NETI-WEST MULTIMEDIA INSPECTOR TRAINING COURSE STUDENT MANUAL MAY 1998 ------- NETI-WEST MULTIMEDIA INSPECTOR TRAINING COURSE STUDENT MANUAL MAY 1998 U. S. Environmental Protection Agency Office of Enforcement and Compliance Assurance Office of Criminal Enforcement, Forensics, and Training National Enforcement Training Institute NETI-West Lakewood, Colorado iNETf NATIONAL ENFORCEMENT TRAINING INSTITUTE-West ------- MULTIMEDIA INSPECTOR TRAINING COURSE AGENDA DAY ONE 8:00 - 8:30 Registration 8 30 - 8:45 Session 1. Welcome to Multimedia Inspector Training Course This session welcomes participants to the course and provides administrative information. 8 45 - 9 00 Session 2. Introduction to Multimedia Inspector Training Course This session provides an overview of the course and its goals and objectives. 9:00- 10:00 Session 3. Introduction to Multimedia Inspections and Enforcement This session provides examples that will familiarize participants with the basic concepts of a multimedia inspection. 10:00-10:15 Break 10:15 - 12 Noon Session 4. Planning and Coordination of Multimedia Projects Lecture This session combines lecture and a practical exercise to teach participants various aspects of planing a multimedia inspection, such as development of the project plan, team building, notifications, planning meetings, reevaluation, and preinspection team meetings. 12 Noon -1:00 Lunch ------- 1 00 - 2:45 Continuation of Session 4. Planning and Coordination of Multimedia Projects - Lecture 2 45 - 3:00 Break 3 00 - 5:00 Continuation of Session 4. Planning and Coordination of Multimedia Projects - Practical Exercise DAY TWO 8 00 - 10:30 Session 5. Overview of Major Statutes This session provides participants with an overview of the federal approach to environmental regulations and typical enforcement options. It also provides an overview of the following environmental programs: Clean Air Act, Toxic Substances Control Act, Clean Water Act, Federal Insecticide, Fungicide, and Rodenticide Act, Resource Conservation and Recovery Act, Safe Drinking Water Act, Comprehensive EnvirResponse, Compensationpensation and Liability Act, Emergency Planning and Community Right-to-Know Act, and requirements of the Department of Transportation. 10:30 - 10:45 Break 10:45 - 12 Noon Session 6. Conducting the Multimedia Inspection - Lecture This session combines lecture and a practical exercise to instruct participants in conducting an inspection. Topics include preinspection meetings, entry and the opening conference, the inspection strategy, document reviews, interviews, sampling, issues affecting media-specific and multimedia inspections, daily debriefings, and the closing conference. The session will close with a detailed discussion on process based inspections. 12 Noon-1:00 Lunch 1:00-2:45 Continuation of Session 6. Conducting the Multimedia Inspection - Lecture 2:45 - 3:00 Break ------- 3:00-4:00 4:00 - 5:00 DAY THREE 8 00 - 9:30 9 30 - 9:45 9 45 - 10:45 10:45 - Noon 12 Noon - 1:00 1.00-3:00 3:00-3:15 3:15-3:45 3 :45 - 4 45 Continuation of Session 6. Conducting the Multimedia Inspection - Practical Exercise Continuation of Session 6. Process Based Inspections Session 7. Report Writing This session discusses writing standard inspection reports and supports that lecture with a practical exercise in writing a multimedia report. Break Session 8. Inspection Follow-up This session discusses follow-up enforcement procedures that the inspector will complete after a multimedia inspection. Session 9. Environmental Management Systems This session discusses ISO 14000 and how to evaluate Environmental Management Systems. Lunch Session 10. EPA Initiatives This session examines several new EPA initiatives, including pollution prevention and waste minimization, environmental justice, and supplemental environmental projects. Break Continuation of Session 10. EPA Initiatives Course Wrap-up ------- Table of Contents Welcome to Multimedia Inspector Training Course 2 Introduction to Multimedia Inspector Training 3 Introduction to Multimedia Inspections and Enforcement Planning and Coordination of Multimedia Projects Overview of Major Statutes Conducting the Multimedia Inspection Inspection Follow-Up Environmental Management Systems EPA Initiatives and New Statutory Requirements 10 MAVERY 3EA0Y NDcX' INDEXING SYSTEM ------- ------- ------- Session 1: Welcome to Multimedia Inspector Training Course Session Overview Duration: 15 minutes Objective: To have a senior EPA or state official welcome the participants to the Multimedia Inspector Training Course and provide a general framework and policy statement on senior management support for conducting Multimedia Inspections. Process: Lecture Materials: Overhead projector ------- Welcome to Multimedia Inspector Training Course ------- 2 ------- Notes ------- Session 2: Introduction to Multimedia Inspector Training Course Session Overview Duration: 15 minutes Objective: To provide an overview of the course and its goals and objectives; conduct instructor and participant introductions; and review the administrative details associated with the delivery of the course Process: Lecture and group discussion Materials: Overhead projector Agenda Evaluation form Multimedia Investigation Manual (EPA-330/9-89-003-R) ------- Inti oduction to Multimedia Inspector Training Course Introduction to Multimedia Inspector Training flNETl Introduction to Multimedia Inspector Training 2-1 May 1998 ------- 3 ------- ------- Session 3: Introduction to Multimedia Inspections and Enforcement Session Overview Duration: 1 hour Objective: This session provides an overview of the multimedia inspection and enforcement process. After this session, participants should be able to define the term multimedia, explain what the holistic approach is, and demonstrate a basic understanding of the team approach to multimedia inspections, enforcement and compliance assistance, inspection categories, targeting, resources, and the basic skills needed by the inspection team at each level. Process: Lecture, group discussion, and scenario exercise Materials: Multimedia Investigation Manual Flip chart and pens Overhead projector Exercise materials (scenarios) ------- Introduction to Multimedia Inspections and Enforcement Introduction to Multimedia Inspections and Enforcement fiNETl Introduction to Multimedia Inspections and Enforcement The following topics will be discussed during this session: ฎ The multimedia inspection as a holistic approach ฎ The advantages and disadvantages of various approaches to multimedia inspection, and to using various types of multimedia inspections ฎ The management iequirements for conducting a multimedia inspection, such as targeting, resources, and skill levels of the inspection team 3-1 May 1998 ------- Introduction to Multimedia Inspections and Enforcement Definitions The multimedia approach includes all environmental programs Inspectors take many approaches Inspectors use many tools Inspections are based on a holistic approach IINETl Definitions The term "multimedia" refers to all environmental programs (for example, air, water, hazardous waste, and pesticides) and all related environmental laws and regulations. Multimedia inspections use a broad spectrum of available approaches to motivate compliance and to monitor and control threats to health and the environment In a multimedia inspection, the inspector uses tools based on all environmental statutes for which the Environmental Protection Agency (EPA) has responsibility. A holistic approach means considering a facility as a whole by understanding the process(es) and not limiting the scope of the inspection to any single statute or set of ideals. 3-2 May 1998 ------- Introduction to Multimedia Inspections and Enforcement Multimedia Inspections Determine compliance status Emphasize identification of violations SNETl Multimedia Inspections Multimedia compliance inspections can be tailored to meet the needs of EPA in determining the compliance status of a facility. Many factors enter into the decision about how complex or how simple a multimedia inspection should be. Those factors are discussed later in die course. During the multimedia inspection emphasis is given to identifying violations of regulations, permits, orders and consent decrees, as well as the underlying causes of such violations. Inspectors should identify and document thoroughly violations and problems that pose an existing or potential effect on human health and the environment. 3-3 May 1998 ------- Introduction to Multimedia Inspections and Enforcement Trained Media Specialist Approach Advantages Disadvantages. Fewer resources Only one inspector More inspections Limited ability to Lower administrative observe violations costs No assistance liNETl a 4 Trained Media Specialist Approach Traditionally, inspections have been conducted by a trained media specialist, rather than through a team approach. The trained media specialist approach has both advantages and disadvantages. The advantages of that approach include. Fewer resources are needed to plan and follow up on the inspection. More facilities can be inspected because fewer personnel are needed to conduct each inspection. Administrative costs are lower because there is only travel and planning for one inspector. The disadvantages to a trained media specialist approach include. The only violations observed are those that the one inspector sees - typically in one media The inspector's ability to observe violations is limited to the inspector's specific knowledge. If the inspector needs help, no one is immediately available to assist. 3-4 May 1998 ------- Introduction to Multimedia Inspections and Enforcement The Team Approach Advantages. Disadvantages' Teamwork is good management More resources are used Pooled knowledge Information is shared Fewer facilities are inspected More coordination is required iSNETl 3 5 The Team Approach A team approach to problem solving is very popular but presents both advantages and disadvantages. " Among its advantages, a team approach: Encourages the holistic approach to multimedia inspections and teamwork. Involves a thoroughly trained staff from different program areas. A large facility that has several processes or operations may be regulated under numerous regulations and may have several permits. The on-site inspection is conducted during one or more time periods (usually one time period, unless the inspection is very complex), during which concurrent program-specific compliance evaluations are conducted, sometimes by personnel trained in more than one medium. Helps identify those issues that affect more than one medium and allows inspectors to share information and consult with other team members when questions arise. The conduct of concurrent evaluations allows inspectors to complete a more comprehensive evaluation of a facility for all media at the same specific time. D 3-5 May 1998 ------- Introduction to Multimedia Inspections and Enforcement Among its disadvantages, a team approach: Involves more resources than inspection of a single-medium. Consideration must be given to whether it is better to provide single-medium inspections at more facilities than can be inspected if multimedia inspections are conducted. The inspector's visibility at more facilities may be more important than a thorough inspection at a smaller number of facilities. Reduces the number of facilities inspected because more resources are used than a single-medium inspection requires Requires extensive coordination of arrangements with the facility and other offices, as well as coordination of internal schedules. 3-6 May 1998 ------- Introduction to Multimedia Inspections and Enforcement Multimedia Inspections Advantages. Disadvantages More comprehensive and reliable Improved enforcement potential Lower potential risk More effective Additional advantages Disseminated resources Need for communication among programs Agendas of other federal, state, and local agencies ISNETl 3-6 Multimedia Inspections: Advantages and Disadvantages There are both advantages and disadvantages to using a multimedia approach to inspections. * The advantages of conducting a multimedia inspection include- Ensures a more comprehensive and reliable assessment of a facility's compliance and overlooks fewer violations. The inspection team is evaluating compliance with all regulations and permits at the same time. Inspectors are talking to each other on site and looking for issues that involve more than one program. Such issues often are overlooked during single-medium inspections. Improves enforcement support and provides better potential for enforcement. Initiating a multimedia enforcement action allows the inclusion of minor violations with major violations, thereby facilitating total enforcement against the facility. Increases the probability of uncovering or identifying problems before they occur, thus avoiding any environmental or public health risk. The holistic inspection provides the opportunity to discover problems that affect several media that may have been missed during single-medium inspections, as well as other problems that are not regulated but that cause environmental harm. 3-7 May 1998 ------- Introduction to Multimedia Inspections and Enforcement Increases the ability to respond more effectively to non-program- specific complaints, issues, or needs and develop a better understanding of multimedia problems and issues, such as waste minimization. When they participate in multimedia inspections, inspectors can broaden their knowledge of such problems, and of the regulations of programs other than their own, because they have a total picture of the facility. They therefore have a better understanding of the processes that can be used to identify waste minimization opportunities. Additional advantages of the multimedia approach include: Industry apparently