance standards
Managers have environmental responsibilities clearly stated in
performance standards
• Develop employee evaluation standards
• Publicize standards and solicit input from agency/office facility
Office/facility identifies personnel with responsibility for environmental
performance
4 Identify organizational oerformance aoals
-------
Revised Draft Appendix A—Model Office/Facility Environmental Program
Attachment 1 Continued
Office/Facility CEMP Self-Assessment Matrix
Principle 5: Measurement and Improvement
Level
5.1 Evaluate Performance
Inctitute Benchmark!na
5.2 Continuous Improvement
Finish
I
5
Data -gathering is continuous process, gaps in
performance are identified and analyses conducted to
identify their root cause(s)
Office/facility maintains ongoing "benchmarking cycles,"
office/facility becomes a target for benchmarking by
others
• Explore possibility of mentoring other organizations
Office/facility shows significant improvement in
addressing substandard performance situations and
aggressively seeks to compare its performance to
others
« Review other management approaches for
applicability
Penociic evaluations of operations and data-gathering
procedures are conducted to assess performance
• Include system measurement in review and
Improvement process
Office/facility identifies and implements improvements
based on evaluation of other organization
• Develop methods to apply results of benchmarking
and pursue further involvement
Office/facility fully implements periodic reviews of
systems and performance and seeks out additional
opportunities for improvement
« Develop methods to apply results of benchmarking
and pursue other further involvement
• Conduct review of procedures
« Review and report improvements
Data-gathering and processing procedures are
implemented throughout the office/facility
• Identify independent audit group
« Develop procedures to manage and use
information from audits
Office/facility evaluates performance of target
organization through sharing of information (e g. site
visit) for comparison with its own
Office/ facility implements employee-involvement
measures, such as newsletters and lessons learned, to
solicit input on improving performance
• Develop lessons learned program
• Encourage employee suggestions
• Work to include improvements in next planning
cycle
Office/facility develops procedures for gathering
appropriate data and communicates them to
management
• Define assessment parameters
« Develop QA objectives
Office/facility identifies other organizations with similar
activities and/or exceptional performance and initiates
contact with them
• Develop program of comparison to other
organizations
Office/facility develops procedure to address preventive
and corrective action situations and communicates
them to management
• Develop procedures to identify root causes
• Develop program of comparison to other
organizations
Office/facility identifies performance indicators, data
needs, and standards of comparison
« Develop and report on performance indicators
• Develop internal audit program
Office/facility evaluates its activities and sets goals for
environmental performance
• Evaluate most useful benchmarking areas
Office/facility evaluates performance to identify areas
needing improvement
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APPENDIX B
List of Acronyms
Appendix B
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Office Compliance Issues
Appendix B
List of Acronyms
AEREB Architecture, Engineering and Real Estate Branch
API American Petroleum Institute
ASHRAE American Society of Heating, Refrigeration and Air Conditioning Engineers
BOD Biological Oxygen Demand
CAA Clean Air Act
CAAA Clean Air Act Amendments
CD Certificate of Disposal
CESQG Conditionally Exempt Small Quantity Generator
CFC Chlorofluorocarbon
CPG Comprehensive Procurement Guideline
CWA Clean Water Act
CX Categorical Exclusion
DMR Discharge Monitoring Reports
DOT Department of Transportation
EA Environmental Assessment
EHS Extremely Hazardous Substance
EIS Environmental Impact Statement
EP Extraction Procedure
EPA Environmental Protection Agency
EPCRA Emergency Planning and Community Right-to-Know Act
ERNS Emergency Response Notification System
FIFRA Federal Insecticide, Fungicide and Rodenticide Act
FNSI Finding of No Significant Impact
FR Federal Register
HAP Hazardous Air Pollutant
HCFC Hydrochlorofluorocarbon
HID High-Intensity Discharge
HSWA Hazardous and Solid Waste Amendments
HVAC Heating, Ventilation and Air Conditioning
IAQ Indoor Air Quality
1PM Integrated Pest Management
LDR Land Disposal Restriction
LEPC Local Emergency Planning Committee
LQG Large Quantity Generator
MACT Maximum Achievable Control Technology
MCL Maximum Contaminant Level
MCLG Maximum Contaminant Level Goals
MSDS Material Safety Data Sheet
Appendix B
B-l
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Management Guidelines
Mav 1998
Office Compliance Issues
NAAQS National Ambient Air Quality Standards
NEPA National Environmental Policy Act
NESHAP National Emission Standards for Hazardous Air Pollutants
NFPA National Fire Protection Association
NPDES National Pollutant Discharge Elimination System
NPDWR National Primary Drinking Water Regulations
NRC Nuclear Regulatory Commission
NRC National Response Center
NRT National Response Team
NSPS New Source Performance Standards
PCB Polychlorinated Biphenyl
POTW Publicly Owned Treatment Works
RCRA Resource Conservation and Recovery Act
RMAN Recovered Material Advisory Notice
SOW A Safe Drinking Water Act
SERC State Emergency Response Commission
SHEM Safety, Health and Environmental Management
SHEMD Safety, Health and Environmental Management Division
SHEMP Safety, Health and Environmental Management Program
SIP State Implementation Plan
SIU Significant Industrial Users
SMCL Secondary MCL
SNAP Significant New Alternatives Policy
SPCC Spill Prevention, Control, and Countermeasure
SQG Small Quantity Generator
TC Toxicity Characteristic
TCLP Toxicity Characteristic Leaching Procedure
TPQ Threshold Planning Quantity
TSCA Toxic Substances Control Act
TSDF Treatment, Storage and Disposal Facility
UST Underground Storage Tank
VOC Volatile Organic Compound
Appendix B
B-2
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SAFETY, HEALTH, AND
ENVIRONMENTAL MANAGEMENT
PROGRAM GUIDE
Guide No.