accepts the concept, primarily because' a comprehensive look at a facility yields comprehensive identification of problems that facilitates planning and budgeting for corrective actions; something a facility often appreciates -- the appearance of harassment is minimized the number of EPA inspectors visiting a facility is reduced. A facility that undergoes a multimedia inspection is not always affected adversely. With proper planning and coordination, the effect on the facility can be minimized. Representatives of industry have indicated that, while they do not want to be inspected, they prefer a multimedia inspection, primarily because they need to prepare for only one inspection All areas are covered; they can ask questions and usually obtain answers without waiting to talk to some other individual. Companies also believe that, if the inspectors know more about their facility operations and problems, it is easier to resolve problems (for example, to avoid unjustified issuance of a notice of violation) 3-8 May 1998 ------- Introduction to Multimedia Inspections and Enforcement Multimedia enforcement cases frequently lead to larger case settlements; the larger settlements have a different effect. For example, such an inspection at Kodak facilities resulted in $10,000,000 in fines and corrective action. Multimedia inspections in a given sector (for example, petroleum refining) have led to the conduct of self-audits by the entire industry and the issuance by trade associations of recommendations for corrections to be made before EPA and states inspect facilities in the industry the trade association represents. During the multimedia inspection, the environmental management systems are reviewed. As a result of such review, many facilities have added personnel and responsibilities to their environmental programs and changed reporting requirements. Cases are frequently easier to enforce because more violations are identified ซ' The disadvantages of conducting a multimedia inspection include: Requires the investment of already limited resources in the planning and coordination necessary to conduct successfully a multimedia inspection and enforcement action. Each program has a different criterion for determining what is "timely and appropriate," as well as its own enforcement and penalty policy. In addition, some states have set their own time lines for enforcement of various programs. When imposed simultaneously, multimedia enforcement actions may exceed those requirements. The differences among such policies and procedures must be melded into a cohesive enforcement procedure that is ultimately protective of human health and the environment and yet within the bounds of the environmental laws. It is important that the team leader establish the time lines for enforcement and ensure they are met. State, local, and federal agencies sometimes wish to proceed with their own agendas for enforcement and are reluctant to work with other enforcement agencies. Cooperation is necessary to avoid sending mixed signals to a facility. 3-9 May 1998 ------- Introduction to Multimedia Inspections and Enforcement Programs do not have the control of resources; however, this problem can be remedied through targeting and planning. EPA's Office of Regional Counsel must coordinate action and work with representatives of all programs to reach settlements. 3-10 May 1998 ------- Introduction to Multimedia Inspections and Enforcement Four Types of Inspections Program-specific compliance inspection Screening for potential violations in other programs during program-specific compliance inspection Concurrent and coordinated program-specific compliance inspection lor more than one program Comprehensive multimedia ' facility inspection flNETt Category A Category B Category C Category D Four Types of Inspections Different levels of teamwork skill are required for each of the four types of inspections. All inspections can be grouped into four categories of increasing complexity, moving from Category A (a program-specific compliance inspection) to Category D (a complex multimedia inspection that usually includes three or more programs), depending upon the complexity of the facility and the objectives of the inspection. Factors in categorizing the inspection include the complexily of pollution sources, the size of the facility, process operations, pollution controls, and the personnel and time resources necessary to conduct the compliance inspection. 3-11 May 1998 ------- Introduction to Multimedia Inspections and Enforcement Skills Required for Category A Inspection A single person skilled in a particular medium, a generalist (also known as John Wayne) [SNETt Skills Required for Category A Inspections Category A inspections are program-specific inspections conducted by one or more inspectors. The objective of such inspections is to determine the facility's compliance status with regard to program-specific regulations. Coordination of efforts with a laboratory may be necessary, if the inspection involves sampling. A Category A inspection at a large facility may require more than one person, so some team skills may be required; however, only a single medium is covered. 3-12 May 1998 ------- Introduction to Multimedia Inspections and Enforcement Team Skills Required for Category B Inspection An inspector with a skill in a particular area; has the ability to communicate with personnel from other programs after the inspection (John Wayne begins to socialize) [jnetI Team Skills Required for Category B Inspections Category B inspections are program-specific compliance inspections (for example, inspections for compliance with regulations governing hazardous waste) conducted by one or more inspectors. Inspector(s) should screen for and report as well on obvious, key indicators of possible noncompliance in other environmental program areas Category B inspections can make use of Assistant Administrator Herman's "Multimedia Screening Checklist," a reference that will be discussed later. Category B multimedia inspections have limited, focused objectives. Category B inspections are best suited for smaller, less complex facilities that are subject to only a few environmental laws or for programs faced with limitations on resources. The primary objective of a multimedia screening inspection is to detect the more obvious, readily detected problems or potential problems that otherwise would not be detected and referred to the appropriate office for follow-up. A Category B inspection is not a compliance inspection. The conduct of such an inspection does require that an inspector have training beyond that for the conduct of inspections under a single program. 3-13 May 1998 ------- Introduction to Multimedia Inspections and Enforcement Team Skills Required for Category C Inspection The team leader should be able to - Lead the inspection - Collect, organize, and integrate individuals to form team - Coordinate activities of the team members - Prepare inspection reports Team members - Communicate with the team leader - Conduct their individual inspections - Write their reports and submit them to the team leader (John Wayne forms a posse) Team Skills Required for Category C Inspections Category C inspections consist of several concurrent and coordinated program-specific compliance inspections conducted by a team of inspectors who represent two or more program offices. The team, headed by a team leader, conducts a detailed inspection for each of the target programs. Category C multimedia inspections address more compliance issues than Category B inspections. They are more appropriate for intermediate-sized to large facilities that are subject to a variety of environmental laws. The objective is to determine compliance for several targeted program-specific areas. Reports on obvious, key indicators of possible noncompliance in other environmental program areas should be made. 3-14 May 1998 ------- Introduction to Multimedia Inspections and Enforcement Team Skills Required for Category D Inspection The team leader. - Has leadership arid project management skills - Recognizes effects on the range of media - Merges diverse written reports The team leader and team members - Use teamwork - Build consensus - Negotiate and resolve conflicts (John Wayne calls in the cavalry) [iNETl Team Skills Required for Category D Inspections 0 Category D inspections are comprehensive facility evaluations that not only address compliance with regulations under specific targeted programs, but also attempt to identify environmental problems that otherwise might be overlooked. The initial focus is normally on facility processes to identify activities (for example, manufacture of chemicals) and byproducts or waste streams that may be subject to regulation. The byproducts or waste streams are traced to final disposition (on-site or off-site treatment, storage, or disposal). When regulated activities or waste streams are identified, a compliance evaluation is made with respect to applicable requirements. The inspection team, headed by a team leader, com- prises staff who are trained thoroughly in different program areas. For example, a large industrial facility that has many process operations may be regulated under numerous environmental statutes, such as the Clean Water Act (CWA), Clean Air Act (CAA), Resource Conservation and Recovery Act (RCRA), Toxic Substances Control Act (TSCA), Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA), and Federal Insecticide and Rodenticide Act (FIFRA). The inspection is conducted during one or more time periods, during which intensive, concurrent, program-specific compliance evaluations are conducted, often by the same personnel, who have training in all programs concerned. Category D multimedia inspections are thorough and resource- intensive. 3-15 May 1998 ------- Introduction to Multimedia Inspections and Enforcement They are appropriate for intermediate-sized to large, complex facilities that are subject to a variety of environmental laws. Determinations of compliance are made for several targeted areas under specific programs. Reports are made on possible noncompliance under other program areas. 3-16 May 1998 ------- Introduction to Multimedia Inspections and Enforcement Four Types of Inspections Category A Category B Category C Category D > Program-specific compliance Inspection Screening for potential violations In other programs during program-specific compliance inspection Concurrent and coordinated program-specific compliance inspection for more than one program Comprehensive multimedia facility inspection flNETl Summary of Four Types of Inspections Generally, all inspections use essentially the same protocols, including preinspection planning, use of a project plan, sampling, and inspection procedures; and preparation of a final report. The major difference between categories C and D lie in the number of regulations they address. In addition, Category D inspections involve detailed evaluations of processes. 3-17 May 1998 ------- Introduction to Multimedia Inspections and Enforcement Factors for Consideration in Targeting Inspections Policy initiatives (Headquarters, regional, and local) Environmental Justice Risk assessments Previous compliance status Size of facility Tips and complaints ISNETt Factors for Consideration in Targeting Inspections Targets for inspections are determined by a number of considerations. Those considerations are discussed below. Each fiscal year, Headquarters, regions, and authorities at the local level identify initiatives. Those initiatives focus on industrial sectors, pollutants, geographic areas, and companies. Environmental justice is an initiative that was identified several years ago. Facilities in communities affected by issues of environmental justice are selected for inspection to ensure that those facilities are not causing environmental harm in those areas. Risk assessment is used to determine whether human health issues may be a factor and whether such issues also are related to environmental justice. Communities within an approximate four-mile radius of a facility that poses a risk that are predominantly downwind may be subject to ongoing contamination. If there are such communities in its vicinity, a facility may.be a priority candidate for an inspection. Previous compliance status demonstrates whether a facility continues to be in violation of environmental statutes and shows a pattern of conduct. Large facilities usually have an environmental staff, while small facilities may not have such resources and, therefore, may not be aware of noncompliance. Tips and complaints can be used to show potential that companies deliberately modify operations during certain periods of the day or week to avoid the cost of compliance. Tips and complaints should be considered when facilities are selected for inspection. 3-18 May 1998 ------- Introduction to Multimedia Inspections and Enforcement Resource Considerations for Different Types of Inspections Each category of inspection requires different resources- - Personnel - Laboratory sen/ices - Travel - Administrative support fiNETt Resource Consideraitions for Different Types of Inspections Many considerations related to resources affect the ability to conduct a multimedia inspection. For each one of the inspection categories, consideration must be given to the different resources that are required, including personnel, laboratory services, travel, and administrative support. Category A inspections usually are conducted by one person. Samples may be collected. The individual usually makes his or her own travel arrangements, and minimal administrative time is called upon. Category B inspections are the same as Category A inspections, except that the inspector(s) completes a check list for other media. Expenses could be higher because the inspection could involve more than one inspector and take an extra day or half day. Category C inspections involve several concurrent inspections; therefore, two or more personnel are involved. The costs involved in Category C inspections are about the same as those for conducting several independent Category A inspections. Category C inspections usually are conducted within a given period of time. Category D inspections are resource-intensive. Usually, four or five individuals are needed to evaluate the facility in an effort that takes one to two weeks. Because the objective of the inspection is to determine compliance with all regulations, more samples may be collected. The team leader is responsible for all administrative matters. The size of the facility being inspected is another important consideration that affects use of resources. A group or "busload" of inspectors should not approach a facility if the facility has only one part-time environmental staff member. 3-19 May 1998 ------- Introduction to Multimedia Inspections and Enforcement The Importance of Teamwork Teamwork is essential to the success of multimedia initiatives [SNETl The Importance of Teamwork Teamwork is the merging of the skills and talents of a group of people into a single force much stronger than that of any individual. This force is unbeatable and enables those who work together to win together. 3-20 May 1998 ------- Introduction to Multimedia Inspections and Enforcement Review of Multimedia Investigations and Enforcement Multimedia inspections involve a holistic approach There are advantages and disadvantages to any approach Resources must be considered [งNETl R eview of Multimedia Inspections and Enforcement The following are key points about and advantages and disadvantages of a team-based, holistic approach to multimedia inspections: The multimedia approach involves a comprehensive look at all environmental programs (air, water, hazardous waste, and pesticides) and the related environmental laws, regulations, and permits. ฎ The approach is holistic; therefore, the facility is inspected as a whole, an approach that can increase the inspector's understanding of processes. ฐ The approach makes possible more targeting of inspections according to initiatives, considerations of environmental justice, results of risk assessments, previous compliance status, the size of facilities, and tips or complaints. ฎ The team approach ensures more diverse knowledge, consultation with colleagues, and a comprehensive evaluation of the facility. The disadvantages of such an approach are the extensive resource:; and coordination that are necessary to conduct such an inspection. ฎ Multimedia inspections are more comprehensive and reliable, potentially more enforceable, and more likely to uncover problems. They allow for effective response to complaints, issues, or needs and address problems that affect several media. Some disadvantages of multimedia inspections are the extensive resource requirements needed to conduct them successfully; enforcement requirements; and the need for cooperation among regulators. 3-21 May 1998 ------- Scenario 1 - Because of a complaint concerning the Bopal Chemical Company, Ivana Power, regional counsel, requests that the various programs conduct inspections to determine compliance with their statutes. Ivana requests that a consolidated report on the facility, summarizing the findings, be prepared upon completion of the inspections Chester Pawn is assigned the responsibility of ensuring that the inspections are completed within three months. By searching various data systems, Chester finds that the facility has NPDES, air, and RCRA permits. He contacts the three divisions and requests that inspections be conducted and results of the inspections be reported to him. Spring Waters, a water inspector, performs a water inspection at the facility on August 16 and writes a report citing minor violations; she provides the report to her supervisor, with a copy to Chester. On August 31, Wendy Shores conducts an air inspection at the same facility She finds and documents CEM violations and provides a report to Chester On October 1, U.C. Wells, a RCRA inspector, conducts an inspection at the same facility, finding numerous violations, which he documents and reports to Chester. Chester compiles the three reports, attaches a cover memo summarizing the findings, and delivers the package to Ivana. What category do these inspections belong? Scenario 2 - Rock Slate, a RCRA inspector, visits a RCRA-regulated facility, performs a compliance evaluation inspection (CEI) and places his report in the facility's file, having found no violations. What type of an inspection did Rock perform? Scenario 3 - Gayle Force, an air inspector, performs an air inspection at a large chemical manufacturing plant. During her inspection, she fills out the multimedia screening check list and refers some areas of concern to the water office after her inspection. What type of an inspection did Gayle perform? 3-22 May 1998 ------- Scenario 4 - Under a Headquarters environmental justice initiative, Region 12 selects the We Kill 'Em Slowly Chemical Company for inspection. Bif Dumbrewski is assigned the responsibility of leading the inspection. After thoroughly researching the facility, Bif decides that the most effective inspection would be performed by a team of personnel with expertise in air, water, RCRA, and TSCA programs. He first establishes a time schedule for the inspection and requests support from the four programs. Because of constraints on resources, the TSCA program declines to participate in the inspection The other three programs provide Bif with qualified individuals. Team members review available information, develop an inspection plan, and make necessary travel arrangements The team of four arrives at the facility at 8:00 a.m. on June 1, meets with plant personnel, receives a briefing on process operations, and conducts inspections under various statutes. The team leader and the RCRA inspector conduct the TSCA portion of the inspection. Team members meet daily to discuss their findings and observations. On June 9, the team completes its inspections and provides management of the facility with preliminary findings After the inspection, each team member completes the appropriate portion of the inspection report, which is given to Bif. Bif compiles an overall summary, including process descriptions, and submits the entire report to ORC, in support of the initiative The inspectors agreed that they uncovered more violations through the multimedia inspection than they would have by conducting single-medium inspections. The final settlement of the enforcement case included a $17.3 million fine and $23 million in supplemental environmental projects (SEP). The inspection also identified three pollution prevention opportunities that the company initiated for a savings of $5 million annually. What type of inspection did this team conduct? Scenario 5 - A RCRA inspector conducts a RCRA inspection and discovers an unlabeled drum. He asks a representative of the company to open the drum and discusses its contents with that representative. The company claims the contents are not hazardous, although the contents have not been analyzed. The contents are stratified and appear to include an oily substance. The inspector collects a sample and delivers it to the laboratory. The results of the analysis show that the waste is a mixture of hazardous waste and PCBs. The RCRA inspector immediately contacts the TSCA-PCB coordinator in the regional office and discusses the appropriate follow-up. Since the waste contains more than 500ppm PCBs it must be incinerated in a TSCA-permitted incinerator. What does this scenario demonstrate? 3-23 May 1998 ------- D ------- Notes B - ------- Session 4: Planning and Coordination of Multimedia Projects Session Overview Duration: Objective: Process: Materials: 5 hours, 30 minutes This session describes the steps in effective planning and coordination of multimedia inspections. It provides an overview of the following steps: Identify the elements of a comprehensive, site- specific project plan Identify the overall objectives of the project Form inspection and enforcement teams Notify states, tribes, EPA program offices, and other federal agencies, as appropriate Gather and review background information Reevaluate project objectives Prepare a project plan Conduct a preinspection team meeting Lecture, group discussion, practical exercise Multimedia Investigation Manual Flip chart and pens Overhead projector Multimedia Inspection Planning Worksheet Example Site Safety Plan Practical exercise materials ------- Planning and Coordination of Multimedia Projects Planning and Coordination of Multimedia Projects (iNETi Planning and Coordination of Multimedia Projects This session will familiarize participants with the steps to be taken in preparing for and planning a multimedia inspection. One musician does not make an orchestra. An effective multimedia inspection (MMI) team is like a well-tuned orchestra. The members of the orchestra must play together, following the score - their "plan" - if the result is to be a symphony. Unless they adopt a team approach and follow the plan, there will be chaos. 4-1 May 1998 ------- Planning and Coordination of Multimedia Projects Development of the Project Plan Foundation and purpose of the project plan Steps in developing the project plan Team-building considerations Review of basic elements INETl Development of the Project Plan Foundation and purpose of a project plan A site-specific project plan should be developed for all multimedia inspections. Each project plan should reflect the requirements and scope of work associated with each individual facility. - The plan describes the objectives of the project and the tasks necessary to fulfill those objectives. In addition to methods, procedures, resources required, and schedules, a safety plan is included as an appendix that identifies potential safety issues and procedures and safety equipment that might be needed [also see Appendix F of the NEIC Multimedia Inspection Manual] - The plan is a vehicle to promote consensus about objectives, data needs, scope, roles, and responsibilities so that the team focuses on a common goal. - The scope of a multimedia inspection can range from two to three programs to the full range of EPA programs. 4-2 May 1998 ------- Planning and Coordination of Multimedia Projects Steps in developing a project plan Generally, a draft project plan is prepared to give all involved parties and regional management an opportunity to review the planned project activities and schedule. The following steps are taken in developing the project plan: - Identify elements of a comprehensive site-specific project plan. - Identify the overall objectives of the project. - Gather background information. - Develop the schedule. The team leader, with the assistance of other inspectors, is responsible for preparing the site-specific project plan. After agreement on the draft is reached, the plan should be made final as soon as possible. It must be available before the on-site inspection starts. Team-buildirtg considerations Considerations important to team building include: - Identifying the expertise needed - Defining roles and responsibilities Team leader Inspector Attorney Laboratory personnel -- Support personnel Management - Exchange of information among program inspectors, including planning meetings - Notification of states, tribes, EPA, agencies, and programs - Reevaluation of objectives and composition of the team - Preparation of the final project plan 4-3 May 1998 ------- Planning and Coordination of Multimedia Projects - Conduct of the preinspection team meeting. A comprehensive project plan; provides a means of informing all involved parties of the proposed activities and helps ensure that the multimedia inspection is effective; team members must be familiar with the project plan. Review of Basic Elements There is no set format for a project plan; however, the project plan is a tool to help identify objectives of the project, carry out the many tasks involved, and to accomplish the objectives in a coordinated way. 4-4 May 1998 ------- Planning and Coordination of Multimedia Projects 7 Elements of a Project Plan Objectives Background Tasks Policies and procedures liNETl Elements of a Project Plan Objectives The identification of objectives is probably the most important part of the project plan. Objectives should be well defined, complete, and clear. The objectives also should have been discussed and agreed upon by all appropriate management personnel. The objectives define what the inspection is to accomplish (for example, to assess compliance with the regulations that apply to the sourcewater, air, and others). The objectives also identify the expected final outcome of the project. Background This section discusses, in general, facility processes and, using available information, identifies laws, regulations, permits, and consent decrees applicable to the facility. The section also identifies evidence needs and often issues that help define the scope of the inspection. Tasks The element cปf the plan defines tasks to be completed to accomplish the objectives and spells out procedures for obtaining the necessary information and evaluating the facility's compliance status. The tasks usually involve an evaluation of process operations, pollution control and treatment and disposal practices, operation and maintenance practices, self-monitoring, recordkeeping and reporting practices, and pollution abatement and control needs. Tasks will probably be 4-5 May 1998 ------- Planning and Coordination of Multimedia Projects conducted in a sequence, based on factors related to the facility, objectives of the inspection, logistical factors, constraints imposed by the company, and the complexity of regulatory programs and the extent to which they overlap Session 6 ~ Conducting the Multimedia Inspection covers this element in detail). Policies and Procedures The plan provides or makes reference to policies and procedures for document control, establishment of chain of custody, quality assurance, and handling and processing of confidential information. Specific instructions for the particular inspection may be provided. 