Issued
Revised
FIRE PROTECTION AND LIFE SAFETY PROGRAM
SCOPE OF THE PROGRAM
This Program Guide provides policy, guidance,
information and procedures for complying with
federal, state, and local regulations for fire
protection and life safety Major areas in the
program include means of egress, management
of hazardous materials and waste, fire protection
and life safety systems, mechanical and
electrical systems, special operations,
compliance-related issues, and administration
All areas must be addressed to ensure an
effective and compliant program
REGULATORY REQUIREMENTS
The key or basic elements of the Fire Protection
and Life Safety Program required by law and/or
EPA policy are to
Ensur facility fire protection and life safety
operations, such as sprinkler systems, water
supply fire pumps, suppression systems, fire
extinguishers, fire detection and alarm
systems, emergency power and lighting, and
standpipe and hose systems, are working in
accordance with NFPA standards
Coordinate and organize occupant actions
and responses to emergencies
Conduct special operations, such as
welding, cutting or brazing, conducted in
accordance with standard operating
procedures or permits.
• Ensure a proper means of egress exists
Be aware of and familiar with National Fire
Protection Association (NFPA) standards
for hazardous materials and hazardous
waste management.
AUTHORITIES
The following documents are the sources of
legal authority that establish the applicability
and requirements for this chapter
Occupational Safety and Health Act (OSHA)
29 CFR Parts 1910 and 1960
Executive Order 12196
REFERENCES
The documents listed below can help you
implement the Fire Protection and Life Safety
program.
29 CFR Parts 1910 and 1960
OSHA, Field Technical Manual and
Interpretations
National Fire Protection Association, National
Fire Codes
Fire Protection Handbook
EPA. Facility. Safety. Health and Environmental
Management Manual
IMPLEMENTATION ACTIVITIES
The following list gives an overview of the
activities that this program will require To
implement and operate this program, you must
-------
Clarify selected aspects of the fire protection
and life safety standards applicable to EPA
facilities
Increase awareness of OSH A requirements
to implement effective management systems
that minimize fire protection and life safety
risks to EPA employees and facilities.
• Inspect and ensure exit enclosures, exit
signs and fire doors are provided and are in
proper working order
Review chemical inventories to identify
whether flammables with vapors lighter
than air may be stored If so, provisions
should be made for ventilation across the
upper portion of the storage room, as well
as across the floor
Dispense flammable liquids outdoors or in a
properly separated open area with proper
bonding and grounding, ventilation and
limited potential for other ignition sources
If the facility does not own or control water
supply piping other than a single pipe
feeding the facility, contact the local water
utility on a routine basis (every three to five
years) to determine the available water
supply in the area of the EPA building.
• Review HVAC system operations to ensure
fume hood performance will not be
adversely affected
IMPLEMENTATION IMPLICATIONS
The management systems and internal controls
required to implement this program include
Providing a flammable liquids storage
cabinet and considering a flammable liquids
storage room, where more than 230 liters
(60 gallons) of flammable and combustible
liquids are stored in one general area.
Integrating sprinkler systems, fire pumps,
suppression systems, fire extinguishers, fire
alarms, and emergency lighting into a
routine PM testing checklist that can be
performed by in-house or contract staff
occupants do not accumulate combustibles
near heating units
Develop and implement a permit process for
new or special operations (i e . welding.
cutting, or brazing).
Develop an abatement plan for all priority
A and B findings identified by SHEMD's
review process
Ensure records are available at the facility
for review by a regulator or other official
reviewing the fire protection of the facility
Institute an inspection process to ensure
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Safety, Health, and Environmental
Management Guidelines
Mav 1998
Fire Protection and Life Safety
Section 17-01
Table of Contents
FIR 17-01 Table of Contents
FIR 17-02 Introduction
Purpose
Scope
Authority
Objectives
Responsible Officers
References .
FIR 17-03 Means of Egress
Introduction
Means of Egress Requirements .
FIR 17-04 Hazardous Materials and Waste
Introduction
Storage . .
Handling .
FIR 17-05 Fire Protection & Life Safety Systems
Introduction
Water Supply .
Sprinklers .
Fire Pumps . ....
Other Suppression Systems . . .
Fire Extinguishers ....
Fire Detection and Alarm Systems
Emergency Power and Lighting
Standpipe and Hose Systems ....
17-3
17-3
17-3
17-3
17-3
17-4
17-5
17-6
17-9
17-9
17-11
17-13
17-13
17-14
17-15
17-15
17-16
17-17
17-17
17-18
Table of Contents
17-1
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Safety, Health, and Environmental Mav 1998
Management Guidelines
Fire Protection and Life Safety
FIR 17-06 Mechanical and Electrical Systems
Introduction . 17-19
HVAC Systems . . j7_19
Exhaust Systems . .. 17-19
Heating Equipment . . . 17-20
FIR 17-07 Special Operations
Introduction . . \l-2\
Permitting . 17-21
Welding, Cutting and Brazing . 17-22
FIR 17-08 Equivalency Analysis
Introduction . . 17-23
Responsibilities . j 7_23
Documentation 17-23
Records . . . 17-24
FIR 17-09 Program Elements
Introduction . 17-27
Records . . 17-27
Inspection, Testing and Maintenance . . 17-27
Review Process 17 90
. ' • l 1-t.o
Interim Compensatory Measures 17-29
Emergency Planning 17-29
Table of Contents 17-2
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Safety, Health, and Environmental
Management Guidelines
May 1998
Fire Protection and Life Safety
Section 17-02
Introduction
PURPOSE
This chapter provides policy, guidance, information and procedures
for complying with federal, state, and local regulations regarding
fire protection and life safety.
SCOPE
This chapter addresses fire protection and life safety at EPA
facilities and covers ongoing requirements to maintain an
acceptable level of protection
AUTHORITY
Occupational Safety and Health Act (OSHA), 29 CFR Parts 1910
and 1960, Executive Order 12196
OBJECTIVES
The objectives of this chapter are to:
• Ensure facility operations conform with applicable federal,
state, and local regulations with regard to fire protection and
life safety
• Increase awareness of OSHA requirements to facilitate the
implementation of effective management systems that minimize
fire protection and life safety risks to EPA employees and
facilities
• Clarify selected aspects of the fire protection and life safety
standards applicable to EPA facilities.