4-6 May 1998 ------- Planning and Coordination of Multimedia Projects 7 Elements of a Project Plan (cont) Safety Resources Schedules INETl Elements of a Project Plan Safety A safety plan attached to the project plan identifies safety equipment and procedures that the inspection team must follow [also see Appendix F of the NEIC Multimedia Inspection Manual]. The safety procedures and equipment usually are the more stringent of EPA or company procedures. EPA procedures are documented in EPA Transmittal 1440 - Occupational Health and Safety Manual, dated March i8, 1986. If necessary, additional safety issues, for extensive or prolonged inspections, also should be addressed in the plan. Resources The plan describes special personnel needs and equipment requirements. As noted earlier, the inspection team will be made up of experienced and knowledgeable personnel. An example of a list of safety equipment is presented in Appendix G of the multimedia manual. 4-7 May 1998 ------- Planning and Coordination of Multimedia Projects Schedules The plan usually provides general schedules for inspection activities. The information is important to team members as well as to Headquarters, Regional, or state officials who requested the project. The dates for (a) starting and finishing the field activities, (b) completion of analytical work, and (c) submittal of draft and final reports should be established and agreed upon by all participants. - The project plan will serve as the basis for explaining inspection activities and scheduling facility personnel during the opening conference. - The facility may be provided general details but should not be provided with a copy of the project plan; it is an internal document and usually is considered an enforcement confidential document. (The company may obtain a copy of the plan by court order.) Modification of the Plan Because conditions in the field may not be as anticipated, the project plan is always subject to modification and is so marked. Any deviations from the plan should be well thought out; approved by the team leader; and, if appropriate, discussed with senior management or the laboratory (if monitoring and sampling requirements change); reasons for deviations should be documented thoroughly. Multimedia compared with single-medium inspections 4-8 May 1998 ------- Planning and Coordination of Multimedia Projects There are several differences between multimedia and single-medium inspections. - Holistic approach - Transfer of wastes among programs - Communications among programs - Number of players - Integration of uses of data - Evaluation of the facility as a whole - Understanding of the requirements associated with other programs as result of the team approach Team problem solving 4-9 May 1998 ------- Planning and Coordination of Multimedia Projects Identify the Overall Project Objectives First Step Focus on why a facility is targeted Reasons for selecting a facility INETl Identifying the Overall Project Objectives: First Step Focus on why a facility is targeted Determining why a facility was targeted is a basic step. The team should explore together the reasons for selection of a particular facility. Reasons for selecting a facility The most likely reasons for targeting a facility are- - Noncompliance in one or more programs- Noncompliance in one program may indicate possible noncompliance in other programs, especially if the facility has a history of noncompliance. Complaints: An example of such a situation is allegations on the part of citizens about health problems caused by a facility or a history of complaints. - Opportunity for risk reduction: A facility might have been identified as the largest emitter of lead in a community, when there was a need to reduce emissions of lead from x to y to reduce the risk to public health. - Considerations of environmental justice: The facility might be a major polluter in an economically depressed or minority community. - Pollution prevention opportunities. 4-10 May 1998 ------- Planning and Coordination of Multimedia Projects - Sector: The facility may represent one of the six priority industries and be located in a community-based environmental initiative geographic area. - Agency Initiatives: The facility may represent an industrial group that has been identified by the Agency as appropriate for special consideration. - Environmental impact: The facility might be a generator of a certain toxic pollutant that has been detected in fish tissues at levels that exceed limits established by the Food and Drug Administration (FDA) for food fish. Neutral inspection: The facility may have been selected through a random process, although a purely random selection of a facility for inspection is not likely. Sources of information may be the entity requesting the inspection, the targeting entity, or documents used in the selection process. A clear understanding of why a facility was selected establishes a solid foundation on which to develop the project and achieve the desired outcome. 4-11 May 1998 ------- Planning and Coordination of Multimedia Projects Identify the Overall Project Objectives Second Step Determine the desired outcome Create a statement of objectives UnetI Identifying the Overall Project Objectives: Second Step The second step in developing the project plan is to determine its desired outcome. Determine the desired outcome - Report format: Determine what the final report will look like. Develop an outline and identify writing assignments. (Does your organization have a well- developed report format9) - Key milestones: Identify and agree upon key milestones: ~ Project plan - Inspection date(s) -- Draft report - Final report - Referral: Identify the evidence needed to support development of referrals. - Pollution reduction: Identify pollutants of concern and targets for reduction, if possible. - Communication with appropriate stakeholders: Provide progress reports to stakeholders, as appropriate, as well as the opportunity to comment on the draft project plan and draft report and the opportunity to participate as a team member. 4-12 May 1998 ------- Planning and Coordination of Multimedia Projects Create a statement of objectives - Use the desired outcomes to develop a statement of objectives. Two example statements are: To determine the facility's compliance with applicable requirements, with the multimedia inspection conducted by December 31, 1995 and the final projecl report completed by March 30, 1996 - To identify all potential regulated waste streams and pollution prevention opportunities, using the least amount of resources possible, through a holistic process evaluation, with the final project report completed by July 1, 1995 4-13 May 1998 ------- Planning and Coordination of Multimedia Projects Gather Background Information: Background information is crucial for developing a project plan INETf Gather Background Information: Third Step Background information is gathered to identify key tasks; the information is reviewed to determine the status of the facility and identify any areas that must be addressed to accomplish the basic preparation for developing a project plan - Several sources of information may be particularly useful in multimedia inspections - There also are several things to look for that inspectors might not review when they prepare for a single program inspection. 4-14 May 1998 ------- Planning and Coordination of Multimedia Projects Review of Federal, State, and Local Files The basics of file review Areas for attention during the file review Beyond the basics [fNETf Review of Federal, State, and Local Files The basics of file review The inspection team must collect and analyze available background information to better plan and perform the multimedia inspection. The objective of the review is to allow EPA staff to (1) become familiar with the facility, (2) clarify technical and legal issues before the inspection, (3) use resources wisely, and (4) obtain information that allows each inspector to develop a list of questions to be asked and documents to be obtained during the on-site inspection. For example, the inspectors should understand the facility's process(es) to the extent possible and know in what areas problems have occurred in the past, as file and data reviews indicate. Much of the total time spent on an inspection should be spent on planning and preparing for it. Thorough planning will prevent classic oversights such as being on the road and not knowing where the facility is, or conducting the inspection without noticing the operation that received an NOV in five previous inspections. Inspectors should check with the program staff (federal, state, and local) to gain as much knowledge as possible about the site. 4-15 May 1998 ------- Planning and Coordination of Multimedia Projects Areas for attention during file review are: - Permits and permit applications - Process and wastewater flow charts - Prior inspection reports - Enforcement documents, including administrative orders, complaints, consent decrees and agreements, notices of noncompliance (NON), deficiency notices, compliance schedules, cease-and-desist orders, closeout documents, NOVs, and others - The facility's responses to all the above - The facility's records, reports, and self-monitoring data - Quality assurance documentation - Exemptions and waivers - Maps showing the layout of the facility and waste management and discharge sites - Records of citizen complaints - Consultant's reports - Issues potentially affecting several programs - Annual reports - Hazardous waste manifests - Spill reports - Sector notebooks - Pretreatment program A detailed list of types of information that may be acquired and reviewed is presented in Appendix D of the NEIC Multimedia Inspection Manual. Beyond the Basics There are a number of issues beyond the basics of file review that are important to the success of a multimedia inspection. 4-16 May 1998 ------- The Reconnaissance Visit The basics of the reconnaissance visit Beyond the basics flNEft The Reconnaissance Visit The basics of the reconnaissance visit A reconnaissance inspection of the facility may be conducted in conjunction with gathering background information from state and local files. Administrative details and logistics usually are discussed during a reconnaissance visit; careful planning of such details will help the on-site inspection proceed more efficiently. - A reconnaissance visit is particularly important if the facility being inspected is complex or if the team has never inspected the facility. - The team leader should participate in the reconnaissance visit, as well as other team members, as appropriate. - No reconnaissance visit is conducted if the inspection will be unannounced or if the team has extensive knowledge of the facility. Beyond the basics Additional considerations that can be addressed during the reconnaissance visit include: - Obtain a holistic overview of facility ~ layout, location, process diagrams, and other fact;; - Assess the size of facility environmental staff and their ability to handle a team of people - Assess the facility's organization of records 4-17 May 1998 ------- Planning and Coordination of Multimedia Projects - Examine the logistics - Assess the operating status of processes, control equipment, and other pertinent factors 4-18 May 1998 ------- Planning and Coordination of Multimedia Projects The Basics of Database Reviews TRIS DUNS PCS FINDS CERCLIS AFS/AIRS IDEA RCRIS/HWDMS FTTS [fNETl 4 10 The Basics of Database Reviews Additional background material about the facility should be obtained from EPA and state databases. (Acronyms used here are defined in Appendix E of the NEIC Multimedia Inspection Manual.) At a minimum, the inspectors should use the following: TRIS: Provides data on past releases of toxic and hazardous substances to the environment from the facility, as required by section 311 of SARA DUNS Market Identifiers: Commercial system that tracks the owners and financial inforaiation for publicly and privately owned companies in the U.S PCS: Provides information related to CWA and NPDES permits, DMR data, data on receiving streams, some material related to enforcement, and an inspection history for "major" wastewater discharges RCRIS/HWDMS: Provides RCRA-related information on a facility, such as location, hazardous waste handled, inspection history, nature of past violations, and results of enforcement actions FTTS. Provides TSCA-related information on a facility, such as inspection history and case development information, including violations, and types and results of enforcement actions 4-19 May 1998 ------- Planning and Coordination of Multimedia Projects FINDS: EPA database that identifies regulations applicable to the target facility, including some related to compliance and enforcement issues and provides an easy way to determine whether the facility or company has a history of noncompliance CERCLIS: Superfund's national database system, which provides information about potential CERCLA sites AFS/AIRS: The Air Compliance Program's national database system, which provides air compliance information for major sources IDEA: A computer capability that integrates compliance and enforcement data from EPA's program office's data management systems. The capability provides an excellent overall look at a facility's compliance history in all environmental media. After review of the files and data, the inspection team may prepare a fact sheet for the facility, along with a list of questions to be asked, either before or during the actual on-site inspection. 