RESPONSIBLE
OFFICERS
The proper maintenance and use of fire protection and life safety
systems at EPA facilities should be monitored by the Safety, Health,
and Environmental Management Program (SHEMP) Managers
For fire and life safety concerns where specialized knowledge may
be necessary to adequately address a concern, the SHEMP
Manager should coordinate with the EPA Headquarters Safety,
Health and Environmental Management Division (SHEMD) and the
Architecture, Engineering and Real Estate Branch (AEREB)
Introduction
17-3
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Safety, Health, and Environmental
Management Guidelines
Ma> 1998
Fire Protection and Life Safety
REFERENCES
Topics discussed in this chapter were developed from the following
sources'
• 29 CFR Parts 1910 and 1960
• OSHA field technical manual and interpretations
• National Fire Codes of the National Fire Protection Association
Fire Protection Handbook
EPA Facility, Safety, Health and Environmental Management
Manual
Introduction
17-4
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Safety, Health, and Environmental
Management Guidelines
Mav 1998
Fire Protection and Life Safety
Section 17-03
Means of Egress
INTRODUCTION
An effective program for ensuring a proper means of egress
requires an understanding of the regulatory basis and accepted
practices The regulatory basis for means of egress provided for
the work place is primarily associated with those requirements
derived from 29 CFR Part 1910, Subpart E However, the specific
parameters related to certain aspects of a means of egress are not
well defined In an Interpretation issued in 1993, OSHA takes the
position that "employers who meet the requirements of NFPA-101
are considered in compliance with 29 CFR 1910, Subpart E
Employer compliance with revised national consensus standards,
such as, NFPA-101, which provide equal or greater employee
protection to that provided by an earlier version promulgated into
OSHA standards, would be acceptable to OSHA " OSHA also
accepts local building codes to the extent that those codes are in
compliance with OSHA standards This becomes important in
situations such as when more than one exit or means of egress are
required by 29 CFR 1910 36 (b) (8) which states.
Every building or structure, section, or area thereof of such size,
occupancy, and arrangement that the reasonable safety of numbers
of occupants may be endangered by the blocking of any single
means of egress due to fire or smoke, shall have at least two means
of egress remote from each other, so arranged as to minimize any
possibility that both may be blocked by any one fire or other
emergency conditions
This regulatory statement does not give guidance on how to
determine when "occupants may be endangered by the blocking of
any single means of egress." However, NFPA 101 provides
specific criteria for various types of occupancies when a single exit
is acceptable NFPA 101 also provides detailed criteria to
determine acceptable remoteness of the exits Based on this
problem, it is EPA's intent to use the most recent version of NFPA
101, where feasible, as a way to provide a means of egress that not
only meets the general requirements of 29 CFR 1910, Subpart E
but also is based on specific criteria developed through a consensus
process. The Guidelines presented in this chapter are based on the
requirements of the 1994 edition of NFPA 101 It is also EPA's
intent to comply with local building, fire prevention or other
Means of Egress
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adopted codes that apply to EPA facilities The code or standard
with the more stringent means of egress requirements will be
followed
MEANS OF EGRESS
REQUIREMENTS
Protection of the Means
of Egress 1910.37(b)
NFPA 101 5-1 3
Any building or structure designed for human occupancy shall be
provided with exit facilities adequate to allow occupants to
promptly evacuate in case of a fire or other emergency
Guidance: A means of egress is made up of three distinct parts:
"the exit access, the exit and the exit discharge. These three
segments must be maintained to provide an easily identified
continuous route to evacuate the building. See the Facility, Safety,
Health and Environmental Management Manual (FSHEMM)for
the EPA reference to the following criteria.
Access for the Means of Egress 1910 37(f)(l)
All portions of a means of egress from a building should remain
accessible whenever the building or area is occupied
Guidance: An exit access is any portion of a means of egress
which leads to an exit. Inspection of exit enclosures is limited that
housekeeping issues. To maintain the accessibility, there should
be no accumulation of materials which would obstruct access to
the physical path or present a potential fire or other hazard that
could result in the exit being blocked.
The protection requirements for various components of a means of
egress vary Corridors serving as an exit access for an area with an
occupant load of more than 30 should be separated or enclosed
with one hour fire resistive construction. The exit access portion of
the means of egress must be maintained free and clear of
obstructions as noted above
Guidance: Inspection of exit enclosures is limited to evaluating
the separation of the exit or exit access. The specific hourly rating
is not easily determined after the building is complete. The visual
inspection of such separations should ensure that there are no
penetrations (holes) present which would allow smoke or heat to
enter the exit or exit access enclosure. The separation should also
be inspected to ensure fire doors are provided and are in proper
working order.
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All penetrations should be sealed with materials that are
specifically designed to protect openings in fire resistive
construction. Openings around electric conduits feeding lighting
or sprinkler piping should be sealed with caulk or other material
to prevent the passage of smoke or heat into the exit enclosure.
Fire doors should be provided to protect all door openings into an
exit or exit access enclosure. The doors should remain in the
normally closed position unless special hold open devices are
provided which will release in the event of a fire or alarm.
Discharge of the Means of
ress 191037(h)(l)
Marking Means of Egress
All exits from a building should discharge directly to a street, or to
a yard, court or other open space that gives safe access to a public
way
Guidance: Section 5-7 ofNFPA 101 provides additional
information regarding discharge from exits. It is acceptable for
exits, such as stairs, to discharge within a building. However,
certain criteria must be met. EPA should ensure that any project
which may alter or modify a building near where a stair
discharges does not alter the conditions which allow the stair to
discharge within the building. It is also important that operations
within the building do not present a hazard to the area where an
exit discharges. EPA facility managers should ensure chemical
use or storage will not inadvertently present a risk to an exit
discharge.
The exit route should be readily apparent from all areas of a
building Exits such as stairs, exit doors or protected exit
passageways must be provided with exit signs. The direction to
reach an exit must either be readily apparent or marked with exit
signs. Any exit sign must either be internally illuminated or
sufficiently illuminated from external lighting. In areas required to
be provided with emergency lighting, the exit signs must also have
emergency power or be illuminated by emergency lighting
Guidance: NFPA 101 Section 5-10 provides general requirements
for exit signs. In addition, the applicability of Section 5-JO is
provided in the specific occupancy chapters of NFPA 101. In
general, exit signage should be adequately addressed during the
design stage of a new or remodeled building. If a small
modification is being performed to a facility without a review
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Lighting of the Means
of Egress
Maintenance/
Housekeeping Means
of Egress
Fire Protection and Life Safety
process, special care should be given to ensure that the means of
egress is adequately identified.
All facilities must address the continued maintenance of exit signs.
Exit signs should be visually inspected to ensure they are properly
lighted and that any emergency power or lighting also is
operational.
The designated exit access from all areas of a building should be
adequately illuminated The minimum required level of illumination
is 1 foot-candle measured at the floor Emergency lighting also is
required for these areas The minimum required level of initial
illumination is an average of 1 foot-candle with a minimum at any
one point of 0.1 foot-candle along the path of egress measured at
floor level. Emergency lighting is required to provide at least 90
minutes of illumination with the level of illumination at the end of
the required duration at least 60 percent of the required levels of
initial emergency illumination
Guidance: NFPA 101 Section 5-8 provides requirements for
illumination of the means of egress. Section 5-9 of NFPA 10 J
provides the requirements for emergency lighting. The
applicability of these sections is provided in the specific occupancy
chapters of NFPA 101. Lighting should be addressed during the
design stage of a new or remodeled building. If a small
modification is being performed to a facility without a review
process, special care should be given to ensure that the adequate
illumination of the means of egress is provided.
All portions of a means of egress from a building should remain
accessible whenever the building or area is occupied
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Section 17-04
Hazardous Materials and Waste
INTRODUCTION
This section addresses the fire safety concerns associated with the
storage and handling of hazardous materials and waste. The
regulatory requirements for storage and handling of hazardous
materials and wastes vary significantly based on the specific use of
the facility involved The following presents general guidelines
The SHEMP Manager responsible for a facility that utilizes
hazardous materials should familiarize themselves with at least the
following NFPA standards NFPA 30, 45, and 55 These codes
also can serve as a resource for other valuable references
STORAGE
Fire protection regarding the storage of hazardous materials and
wastes is based on the type and characteristic of the hazardous
material or waste being stored The EPA criteria for hazardous
material and waste storage facilities can be found in chapter 7 of the
FSHEMM
In general, the most specific fire protection regulations for storage
of hazardous materials or wastes are the regulations for storage of
flammable and combustible liquids The specific amount of
flammable liquids allowed to reside outside of a special storage
enclosure is limited by the use of building or facility
Guidance: Where flammable and combustible liquids are used on
a routine basis in quantities greater than eight liters (two
gallons), such as in a laboratory, a flammable liquids storage
cabinet should be provided. Where more than 230 liters (60
gallons) are stored in one general area, a flammable liquids
storage room should be considered. For specific requirements
where flammable liquids storage cabinets and flammable liquids
storage rooms are required, see NFPA 30 and NFPA 45. No
more than one day's supply of flammable liquid should reside
outside of a storage cabinet or room at one time.
Flammable liquids storage rooms must be provided with ventilation
Ventilation of flammable liquids storage cabinets is not required
from a fire protection perspective Section 4-4 of NFPA 30
specifies minimum construction and ventilation rates for flammable
liquid storage rooms. However, the ventilation requirements do
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not take into consideration varying aspects of many flammable
liquids
Guidance: The ventilation criteria set forth in NFPA 30 are based
onjlammables with vapors that are heavier than air. The SHEMP
Manager should review chemical inventories to identify whether
flammables with vapors lighter than air may be stored. If so,
provisions should be made to provide ventilation across the upper
portion of the storage room as well as across the floor
Storage of compressed gasses is addressed in NFPA 45 and 55 In
general, compressed gas cylinders must be properly secured to
prevent damage to the cylinder valve stem and storage must be
properly segregated.
For storage in laboratories, the primary reference should be NFPA
45, which addresses cylinder use within the laboratory work area
Guidance: Compressed gas cylinders in laboratories should be
limited to the cylinders in use in that work area plus one
replacement cylinder.
NFPA 55 is applicable to the general storage of compressed gas
cylinders at a facility. The basic requirements include separating
compressed gas cylinders from other incompatible compressed
gasses, general combustibles and flammable or combustible liquids
Table 2-1.5 of NFPA 55 provides the required separation between
various gas cylinders by type of hazard of the gas. Table 2-2.1
provides preferred storage locations for flammable gases based on
the total volume stored
The storage of other hazardous materials that do not pose a direct
fire threat also should be considered
Guidance: Release of radiological or other hazardous materials
may not pose a direct fire threat. However, afire may contribute
to the release of such material. This should be considered in the
storage practices of radiological or hazardous materials which
could threaten public health and safety or the environment if a
release occurred.
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HANDLING
The handling of hazardous materials and wastes presents a
significant fire risk As noted above, the most specific requirements
are those for flammable liquids The most critical fire protection
concern in handling flammable liquids is the transfer of the
flammable liquid between containers The transfer of flammable
liquids between two containers can create a sufficient static charge
to result in a discharge with adequate energy to ignite the
flammable liquid The risks associated with dispensing of
flammable liquids are significant enough to require additional
protective measures beyond those for storage of flammable liquids
These requirements are outlined in NFPA 30, Paragraph 4-4211
Guidance: Dispensing of flammable liquids should not be
performed within flammable liquids storage rooms unless the room
has been specifically designed for dispensing operations. To
reduce the risks associated with dispensing operations, dispensing
should be performed outdoors or in a properly separated open
area with proper bonding and grounding, ventilation and limited
potential for other ignition sources.