4-20 May 1998 ------- Planning and Coordination of Multimedia Projects Development of an Inspection Schedule Importance - To the client - To the team - To the facility Principles if net! 4*11 Development of an Inspection Schedule Development of an inspection schedule is more important for multimedia inspections than for single-medium inspections, because a single program inspection typically involves only one' or two people, but a multimedia inspection typically involves a number of people. Importance Following is a summary of the importance of the schedule to various parties involved in the inspection. - To the client (the user of the report) - To coordinate information requests before the inspection - To keep upper management informed of the overall time frame for the conduct of the inspection and the submittal of the report so that follow-up action can be undertaken - To be informed when review of the draft project plan and draft report will be necessary - To the team - To know what must be done and when the common goal (the final report) will be achieved 4-21 May 1998 ------- Planning and Coordination of Multimedia Projects - To recognize the interdependence of all parties involved - To ensure that all aspects of the inspection are well coordinated -- To know each team member's responsibilities during the on-site inspection To coordinate the efforts of support organizations, such as laboratory and legal support - To the facility To know who and what to have available for the inspection and when -- To prepare to accommodate the number of people who will be involved in the inspection Principles - Develop principles early - Revise and update principles, as needed, during the course of the project - Distribute written copies of the principles to all team members and others who have need of them 4-22 May 1998 ------- Planning and Coordination of Multimedia Projects Milestones in Schedule Development There are important milestones in the schedule. Among them are: Preinspection planning meetings Inspection dates "In" briefings "Out" briefings Due dates of reports Milestones in Schedule Development Pre-inspection planning meetings Inspection dates "In" briefings "Out" briefings Due dates of reports 4-12 4-23 May 1998 ------- Planning and Coordination of Multimedia Projects Building the Team Expertise needed Size considerations Development of the team ~ Management support llNETl 4-13 Building the Team Expertise needed Size Considerations In addition to qualifications and expertise, consideration must be given to the appropriate size of the team. - Balance the number of team members to meet regulatory needs while keeping in mind the circumstances of the facility and the perceptions engendered The smaller the team, the more efficient and easier to manage it will be; commitment of resources must be considered. 4-24 May 1998 ------- Planning and Coordination of Multimedia Projects - Ensure that the team members and management will give the necessary priority to the project so that it can be completed on time and in a quality manner. - Too large a team may overwhelm the facility; in some circumstances, a single generalist may be more appropriate for the inspection than a group of people Development of the team Real world methods by which teams are developed include: The program staff believe that participation in the multimedia inspection would be "good training" for the newest member of their staff. - The staff member who never goes to the field believes it is now time to use that pair of new boots that the agency bought for him or her five years ago. - Participants are sometimes selected on the basis of availability rather than for the expertise they bring to the inspection team. Management support With the team selected, the next step is to secure the commitment of management and the assignment of personnel to the team. Management commitment may be most difficult to obtain, but is most essential to the success of the project Because the multimedia inspection is a team effort, every participant must be committed for the entire life of the project. - Provide concise identification of the project objectives and communication of the need for team members who have the specific expertise and qualifications needed to complete the project. - Identify the management approval level. - Choose the: proper method for notification. - Notify management of the need for personnel in a timely manner. - Ensure that the team performance standard is approved by each participant's supervisor 4-25 May 1998 ------- Planning and Coordination of Multimedia Projects Necessary Skills and Qualifications Knowledge of policies and procedures Familiarity with a range of media Knowledge of technical issues Investigatory skills Recent experience Communication skills Experience Necessary Skills and Qualifications Knowledge of policies and procedures - Knowledge of EPA's policies and procedures regarding inspection authority, entry procedures and problems, enforcement actions, legal issues, and safety with regard to more than one media - Basic understanding of the procedures for obtaining administrative warrants, including preparation of affidavits, provision of technical content of the warrant application, and procedures for serving a warrant Familiarity with a range of media - Thorough familiarity with a range of media sampling equipment, quality assurance (QA) requirements for sample collection, identification and preservation, and chain-of-custody procedures. Knowledge of technical issues - Knowledge of manufacturing and waste-producing processes, pollution control technology, principles of waste management, theory and procedures of flow measurement, and techniques and equipment for waste monitoring. 4 14 4-26 May 1998 ------- Planning and Coordination of Multimedia Projects Investigatory skills - Investigatory skills, including ability to gather evidence through good interviewing techniques and astute observations - Ability to recognize transfers of waste among media and problems in other media Recent experience Up-to-date experience in conducting compliance inspections - Background in performing and participating in holistic process evaluations Communication skills - Technical writing skills - Effective verbal communication skills ~ knowing how to ask the right questions 10 obtain information Experience - At least one team member trained in each area addressed in the multimedia inspection - Members who are trained and experienced in conducting two or more program inspections - At least one team member who has considerable knowledge of laboratory (analytical) methods and QA requirements, if a laboratory evaluation is to be conducted 4-27 May 1998 ------- Planning and Coordination of Multimedia Projects Roles and Responsibilities of the Team Team leader Team members Lead attorney and case team Laboratory personnel fSNETl Roles and Responsibilities of the Team In forming the team, roles and responsibilities must be assigned. Team Leader Assume overall responsibility for successful completion of the project - Convene and lead planning and coordination meetings of the inspection team (preinspection, during the inspection, and postinspection) Solicit program interaction and assistance among programs - Establish protocols and timing of the inspection - Contact or invite participation of state staff or that staff's delegated agent - Develop or revise the project schedule as appropriate - Act as focal point for the facility and the inspection team to deal with access, planning, scheduling, coordination of issues, and the exit interview - Prepare the executive summary of the combined inspection report, using the NEIC format - Review medium-specific reports 4-28 May 1998 ------- Planning and Coordination of Multimedia Projects - Provide comment to team members on the medium-specific reports - Issue a draft project report to the case team for review, address comments in final report, and negotiate resolution of issues - Keep the project on schedule and within budget - Provide progress reports to management - Provide comment to team members and their supervisors on each member's participation - Prepare the project plan, including the safety plan and QAPP, if needed - Facilitate the definition of project objectives and measures of success - Provide support for case development and litigation - Designate a team member to serve as site safety officer - Lead the evaluation of the facility's processes - Report all costs (direct and indirect) associated with the project - Establish and maintain the official project file - Arrange air, hotel, and rental car reservations and address all administrative responsibilities Team members - Serve as active and contributing participants throughout the project to achieve the project's objectives on schedule - Take responsibility for the program inspection and the technical report - Review draft project report - Provide support for case development and litigation - Have the necessary health and safety and other equipment and documentation (hard hat, safety shoes, safety glasses, other appropriate protective clothing and equipment, credentials, and blue card) 4-29 May 1998 ------- Planning and Coordination of Multimedia Projects - Actively participate in all planning and coordination and attend all meetings or designate an alternate - Serve as site safety officer, if so designated - Comply with applicable health and safety requirements - Review files and databases, and make a determination about their usefulness for the inspection and as evidence - Participate in the evaluation of the facility's processes - Identify transfer among media, pollution prevention and waste minimization opportunities, and environmental problems - Provide comment to the team leader on that individual's leadership - Report all costs, as well as costs for other staff involved - Have a working knowledge of the Multimedia Investigation Manual Lead Attorney and Case Team - Provide the leadership to define the objectives of the project, measures of success, and evidence needs early in the planning stage, to build a strong legal case - Provide legal assistance, as needed - Provide timely and coordinated review of the draft project report - Provide constructive comments to the team on how well the final product meets the project's objectives, measures of success, and identified evidence needs - Review files and databases, and make a determination of their usefulness as evidence - Attend all meetings of the inspection team or, when not possible to do so, designate an alternate Laboratory personnel 4-30 May 1998 ------- Planning and Coordination of Multimedia Projects - Assist in determining what samples are necessary, including all quality control samples - Assist in determining what analyses are necessary to prove the case - Provide sampling support, as appropriate - Assist in determining what sample equipment (sampling devices, bottles, preservatives, and other equipment) are necessary Assist in determining shipping requirements (for example, holding times) 4-31 May 1998 ------- Planning and Coordination of Multimedia Projects Roles and Responsibilities of the Team Support personnel Supervisors and managers of the team leader and team members fiNETi Roles and Responsibilities of the Team Support personnel - Assist in packing for the inspection and obtaining equipment for the inspection - Provide typing and copying support (this time must be scheduled like all other inspection activities) - Review documents - Make travel arrangements and record travel expenses Supervisors and managers of the team leader and team members Assign people to serve as team leader and members - Participate in targeting inspections - Provide the resources and contract dollars for and access to training and other means necessary to develop expertise in multimedia inspections - Ensure that team activities, both internal and external to team members' organizations, are coordinated - Oversee the progress of the project 4-32 May 1998 ------- Planning and Coordination of Multimedia Projects Provide support to ensure any designee performs as expected Obtain multimedia enforcement awareness training Act on issues related to the participation of team members Ensure that duties of team leader and members included in job description and performance measures for the team leader and members. 4-33 May 1998 ------- Planning and Coordination of Multimedia Projects Roles and Responsibilities of the Team Additional considerations Planning meetings [fNETt Roles and Responsiblities of the Team Additional considerations - Schedule of tasks - Include special safety personnel if unusual safety concerns exist - Include special experts if unusual technical issues exist Planning meetings Planning meetings should be held very early in the planning process and should be conducted regularly throughout the planning process. - All participants should attend. - Depending on the project and the number of personal involved, daily planning meetings may be appropriate. - Care must be taken to ensure that everyone on the project team has an opportunity to participant to ensure that all possible issues are addressed (that is, take advantage of all the skills, knowledge, and experience on the team). 4-34 May 1998 ------- Planning and Coordination of Multimedia Projects Notification Procedures Necessity of a letter of notification Information requested in a notification letter Notification of state regulatory officials Notification of the laboratory Time factors [SNETi Notification States, local agencies, and tribes that have been delegated programs must be included in all multimedia inspection planning and given the opportunity to conduct or participate in the inspections. These programs often have more complete and up-to-date working information on the facility of concern. They also often have people who have been on site recently and who can provide first-hand information about the operational status of the facility. Procedures Procedures already may be prescribed in grants, a memorandum of understanding (MOU), or state-EPA agreements. Choose an appropriate method of responsibility for notification for nonnegotiated inspections. Provide opportunities to all involved enforcement agencies to participate on team. Keep in mind that notification of other entities may be necessary as needed during implementation of the project. Notification of the facility to be inspected is a decision that must be made on a case by case basis, since there are good arguments for both notification and nonnotification. 4-35 May 1998 ------- Planning and Coordination of Multimedia Projects Notification of the inspection, normally by telephone, should be given to the facility unless the inspection is to be unannounced. Some of the advantages of announced inspections include assurance that the right people will be available, the processes of interest will be operating, and the necessary documents will be available. A major consideration affecting announced inspections is that the company may be able to alter operations to conceal violations. Necessity of a letter of notification After the telephone notification, it may be necessary to prepare a more formal notification letter or notification form that is served when entering the facility. - If a letter is prepared, it should cite the appropriate inspection authorities, the general areas to be covered, and any special informational needs or requests. - If the letter cites broad EPA authorities, the inspection will not be restricted if inspectors need to pursue additional areas, as indicated by field observations. - The notification should specify records to be reviewed, collected, or copied, address safety and security issues, and include any questions to be asked to help facilitate the inspection. Such issues and questions also can be addressed during a reconnaissance inspection, if desired, or through telephone conversations with appropriate facility personnel. Information requested in a notification letter Information typically requested in a notification letter may include the following: - Raw materials, imports, intermediates, products, byproducts, and production levels - Facility maps identifying process areas, discharge and emission points, and waste management and disposal sites - Flow diagrams or descriptions of processes and waste control, treatment, and disposal systems, showing where wastewater, air emission, and solid waste sources are located - Description and design of pollution control and treatment systems and their normal operating parameters 4-36 May 1998 ------- Planning and Coordination of Multimedia Projects - Operations and maintenance procedures and problems - Self-monitoring reports and inventories of discharges and emissions - Self-monitoring equipment in use, its normal operating levels, and available records pertinent to such equipment - Required plans, records, and reports Appendix H of the multimedia manual identifies specific documents and records by statute that might be requested. Notification of state regulatory officials Each regional office should decide when and if state regulatory officials will be notified of the inspection and who will make the contact. By reviewing state files, EPA, in effect, will have notified the state of its intention to inspect the facility. The state should be asked to allow only EPA to notify the facility of the multimedia inspection. Notification of the laboratory If sampling is anticipated, the laboratory should be notified as soon as possible and informed when samples will arrive and the approximate analytical work load expected. The project plan, which is reviewed by laboratory personnel, also should identify the analytical support required. Time factors The inspection should be scheduled at a time mutually agreed upon by all participants. Sufficient time should be allotted to conduct a thorough inspection. Appropriate travel arrangements should be made as soon as possible. 4-37 May 1998 ------- Planning and Coordination of Multimedia Projects After all sources of information have been reviewed, the inspection team should discuss the following issues with respect to the notification: Findings Potential noncompliance issues Issues affecting several media Applicable regulations Evidence needs Additional preinspection information needs Scheduling (develop or modify the schedule) 4-38 May 1998 ------- Planning and Coordination of Multimedia Projects Final Steps Reevaluate the team Prepare a written project plan Conduct a preinspection team meeting [iNETf Final Steps Reevaluate the team - The team should now review and revise project objectives, as necessary. -- Is this facility still a good candidate? Is this facility still a candidate for multimedia inspection? -- Was a holistic view considered? - The team leader should communicate with the requestor if the status of the candidate facility has changed. - The team leader should reevaluate requirements to determine whether the size of the team should be altered. - The schedule should be developed or revised, as needed. - Some questions that might be asked in reevaluating the team size are: Is a team still needed? Do you still need certain expertise? If yes, do you need additional expertise? 4-39 May 1998 ------- Planning and Coordination of Multimedia Projects -- What are the final project objectives and who are the members of the team needed to achieve those objectives. -- Can the facility effectively handle an inspection team of the size contemplated? Prepare a written project plan Preparation of a project (inspection) plan is required before each multimedia inspection (Reference: EPA Order 5360.1). - Numerous formats exist; refer to Appendix F of the multimedia manual for one type of format. - When preparing the team project plan, some additional considerations should be examined, including: Differences among existing methodologies Number of team members and their interdependence - Specific site inspection responsibilities of each team member -- Project organization and responsiveness, including preparation of reports - Holistic approach - Interdependence of media and processes associated with the facility Team and facility logistics -- Coordination of time lines ~ Multimedia team safety plan - Reach consensus. - Once a draft plan has been completed, the plan must be communicated to requestor(s). - Concurrence, comments, and suggestions should be obtained. - The team leader is responsible for preparing the final project plan. 4-40 May 1998 ------- Planning and Coordination of Multimedia Projects - The team leader facilitates resolution of issues (cross-media). - The final approved plan should be in the hands of team members at least two weeks before the inspection. Conduct a preinspection team meeting - The team leader is responsible for arranging the preinspection meeting. - All team members are required to attend. - Take and respond to questions - Review last minute logistics and scheduling - Have all site inspection roles and responsibilities of each team member been identified and included in the project plan? - Coordinate scheduling ~ for example, does the inspection team enter the facility together or in sequence? 4-41 May 1998 ------- 5 ------- Notes ------- Session 5: Overview of Major Statutes Session Overview Duration: 2 hours 30 minutes Objective: This session provides an overview of enforcement authorities and compliance requirements related to federal statutes, including the Clean Air Act (CAA), the Clean Water Act (CWA), the Resource Conservation and Recovery Act (RCRA), the Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA or Superfund), the Toxic Substances Control Act (TSCA), the Federal Insecticide, Fungicide and Rodenticide Act (FIFRA), the Safe Drinking Water Act (SDWA), and the Emergency Planning and Community Right-to-Know Act (EPCRA). The session also includes a discussion of the requirements of the Department of Transportation as they affect environmental shipments. Process: Lecture, group discussion, practical exercise Materials: Multimedia Investigation Manual Code of Federal Regulations Flip chart Overhead projector ------- Overview of Major Statutes Overview of Major Statutes snet! Overview of Major Statutes This session will familiarize participants with the federal approach to environmental regulation and general enforcement remedies and provide a summary of each of the major federal pollution control statutes and their regulations. State statutes are similar to the federal laws - in many cases, state statutes are exact duplicates of the federal laws and regulations. Because laws and regulations are very complex and are modified continually, the inspector should review carefully the specific provisions that apply to the operations of the facility before conducting an inspection. Generally, national standards are established to control the handling, emission, discharge, and disposal of harmful substances. Waste sources must comply with these national standards, whether the programs are implemented directly by EPA or delegated to the states. Often, national standards are applied to sources through permit programs. EPA establishes a national standard and approves state programs. Once a state has been delegated the authority to administer an environmental program, EPA acts in an advisory capacity. EPA reserves the right to act should a state fail, be unable, or decline to enforce a program. 5-1 May 1998 ------- Overview of Major Statutes The states can set standards that are more strict than those required by federal law. Some extensive programs that have been delegated by EPA to qualifying states are the National Emissions Standards for Hazardous Air Pollutants (NESHAP) Program, the issuance of prevention of significant deterioration (PSD) permits under the CAA, enforcement of water quality standards, National Pollution Discharge Elimination System (NPDES) programs under the CWA, the hazardous waste program under RCRA, the drinking-water and underground injection control (UIC) programs under the SDWA, and pesticide inspections under FIFRA. Conversely, TSCA is administered entirely by the federal government. States may have their own programs that regulate polychlorinated biphenyls (PCB) and asbestos. 5-2 May 1998 ------- Overview of Major Statutes Typical Enforcement Options Notice of violation Civil administrative complaint Emergency action Injunctive relief Criminal action Debarment iinet! 52 Typical Enforcement Options Notice of violation (NOV) A notice of violation (NOV) is a concise written statement that presents the factual basis for alleging a violation. The NOV provides specific reference to each regulation, act, provision, or permit term allegedly violated. The NOV will specify the nature of the violation and allow a reasonable time for compliance. The order, if violated, can lead to enforcement action pursuant to the civil or criminal process under environmental laws. Civil administrative complaint Parties named in civil complaints must be given notice and an opportunity for a hearing on the alleged violations before EPA may assess a penalty. Emergency action Under certain statutes (for example, SDWA) EPA may take whatever action is necessary to protect the public health in emergency situations, without first obtaining a judicial order. Injunctive relief Under certain statutes and in certain circumstances, EPA may seek injunctive relief directly from federal court, without pursuing administrative procedures. 5-3 May 1998 ------- Overview of Major Statutes EPA also may obtain an emergency restraining order to halt activity alleged to cause "an imminent and substantial endangerment" or "imminent hazard" to the health of persons. Criminal action EPA may seek criminal sanctions directly in federal court without pursuing administrative procedures. Criminal penalties are applicable to "knowing" or "willful" violations. Debarment EPA may suspend or debar a company or party that fails to comply with the environmental statutes by preventing that entity from entering into federal contracts or obtaining federal loans or grants. Federal agencies are prohibited expressly from such activities as entering into contracts with any party that has been convicted of certain criminal offenses under the CAA or CWA. Importance of comprehensive knowledge of pertinent statutes The following scenario demonstrates how important it is that inspectors have knowledge of all environmental statutes. An air inspector and a RCRA inspector are conducting a multimedia inspection. While inspecting an air scrubber on an industrial furnace, the air inspector turns to his colleague and begins discussing extremely detailed requirements under the CAA. The RCRA inspector is dumbfounded. There is a long pause. The air inspector is annoyed that it is necessary to explain the air regulations in specific detail, in the presence of the facility's environmental manager. The RCRA inspector is embarrassed, refuses to cooperate with the air inspector, and walks out. 5-4 May 1998 ------- Overview of Major Statutes Authorities Granted Under Federal Environmental Laws and Regulations for Administrative investigations Air Water Superfund Pesticides Solid Waste Drinking Water Toxics Inspection CAA 114 CWA 308 402 CERCLA 104 FIFRA 8 9 RCRA 3007 9005 SOWA 1445 TSCA 11 Authority 40 CFR 60 4.66* 40 CFR 122 41 40 CFR 160 15. 40 CFR 270 30(i) 40 CFR 144 51(0. 40 CFR 717 17, 169 3 142 34 792 15 CERCLA 103 FIFRA 4,8 RCRA 3001,3002, SDWA 1445 TSCA 6 Recordkeeping CAA 114.208.311 CWA 308.402 3003,3004,9003 Authority 40 CFR 160 63. 