Hazardous material or hazardous waste handling should be
performed in such a way that a minor accident will not result in a
fire or other incident Typical fire protection precautions when
handling hazardous materials and wastes include using approved
safety containers for transporting materials, securing and protecting
control valves or valve stems, transporting only compatible
chemicals together, and limiting the quantities transported to reduce
the hazard and make the transportation more manageable
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Section 17-05
Fire Protection and Life Safety Systems
INTRODUCTION
This section addresses existing fire protection and life safety
systems The following guidance describes the necessary
requirements to maintain and test an operational system
WATER SUPPLY
Most EPA facilities do not control the water supply to their
facilities. In these cases, the requirements for maintaining the water
supply are the responsibility of the water utility and the annual
sprinkler drain tests will adequately meet the water supply testing
requirements The FSHEMM specifies sources of acceptable water
supplies and requirements to follow for alternate supply sources
Guidance: If EPA facilities do not own or control water supply
piping other than a single pipe feeding the facility, EPA staff
should contact the local water utility on a routine basis (every
three to five years) to determine the available water supply in the
area of the EPA building. The available water supply should be
documented along with any previous water supply data to identify
general water supply trends (improvement or degradation).
If EPA owns a distribution system that feeds water to individual
buildings, the required maintenance is increased As noted above,
the available water supply should be documented. However, it
becomes the responsibility of EPA to perform flow tests and
properly record the data In addition, routine inspection, testing
and maintenance of the water distribution system is the
responsibility of EPA, the General Services Administration or the
facility owner Routine inspection and maintenance is required for
fire hydrants, valves and the piping In general, all inspections and
maintenance should be performed annually and after each use
Typical inspection and maintenance for a fire hydrant include
confirming easy access, lubricating threads and stems, flushing, and
checking that no stagnant water remains in the hydrant barrel.
Valves require periodic lubrication and exercising to ensure their
continued operation. Specific details on required inspection, testing
and maintenance are contained in Chapter 4 of NFPA 25.
Guidance: A flow test, where water is flowed from the water
supply and measured, is required every five years. However,
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hydrants requiring annual maintenance could also be used to
selectively test the water flaw available. Facilities should consider
more frequent flow tests performed on a selective basis.
SPRINKLERS
Sprinkler systems must be included in a preventative maintenance
(PM) program The program must include a monthly visual
inspection of components, a quarterly inspection and test of the
water supply and alarm capabilities of the system, and annual
inspection and test of piping, sprinklers, valves, fire department
connections and other system components. The installation of
sprinkler systems must follow the criteria set forth in chapter 5,
section 4 of the FSHEMM
Guidance: Each EPA facility should integrate the sprinkler system
into their PM program. The monthly visual inspections can be
implemented through the use of existing personnel (either staff or
contract). Any personnel who perform the visual inspections
should be trained and provided with a facility specific list of items
to be checked. This checklist can then be maintained as
documentation of the inspection program. The quarterly
requirements can either be met by existing personnel or through
contract to a professional sprinkler contractor. If existing
personnel are used, additional training must be provided to ensure
that the operation of the system is being performed properly.
Local jurisdictions may also require certification to perform the
quarterly servicing. If this is the case, it may be better to contract
out this Junction. The annual (and less frequent) servicing should
be contracted to a licensed sprinkler contractor. This is important
for two reasons: to meet potential licensing requirements and to
ensure that the system is reviewed by experienced personnel on at
least an annual basis.
There also are longer term testing and maintenance requirements
that must be met on 5, 20 and 50 year intervals These include
items such as testing of gauges and sprinkler heads and
maintenance of valves When fast response sprinklers are more
than 20 years old or any sprinklers are more than 50 years old, the
required testing becomes more frequent These requirements
would normally be brought to the attention of the facility by a
trained contractor performing the quarterly or annual sprinkler
system servicing
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FIRE PUMPS
Fire pumps require inspection on a weekly basis As with
inspections for other systems, the inspection of the fire pump is
limited to a visual verification that the pump appears to be
operational. Along with this visual inspection the fire pump should
also be tested on a weekly basis. This test simply involves starting
the pump through automatic means and running it for at least 10
minutes with no water flowing More extensive testing is required
on an annual basis. The annual testing includes a complete flow
test The documentation of the annual testing must be maintained
to compare the performance of the pump over its operational life
The annual testing usually is performed in conjunction with annual
maintenance The required maintenance depends on the type of fire
pump However, all fire pumps require maintenance on an annual
basis
Guidance: Not all facilities are equipped with fire pumps. When
provided, the weekly inspections and test are easily performed as a
routine PM checklist items. However, the annual test and
maintenance should be performed by a licensed contractor
familiar with fire pump operations, testing and maintenance.
OTHER SUPPRESSION
SYSTEMS
Other suppression system (e g dry chemical, carbon dioxide and
clean agent gases) also require routine inspection, testing and
maintenance. The requirements for installation of these systems are
found in chapter 5 of the FSHEMM
Guidance: The specific inspection, testing, and maintenance
requirements for various suppression systems vary. Each EPA
facility should identify all such systems and develop a specific PM
schedule for each system. The required inspection, testing, and
maintenance for non-water-based extinguishing systems are
included in the specific NFPA standard for that system. If the
system is water-based, the criteria are included in the
corresponding chapter of NFPA 25. Some of these other
extinguishing systems and where the inspection, testing, and
maintenance requirements can be found include:
Carbon dioxide systems - NFPA 12
Foam-water systems - NFPA 25, Chapter 8
Water spray systems - NFPA 25, Chapter 7
Dry chemical systems - NFPA 17
Wet chemical systems - NFPA 17A
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Clean Agent system - NFPA 200 J
FIRE EXTINGUISHERS
Fire extinguishers require routine inspection and maintenance The
inspection of fire extinguishers is limited to a quick visual check to
ensure the fire extinguishers are available and operable The
inspection includes confirming the fire extinguishers are in their
proper location, the pressure gauge (if provided) shows adequate
operating pressure and there is no obvious physical damage or
obstruction that would prevent their use These inspections can
easily be implemented by EPA staff Documentation of the
inspections must either be attached to the fire extinguishers or
maintained in an electronic system that provides a permanent
record
Fire extinguisher maintenance is required on an annual basis The
specific maintenance varies by the type of fire extinguisher. The
annual maintenance is best performed by a person knowledgeable in
the basic functionality of fire extinguishers. They must be familiar
with the mechanical parts, extinguishing agent and means of
expelling the agent Based on the need for this expertise, it is best
to have the annual maintenance contracted to a fire extinguisher
contractor. The annual maintenance documentation is required to
be via a tag or label securely attached to each fire extinguisher
This is normally included by the maintenance contractor with no
need for further documentation by the facility Additional
maintenance and testing is required for certain types of
extinguishers This includes hydrostatic testing and emptying and
re-loading of the extinguisher These requirements also should be
performed by a qualified individual If a contractor is used for
annual maintenance, the need for the additional maintenance and
testing is usually identified, brought to the attention of the facility
and performed in a timely manner.
Guidance: The inspection of fire extinguishers is best performed
in conjunction with sprinkler system or other PM programs. The
annual maintenance and other testing are best conducted through
a contractor.
FIRE DETECTION AND
ALARM SYSTEMS
Most fire alarm components require testing on either a quarterly,
semi-annual or annual basis Monthly testing also is required for
some batteries and off-premises equipment. However, these would
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not be expected at most EPA facilities It is important to note,
based on the above testing frequencies, that all devices must be
tested at least once every year If a revolving cycle is implemented
where selected devices are tested each month, the facility must
ensure that the devices are being tested at the required frequencies
In most installations, testing one device each month will not meet
the testing requirements for the fire alarm system Chapter 6,
section 11 of the FSHEMM provides the requirements for fire
alarm system operation which should be met at the time the system
is installed
Guidance: Each facility should integrate fire alarm inspection
and testing into the facility PMprogram. The specific test
methods which are required for various fire alarm system
components are outlined in Table 7-2.2 ofNFPA 72. Any testing
performed on the fire alarm system at a minimum must comply
with the test methods outlined in this table. Table 7-3.2 outlines
the frequency which the testing must be performed. Visual
inspection frequencies are outlined in Table 7-3.1. All inspection
and testing of fire alarm systems should meet these requirements.
Samples of inspection and testing forms are included as Figure 7-
5.1 ofNFPA 72. The records maintained at the facility should
contain the information requested in this sample
Emergency lighting systems must be installed in accordance with
chapter 6 of the FSHEMM Emergency lighting systems must
undergo a functional test on 30-day intervals for a minimum of 30
seconds Emergency lighting units that have self-testing and self-
diagnosing capabilities do not require the functional test but must
be visually inspected on 30-day intervals An annual test of the
emergency lighting must also be performed This test must be 90
minutes in duration with adequate illumination maintained
throughout the test. These requirements apply to each rechargeable
battery unit used for emergency lighting purposes
When the emergency lighting is part of a larger emergency power
system, additional testing and maintenance must be performed
However, these systems usually will not require testing of
individual lights The additional requirements are contained in
NFPA 110 for emergency generators and NFPA 111 for stored
electrical energy systems (i e., battery systems).
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Generators must be inspected weekly and exercised with a test of
the transfer switch on a monthly basis Stored Electrical Energy
Systems must also be inspected on a weekly basis with a functional
test performed quarterly
Guidance: The testing of emergency lighting also is easily
integrated into a routine PM checklist item which can be
performed by in-house or contract staff. However, the more
rigorous testing and maintenance of emergency power generator
sets and stored electrical energy systems should be contracted to
licensed contractors familiar with such systems.
STANDPIPE AND
HOSE SYSTEMS
Hoses should not be installed on connections within EPA-occupied
or -controlled spaces If a hose is provided to meet local codes, it
must be tested and maintained in accordance with NFPA 25 and
1962 Standpipe systems must be maintained in accordance with
NFPA 25 In addition, signs must be posted at the hose which
states "For Fire Department Use Only "
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Section 17-06
Mechanical and Electrical Systems
INTRODUCTION
This section addresses the fire safety concerns associated with
selected mechanical and electrical systems
HVAC SYSTEMS
The fire protection concern associated with HVAC systems is the
spread of smoke through a facility during a fire incident. The
design criteria is presented in the FSHEMM, chapter 5, section 8
HVAC systems, if not properly designed, can contribute to the
spread of smoke through a facility To prevent this from occurring,
the HVAC system should be integrated with the fire alarm system
or, at a minimum, provided with duct smoke detectors to shut
down the fan units upon detection of smoke If the duct smoke
detector is not connected to the fire alarm system, it must sound a
local alarm when smoke is detected Testing of this portion of an
HVAC system should be integrated as part of the fire alarm testing
requirements
Guidance: In laboratories where one-pass air is provided, the
provision of duct smoke detectors should be limited to the supply
fans. The purpose of the duct detectors is to prevent the
introduction of smoke into the building if there is a malfunction in
the fan unit, such as a slipping fan belt. Each facility should
review the operation of their HVAC system to ensure fame hood
operations will not be adversely affected. If the automatic shut
down of a fan unit would expose a fume hood operator, means
should be provided to give ample warning of a potentially
hazardous condition.
EXHAUST SYSTEMS
The design of exhaust systems, including fume hood systems,
should address the fire protection concerns associated with these
systems. The requirements for such systems are presented in
chapter 5, section 9 and 12 From an operational standpoint the
systems should not require maintenance to ensure proper fire
protection unless the potential for accumulation exists in the
exhaust system (e.g, a sawdust removal system or cooking
equipment ventilation system) When there is the potential for the
system to require routine cleaning, the maintenance should be in
accordance with NFPA 91.
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Modification of these systems can have a significant effect on the
fire separations between laboratory areas Therefore, facility staff
should take care when modifying such systems to ensure that fire
separations are not compromised by changes to exhaust or fume
hood systems
Guidance: Any modifications of exhaust or fume hood systems
should be reviewed by an engineer to ensure that proper fire
separations are not compromised by the installation.