40 CFR 262 40 40 CFR 144 51 ()). 40 CFR 704 710 40 CFR 51.60,79* * 40 CFR 263 22,264 74. 144 54,141 31 33 717 15 720 78 122 41(j). 160 185-195, 264 279,264 309. 761 180,762 60. 122 48.233 11 169 2.171 11(c)(7) 265 74 265 94, 792 185-195 265 279.265 309. 270 30(]).270 31 Confidential CAA 208,307 CWA 308 CERCLA 104 FIFRA 7,10 RCRA 3007.9005 SDWA 1445 TSCA 14 Information (40 CFR 40 CFR 2 301.S3. 40 CFR 2 302, 40 CFR 2 307 40 CFR 2 305 40 CFR 2 304 40 CFR 2 306 2 201 2 215) 57 80 122 7 233 3 260 2 270 12 144 5 704 7 707 75. 710 7 712 15 717 19,720 65 95. 750 16.750 36. 762 80.763 74 Emergency CAA 303 CWA 504 CERCLA FIFRA 27 RCRA 7003 SDWA 1431 TSCA 7 Authority 104,106 40 CFR 40 CFR 144 34 164 123. 166 3(d) Employee Protection CAA 322 CWA 507 CERCLA 110 RCRA 7001 SDWA 1450 TSCA 23 Penalties CAA 113 CWA 309 CERCLA 103,112 FIFRA 12.14 EPC 325 RCRA 3008 9006 SDWA 1423.1424, 1431,1432 1441 TSCA 15 16 86 078 7, 88 441-78, 86 60644. 86 1006 84 51 320-327, 57 105, 57 305, 57 404. 68. 60 7. 61 10. 61 24. 61 69-71. 79 5. 85 407, 85 1086, 85 1906 86 084-40, 88 144-78. 66 $42-76 and 80. 88 609 84 through 98. 86 1009-84 5-3 Authorities Granted Under Federal Environmental Laws and Regulations for Administrative Investigations This table of authorities provides general information on the various federal authorities. 5-5 May 1998 ------- Overview of Major Statutes Clean Air Act National Ambient Air Quality Standards (NAAQS) State implementation plan (SIP) Prevention of significant deterioration (PSD) INETt Clean Air Act The CAA, as amended in 1990, is one of the most comprehensive and ambitious environmental statutes ever enacted. Through its various programs, it is intended to protect human health and the environment by reducing emissions of specific pollutants at their sources, thereby allowing the achievement and maintenance of maximum acceptable pollution levels in ambient air. The CAA also contains provisions that seek to prevent significant future pollution of currently unpolluted areas. National Ambient Air Quality Standards (NAAQS) Section 109 of the CAA requires that EPA establish NAAQS to protect public health and welfare from air pollutants. These standards will apply in all areas of the country. Primary NAAQS protect human health, while building in an adequate margin for safety. Secondary NAAQS protect public welfare, including wildlife, vegetation, soils, water, property, and personal comfort. EPA has promulgated NAAQS for six air pollutants (criteria pollutants): ozone, carbon monoxide (CO), particulate matter (PM-10), sulfur dioxide (S02), nitrogen dioxide (N02), and lead (Pb). 5-6 May 1998 ------- Overview of Major Statutes State Implementation Plans (SIP) The states, through adoption of plans known as SIPs, are required to establish procedures to achieve and maintain all NAAQS promulgated by EPA. EPA has designated 247 air quality control regions (AQCR). Each AQCR has been evaluated to determine whether the NAAQS for each of the criteria pollutants have been met. AQCRs that do not meet the NAAQS for any of the criteria pollutants are designated as "nonattainment areas" for those pollutants. Therefore, one AQCR may be at attainment levels for some pollutants and nonattainment levels for others. The comprehensive air permit program under the 1990 amendments sets forth in detail the specific requirements applicable to individual sources. A SIP must set forth strategies designed to meet by prescribed dates targets for attainment of any NAAQS for which an area is a nonattainment area. SIPs must meet federal requirements, but each state may choose its own mix of emissions standards for stationary and mobile sources to meet the NAAQS. The deadline for attainment of compliance with primary NAAQS is no more than five years after a particular area has been designated a nonattainment area, although EPA has the authority to extend the deadline for as many as five additional years. Attainment of compliance with secondary NAAQS must be achieved "as expeditiously as practicable." To achieve attainment, states must impose controls on existing sources to reduce emissions to the extent necessary to ensure achievement of the NAAQS. In attainment areas, new sources and those that are undertaking modifications that will increase emissions by more than a de minimis amount must obtain construction permits from the state, after demonstrating that anticipated emissions will not exceed allowable limits. In nonattainment areas, emissions from new or modified sources must be offset by reductions of emissions from existing sources. Within three years of designation of nonattainment areas, each state must submit a proposed SIP to EPA for approval. Failure to submit a SIP, failure to submit an adequate SIP, or failure to implement a SIP may subject a state to sanctions, such as increased offset ratios for stationary sources, prohibition of federal highway grants, or a ban on air quality grants. 5-7 May 1998 ------- Overview of Major Statutes The CAA creates five classes of ozone nonattainment areas and two categories each for carbon monoxide and PM-10 nonattainment areas. For ozone nonattainment areas, failure to attain the NAAQS will result in reclassification of the area, thereby imposing more stringent control requirements. Financial penalties on stationary sources can be imposed in severe or extreme nonattainment. When a state fails to submit an acceptable SIP, EPA is required to propose and enforce a federal implementation plan on that state EPA and the states have concurrent enforcement authority for SIPs. Deadlines and control requirements imposed upon nonattainment areas vary according to the severity of the existing air pollution problem, with correspondingly more stringent control requirements and longer deadlines applying to more polluted areas. Prevention of significant deterioration (PSD) The purpose of PSD is to avoid significant future degradation of the nation's clean air areas - that is, those areas where the air quality is better than the ambient primary or secondary standard. Designation is determined specifically for each pollutant, so that an area can be a nonattainment area for one pollutant but clean for another. PSD applies only to new and modified sources in attainment areas. Clean air areas are divided into three categories: Class I includes wilderness and other pristine areas, where only minor degradation of air quality is allowed. Class II includes all other attainment and unclassified areas, where moderate degradation is permitted. Class III includes selected areas that states designate for development, where substantial degradation is permitted. In no case would application of the principle of PSD allow air quality to deteriorate below levels imposed as secondary NAAQS. Baseline is the existing air quality for the area at the time the first PSD permit is applied for. Increments are the maximum amount of deterioration that can occur in a clean air area over the baseline. Increments in Class I areas are 5-8 May 1998 ------- Overview of Major Statutes smaller than those for Class II areas, and increments for Class II areas are smaller than those for Class III areas. For application of PSD requirements, a major emitting source is one that falls in one of 28 established categories and emits or has the potential to emit more than 100 tons per year of the designated air pollutant. A source that is not in one of the 28 designated categories is a major source if it emits more than 250 tons per year. Modifications of major sources that will result in a "significant net emissions increase" of any regulated pollutant are also subject to PSD requirements. The amount of emissions that is considered significant varies according to the regulated pollutant of concern. In accordance with requirements for PSD, permits must be obtained for new "major stationary sources" and "major modifications" of such sources located in attainment areas before construction begins. Permit requirements include installation of best available control technology (BACT) for each pollutant; assurance that the new emissions will not exceed NAAQS or any maximum allowable "increment" for the area; and assurance that new emissions will not affect adversely other values related to air quality, such as visibility, vegetation, or soils. 5-9 May 1998 ------- Overview of Major Statutes Clean Air Act Hazardous air pollutants Major sources Area sources Prevention of sudden catastrophic releases New Source Performance Standards (NSPS) liNETl Clean Air Act (continued) Hazardous air pollutants Before the enactment of the 1990 amendments, Section 112 of the CAA required the establishment of National Emission Standards for Hazardous Air Pollutants (NESHAPs) to regulate exposure to dangerous air pollutants that are so localized that the establishment of NAAQS is not justified. Based on health effects, NESHAPs apply to both existing and new stationary sources. In the 20 years during which the program existed, effective regulations were enacted for only seven substances: benzene, beryllium, asbestos, mercury, vinyl chloride, arsenic, and radionuclides. Under the amendments of 1990, the goal of section 112 remains the same: To protect public health and the environment from toxic air pollutants for which NAAQS will not be established. The new program requires that standards be set for categories and subcategories of sources that emit hazardous air pollutants, rather than for the air pollutants themselves. The seven NESHAPs promulgated before the amendments generally will remain applicable until they are revised pursuant to the time tables established in the new section 112. Congress established an initial list of 189 air pollutants requiring regulation. Under the 1990 amendments, two types of sources have been identified: 5-10 May 1998 ------- Overview of Major Statutes Major Sources: Stationary sources or a group of stationary sources within a contiguous area and under common control that emit or have the potential to emit 10 tons per year of a single listed hazardous air pollutant or 25 tons per year of any combination of listed hazardous air pollutants. Area Sources: Numerous small sources that cumulatively may produce significant quantities of a pollutant, resulting in a threat of adverse effects on human health or the environment. EPA has been assigned responsibility for establishing lists of categories and subcategories of major sources and area sources subject to emission standards. Major Sources EPA is required to set technology-based standards for sources of the listed pollutants that are designed to achieve "the maximum degree of reduction in emissions" (maximum achievable control technology [MACT]) while taking into account costs and other health and environmental effects. Standards for new sources "shall not be less stringent than the most stringent emissions level that is achieved in practice by the best controlled similar source" in the same category or subcategory. For existing sources, the standards may be less stringent than those for new sources, but, in most circumstances, must be no less stringent than the emissions control achieved by the best-performing 12 percent of sources in the category or subcategory. Existing sources are given three years following the promulgation of standards to achieve compliance, with the possibility of a one-year extension. Sources that voluntarily reduce emissions by 90 percent before an applicable MACT is proposed (95 percent for hazardous particulates) may be granted one six-year extension for muting requirements under the MACT principle. Solid waste incinerators are required to comply with both standards for hazardous air pollutants and the new source performance standards pursuant to section 111 of the CAA. 5-11 May 1998 ------- Overview of Major Statutes The second provision of section 112 that affects major sources sets health- based standards for cases in which significant residual risk of adverse health effects or a threat of adverse environmental effects remains after installation of MACT. Within six years of enactment, and after consultation with the Surgeon General and opportunity for public comment, EPA must report to Congress on the public health significance of such cases, and provide information on commercially available methods and costs of reducing such risks. If Congress does not act on the recommendations submitted by EPA, EPA must issue standards for residual risk to protect public health with an ample margm of safety, and to prevent adverse environmental effects. Area sources The area source program aims to reduce the incidence of cancer attributable to stationary area sources by at least 75 percent through a comprehensive national strategy for emissions control in urban areas. By November 15, 1995, EPA is required to identify the 30 hazardous air pollutants emitted from area sources that pose the most significant risks to public health. Area sources representing at least 90 percent of the 30 identified pollutants will be subject to regulations to be promulgated by EPA by November 15, 2000. Prevention of sudden catastrophic releases As amended in 1990, section 112 of the CAA imposes a general duty on owners and operators of stationary sources that handle hazardous substances to identify hazards that may result from releases, design and maintain safe facilities, take action to prevent releases, and minimize the consequences of any accidental releases that do occur. Also required of EPA is the promulgation of a list of substances that, in the event of an accidental release, may cause death, injury, or other serious adverse health and environmental effects, as well as threshold quantities for each. Requirements for release prevention and detection and correction of regulated substances must be promulgated by EPA. Emergency policies and the opportunity to secure relief in the district courts is provided to EPA to protect against an imminent and substantial endangerment 5-12 May 1998 ------- Overview of Major Statutes to health or the environment as a result of an actual or threatened release of a regulated substance. An independent, five-member chemical safety and hazard investigation board to be appointed by the President will investigate any accidental release that results in a fatality, serious injury, or substantial property damage and will issue a report to EPA and the Occupational Safety and Health Administration (OSHA). New Source Performance Standards (NSPS) With the exception of the extension and establishment of deadlines, the NSPS program remains largely unchanged by the 1990 amendments NSPS establishes nationally uniform, technology-based standards for categories of new industrial facilities. Emission levels are determined by the best "adequately demonstrated" continuous control technology available, taking cost into account. Regulations for source categories listed before November 15, 1990 must be proposed in phases, beginning on November 15, 1992. Standards for new categories listed after November 15, 1990 must be proposed within one year of listing and must be made final within one year after their proposal. The owner or operator of a new or extensively modified major source is required to demonstrate compliance with an applicable NSPS within 180 days of initial startup and at other times, as required by EPA. Primary authority for enforcement of NSPS lies with EPA, unless that authority is delegated to states, in which case EPA and the states have concurrent enforcement authority. 