HEATING EQUIPMENT
Heating equipment should be installed in accordance with chapter
5, section 10 of the FSHEMM Stationary heating equipment, such
as boilers and furnaces, should be maintained in accordance with
the applicable codes and manufacturers' recommendations The
level of maintenance and testing required depends on the heating
system's size and type of fuel
Portable heating devices should not be used in EPA facilities except
under special circumstances Where permission has been granted
for their use, a permitting system should be implemented as
discussed in Section 7 of this document The use of portable
heating devices should be treated as a special operation and
undergo strict review.
Guidance: Any use of portable heating units should be limited to
those -with Underwriters Laboratories listings. The devices should
be provided with safety switches that activate if the unit is tipped.
The permitting of the units should be used to control the type of
units used and to easily identify and remove from service any units
found to be either faulty or that create unacceptable risks. Along
with the permitting process, there should be an inspection process
initiated to ensure that occupants do not accumulate combustibles
near the heating units.
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Section 17-07
Special Operations
INTRODUCTION
Special operations in the context of these guidelines are considered
those that are not routinely encountered in the everyday use of a
facility It should be noted that special operations may include a
pilot operation that may, in time, become a routine operation with
standard operating procedures (SOPs). Until such SOPs are
developed, the criteria outlined in this section should be applied
For example, welding, cutting, and brazing should not be a routine
operation in an EPA facility Therefore, this is included in this
section
PERMITTING
There is a regulatory basis for issuing a permit for welding, cutting,
and brazing as noted below However, for other operations,
permits are considered good work practice
Guidance: EPA facilities should develop and implement a permit
process for new or special operations. This is especially true for
new operations that are following untested SOPs performed
outside of equipment designed for operations, such as fume hoods
Another appropriate use of a permitting procedure would be
construction or other renovations in an area where the work may
impact or be exposed to ongoing laboratory operations. The
permit should serve as notification for appropriate safety staff of a
new or special operation that is being conducted. This will allow
the safety staff to research the operation to determine what safety
precautions should apply to such an operation. The permit should
also serve to solicit safety staff input in developing the SOPs for a
new or special operation. The permitting process can ultimately
serve to demonstrate that measures have been taken to assure a
reasonable level of safety before initiating new processes.
Examples of when a permit should be implemented include
distillation processes outside of a fume hood, spray painting
operations, and use of volatile chemicals in an office environment.
Examples of when a permit would not be necessary are distillation
processes conducted within an operable fume hood, a special
operation that has been performed in the past with an accepted
SOP, and minor spray painting using a single, pre-packaged spray
can.
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WELDING. CUTTING
AND BRAZING
As noted above, there is a regulatory requirement for permitting of
welding, cutting, and brazing operations
Guidance: A sample permit can be found in the appendix to NFPA
SIB.
A permit must be issued before any welding, cutting, or brazing is
conducted. The area where the operations are to take place must
be inspected prior to issuing the permit and at least once per day
while the permit is in effect The inspection is meant to ensure the
area is fire safe Any hazards noted must be documented on the
permit with appropriate precautionary measures also noted If the
area has combustible materials, including building contents or the
building's construction material, special measures must be taken.
These include removing the combustible materials, wetting them, or
otherwise protecting them against ignition Specific measures to be
taken can be found in chapter 3 of NFPA 5 IB
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Section 17-08
Equivalency Analysis
INTRODUCTION
The concept of equivalency historically has been applied to existing
facilities that do not meet the prescriptive requirements of
regulatory documents However, there has been a recent emphasis
on performance-based standards The proper procedure and
documentation of either an equivalency or performance-based
method of meeting a regulatory requirement is important to avoid
regulatory conflicts and citations The responsibilities for accepting
equivalencies or performance-based approaches are outlined in
chapter 1, section 8 of the FSHEMM These responsibilities are
held jointly by SHEMD and AEREB
Equivalencies only are appropriate when a regulatory requirement
cannot be implemented in an existing building and the requirement
was not in force at the time of construction Equivalencies are not
appropriate for new construction and should not be used to realize
marginal cost benefits
RESPONSIBILITIES
DOCUMENTATION
The responsibility for providing an equivalent level of protection or
meeting a performance-based compliance methodology lies with the
entity which could be inspected against the regulatory requirement
This responsibility usually resides with the facility
The documentation of an equivalency begins when the issue of
potential noncompliance is first raised. This section assumes that
an equivalency or performance-based methodology will only be
implemented if strict compliance is not easily implemented The
documentation necessary when an equivalency is pursued includes
identification of the regulatory basis, an abatement plan, evaluation
of the regulatory citation to determine the intent of the regulation,
development of the equivalency methodology, and implementation
of the equivalency This documentation must be maintained for the
time that the regulatory citation is not met as required by chapter 1,
section 8 of the FSHEMM Situations where documentation of
equivalency is no longer required include (1) renovations that
achieve compliance, or (2) changes in the regulations or referenced
codes that result in the existing condition complying with the new
regulation
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The initial documentation of the regulatory basis likely will result
from an audit or review. The audit or review may be internal or
external, and also could be a regulatory or programmatic review If
there is a comprehensive fire and life safety program in place, most
if not all of the initial identification of compliance issues should be
from a programmatic audit or review The proper documentation
of these issues becomes more important to illustrate to a regulator
that the program is functioning and resulting in corrective
measures.
Early in the development of a corrective measure, the
documentation will be limited to identification of the regulatory
citation If a regulatory citation creates an unsafe or unhealthful
condition and a corrective measure cannot be implemented within
30 calendar days, an abatement plan must be developed The
abatement plan must explain the conditions that are delaying the
abatement, have a proposed timetable for abatement, and a
summary of interim steps taken to protect employees
Guidance: An abatement plan should be developed for all priority
A and B findings identified by SHEMD 's review process. While
not all of these issues would be considered to create an unsafe or
unhealthful condition, the development of an abatement plan
serves as an indicator that a comprehensive program is in place.
This policy is reflected in the Facility Safety, Health and
Environmental Management Manual.
RECORDS
There are no specific regulatory requirements for the records that
must be maintained. However, the regulation does outline steps
that must be taken when abatement of a violation cannot be
accomplished within a timely manner The following guidance for
records is derived from the regulatory requirements for the
abatement of unsafe or unhealthful working conditions
Guidance: The records described below should be retained as
part of the equivalency or performance-based compliance
methodology implemented:
• Original identification of the hazard, including regulatory
citation
• Original and updated abatement plans
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• Correspondence and transmittals with regard to the abatement
between safety and health committees, employee
representatives, other agency resources that are needed to
abate the condition, and the lessor agency
• A report or analysis of the equivalency or performance-based
approach to abate the citation. This should include a
regulatory review for the basis of the recommended actions to
be taken
• Proper documents that demonstrates the equivalency or
performance-based approach has been implemented. This may
include construction documents or purchase request forms.
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Fire Protection and Life Safety
Section 17-09
Program Elements
INTRODUCTION
This section addresses the basic program elements of administrative
actions that must be implemented to assure a comprehensive fire
and life safety program. This is presented in program elements
including records required to be maintained, inspection, testing and
maintenance of fire and life safety systems, review of fire and life
safety installations or modifications, interim compensatory
measures, and general emergency planning Each element is
discussed below and includes guidance for the SHEMP manager
RECORDS
Records of inspections, tests, and maintenance of systems and their
components should be retained by EPA If the facility is leased, the
owner is required to maintain such documentation
Guidance: EPA should have records readily available at the
facility for review by a regulator or other official reviewing the
fire protection of the facility. While it is not a requirement that
EPA have the documentation, it should be part of a comprehensive
package to illustrate the facility's commitment to the fire
protection and life safety part of the overall Safety, Health and
Environmental Management Program.
INSPECTION.
TESTING. AND
MAINTENANCE
Inspection (Visual)
Testing
Inspection requirements for various fire and life safety systems are
simple visual confirmation that a system or component is ready for
service Examples of inspections include confirmation of the fire
extinguisher's proper location and pressure or confirmation that a
sprinkler valve is open. No physical testing of a system or its
components is performed during inspections Inspections are more
frequent than testing or maintenance as discussed below
Guidance: The inspection requirements for various fire and life
safety systems should be integrated into a comprehensive
inspection program which could include other periodic inspection
requirements, such as RCRA weekly inspections.
Testing of a system or its components is most comprehensive
during initial acceptance of a new system or re-acceptance of a
system after major modifications Additional testing is required
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Maintenance
Fire Protection and Life Safety
throughout the life cycle of a fire or life safety system Required
tests usually are performed on a monthly, quarterly, semiannual, or
annual basis The specific tests required and the frequency of
testing can be found in the appropriate NFPA standard that applies
to the fire or life safety system
Maintenance is often performed on an "as needed" basis as
determined by either inspections or testing. This type of
maintenance usually involves correcting a malfunction or break
down of the system There also are some fire and life safety system
components that require maintenance at prescribed intervals This
type of maintenance is prescribed for components that either have a
limited expected life or limited usable life without additional
maintenance Examples of components that require routine
maintenance include batteries, sprinkler heads, and smoke
detectors.
Guidance: Records that should be maintained include valve
inspections, flaw, drain and pump tests, trip tests of dry pipe,
deluge andpreaction systems, smoke detector operation and other
fire alarm component testing Inspection documentation may also
be coordinated at a centralized location to facilitate management
of the inspection program.
REVIEW PROCESS
The design plans and construction drawings for new and modified
facilities, including modifications to existing fire and life safety
systems, should be reviewed at significant design and construction
points as prescribed in chapter 1, section 9 of the FSHEMM The
review will be coordinated between SHEMD and AEREB to ensure
proper selection and installation of the system or modifications to
an existing system If the system to be installed or modified is
deemed critical, such as a sprinkler system or fire alarm, the
installation or modification must be inspected by a representative
acceptable to SHEMD. Such a system must also undergo a
comprehensive acceptance test as required by the design and
construction specifications, as well as the applicable NFPA
standard.
Guidance: To ensure that fire and life safety systems are properly
selected, installed, maintained and modified, the facility SHEMP
Manager should request specialized expertise. AII reviews and
installation or modification inspections should be performed by a
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Fire Protection and Life Safety
trained professional knowledgeable in fire protection or life safety
systems design and implementation.
INTERIM
COMPENSATORY
MEASURES
EMERGENCY
PLANNING
All planned impairments of water-based fire protection systems
must be performed with the appropriate measures taken as outlined
in NFPA 25, Chapter 10 Under emergency impairments,
appropriate emergency actions will be taken to minimize potential
injury and damage The steps outlined for preplanned impairments
must be implemented as soon as feasibly possible The steps that
must be taken are
• Determine the extent and expected duration of the impairment
• Inspect the areas or building involved to determine the
increased risk
Submit recommendations to management or the building
owner/manager
• Notify the fire department
• Notify other authorities as appropriate (such as alarm
companies)
• Notify the supervisors in the affected areas
• Implement a tag impairment system, as described by NFPA 25
• Assemble all necessary tools and materials on the impairment
site.
Guidance: Impairments of all fire protection and life safety
systems, including fire alarm and emergency lighting or power
systems, should follow similar procedures when impairments
occur.
Fire and life safety emergency planning is concentrated in the
occupant emergency plan. In small facilities, this plan may be a one
page, abbreviated plan as approved by GSA In larger, more.
complex facilities, this may be a large document. The plan must be
updated annually. This update should include revision of the
personnel assigned responsibilities under the plan and integration of
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new areas or processes that have been introduced into the facility
since the plan was last updated Periodic drills also are required
Guidance: The occupant emergency plan must be coordinated
with other emergency plans, such as a chemical hygiene plan or
emergency and disaster preparedness plan. Consistency between
personnel assigned to tasks and periodic drills, as detailed in the
various documents, is important. Where appropriate the facility
may wish to develop a comprehensive document that meets the
criteria for the various required documents.
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