5-13 May 1998 ------- Overview of Major Statutes Clean Air Act Emission standards lor mobile sources Control of acid rain Stratospheric ozone protection program Permitting Enforcement GnetI Clean Air Act (continued) Emission standards for mobile sources Section 202 of the CAA directs EPA to regulate air pollutants emitted by motor vehicles that "cause, or contribute to air pollution which may reasonably be anticipated to endanger the public ...." EPA has set standards governing motor vehicle emissions of carbon monoxide, hydrocarbons, oxides of nitrogen, and particulates. The standards prompted the development of the emission control systems that automobiles first were equipped with in the early 1970s. The CAA generally prohibits removing (or rendering inoperative) any emission control device that was installed by the vehicle manufacturer to meet the applicable emission standards. Most states have enacted similar laws to enforce the prohibition or have incorporated such prohibitions into their SIPs. The CAA provides EPA the authority to control or prohibit the use of fuels that pose a public health risk or that "impair to a significant degree, the performance of any emission control device or system." EPA's regulations are based on both of those rationales (for example, the regulations governing the lead content of gasoline). Enforcement of the fuel standards is achieved 5-14 May 1998 ------- Overview of Major Statutes through a combination of federal and state efforts, and is based in part upon the provisions of the state's SIP or state laws. The 1990 amendments tightened emission standards for both heavy-duty and light-duty vehicles. The standards took effect at different times for different types of vehicles, beginning in 1994. Beginning in 1995, "reformulated" gasoline that limits emissions of air pollutants must be sold in the worst ozone nonattainment areas (Los Angeles, San Diego, Baltimore, Philadelphia, New York, Hartford, Chicago, and Milwaukee). Other ozone nonattainment areas may elect to use reformulated gasoline as it becomes more widely available. Two "alternative fuel" programs are expected to reduce emissions in the most seriously polluted areas. California will develop a program that requires introduction of low-emission vehicles and ultra-low-emission vehicles, beginning in 1996. In addition, in more than 20 metropolitan areas, fleets of 10 or more vehicles are required to phase in use of "clean fuel vehicles," beginning in 1998. Control of acid rain The acid rain program, added to the CAA by the 1990 amendments, primarily affects emissions of sulfur dioxide (S02) and nitrogen oxides (NOx) from power plants. The program requires establishment of specific limitations on NOx emission rates and implementation of a two-phase reduction of emissions of S02 by the year 2000. EPA is to allocate to power plants marketable allowances that are based on 1985 S02 emissions and 1985 to 1987 annual average fuel consumption for individual power plants. Only power plants operating before November 15, 1990 will receive allocations of allowances for S02 emissions. New units that began or begin operation after November 15, 1990 will be required to obtain offset allowances from existing facilities to continue operation after the year 2000. Allowances can be bought, sold, shared with other regulated units, or banked for future use. Facilities may not emit more S02 than the amount for which they hold allowances. Penalties will be imposed at the rate of $2,000 per excess ton of S02 on any facility that does not have sufficient allowances to cover its S02 emissions. In addition, any offending facility will be required to reduce its emissions of S02 5-15 May 1998 ------- Overview of Major Statutes during the following year by one ton for each ton of excess S02 emitted in the current year. Stratospheric ozone protection program Another program added by the 1990 amendments is designed to protect the earth's stratospheric ozone layer by phasing out production and use of ozone- depleting substances. Limited exemptions are provided for such uses as medical, aviation, and fire-suppression applications. Production of Class I substances (those that have the greatest potential to deplete the ozone layer) generally will be prohibited after January 1, 2000. Production of Class II substances will be prohibited after January 1, 2030. EPA is required to promulgate rules that ban the production after November 15, 1992 of nonessential products during the manufacture of which Class I substances are released. Permitting Under the CAA before the 1990 amendments, permits were required for only a limited number of facilities. The 1990 amendments expanded the permit program to require that most regulated stationary sources have permits. The new permitting program is patterned after the NPDES program. It is designed to consolidate all requirements governing operation and control into one permit. It is expected, however, that air permits, now will be issued to a facility as a whole. Greater consistency is expected, and facilities will not be subject to conflicting requirements. Permits are required for any facility that qualifies as a "major source," (any source that emits more than 100 tons of pollutants per year); this requirement extends to smaller sources in the more seriously polluted nonattainment areas. EPA was required to promulgate regulations establishing the numerous requirements for state permit programs by November 15, 1991. States then must develop an operating permit program and submit it to EPA for approval. 5-16 May 1998 ------- Overview of Major Statutes Permit applications must be filed within 12 months after the permit program takes effect and must include a compliance plan for the facility. The permits, as issued, will contain enforceable limitations on and standards for emissions; a schedule of compliance; and certification, inspection, entry, monitoring, and reporting requirements for compliance. Enforcement The 1990 amendments greatly expanded enforcement options available under the CAA and impose heavy penalties, both civil and criminal, for violations of the act. Without initiating a court proceeding, EPA may impose administrative penalties of as much as $25,000 per day, to a maximum of $200,000, for violations of any requirement, prohibition, permit, rule, or order. Knowing violations of certain provisions of the CAA qualify as felony crimes, punishable by fines for individuals of as much as $250,000 and imprisonment for up to five years, with each day in violation considered a separate offense. Fines levied on corporations may be as much as $500,000 per day per violation. Penalties may be doubled for second convictions. EPA also is authorized to pay a "bounty" of as much as $10,000 for information leading to a criminal conviction or a judicial or administrative civil penalty for violations of the CAA. The CAA establishes a presumption that, once a violation that is likely to be of a continuing nature has been proven, the violation continues until full compliance is achieved, unless the defendant can prove that the violation ceased. 5-17 May 1998 ------- Overview of Major Statutes Clean Water Act History of the Federal Water Pollution Control Act State water quality standards National Pollutant Discharge Elimination System (NPDES) Program Pretreatment standards for indirect discharge to POTWs liNETt Clean Water Act History of the Federal Water Pollution Control Act Through the 1950s and 1960s, regulatory emphasis was on the establishment by states of ambient water quality standards and the development of plans to achieve those standards. In 1972, the Federal Water Pollution Control Act was amended significantly. The changes emphasized a new approach, combining water quality standards and limitations on effluents (that is, technology-based standards). The amendments required compliance with the technology-based standards for all point-source discharges. A strong federal enforcement program was created, and substantial monies were made available for construction of sewage treatment plants. The Federal Water Pollution Control Act was amended in 1977 to address toxic water pollutants and in 1987 to refine and strengthen priorities under the act, as well as enhance EPA's enforcement authority. Since the 1977 amendments, the Federal Water Pollution Control Act has been referred to as the Clean Water Act (CWA). State water quality standards and water quality management plans Section 303 of the CWA authorizes the states to establish ambient water quality standards and water quality management plans. If national technology standards are not sufficient to attain the desired quality of stream water, the state is to set maximum daily allowable pollutant loads (including toxic pollutants) for such waters and, accordingly, determine limits 5-18 May 1998 ------- Overview of Major Statutes on effluents and compliance schedules for point sources to meet the maximum daily allowable loads. The National Pollutant Discharge Elimination (NPDES) Program The NPDES program was established by Section 402 of the CWA. Under it, EPA and approved states have issued more than 50,000 NPDES permits. Permits are required for all point sources from which pollutants are discharged to navigable waters. An NPDES permit is required for any direct discharge from new or existing sources. Indirect discharges through publically owned treatment works (POTWs) are regulated under a separate program (pretreatment standards are presented below). 1979 and 1980 revisions include requirements imposed case by case for the use of best management practices (BMP) to minimize the introduction of toxic and hazardous substances into surface waters. BMPs are industry practices adopted to reduce secondary pollution (for example, covering and protecting storage piles of raw materials). Requirements for BMPs do not impose numerical limits; therefore, they are different from limits on effluents. Section 304 of the CWA establishes restrictions on the amount of pollutants discharged at outfalls from industrial plants. Amounts usually are expressed as weight per unit of product. Standards are different for each industry. Guidelines on effluents are applied to individual plants through the NPDES permit program. There are three levels of technology for existing industrial sources: best practicable control technology (BPT), best conventional technology (BCT), and best available technology economically achievable (BAT). Under the 1972 Act, BPTs were intended to be put in place by industry in 1977 and BATs in 1983. Those timetables were modified by subsequent amendments. For each technology, the new deadline requires compliance "as expeditiously as practicable, but in no case later than March 31, 1989." 5-19 May 1998 ------- Overview of Major Statutes NSPS are different for each industrial category. The standards must be achieved when the new industrial source begins to discharge. NSPS permits will be effective for a period of 10 years, rather than 5 or fewer years for BPT and BAT permits. The 10-year protection insulates the discharger against change in requirements for BCT or BAT but not against toxic pollutant standards under section 307(a) or against "surrogate" pollutants that are used to control hazardous or toxic pollutants. NSPS permits must be obtained by filing an application. Applicants must conduct analytical testing for pollutants. The applicant, if included in any of the 34 categories of "primary industries," must test for all toxic metals and for specified organic toxic pollutants. NPDES Permit The NPDES permit, issued by EPA or the state, enforces federal limitations on effluents promulgated for individual industrial categories; NSPS; standards for toxic effluents; state water quality standards under section 303 of the CWA, if applicable; and hazardous substances otherwise regulated under section 311 of the CWA that may have been incorporated instead under the NPDES permit. Elements of the permit include the amount of pollutants to be discharged, expressed in average monthly and maximum daily loads; compliance schedules, if applicable standards cannot be met currently; and requirements for monitoring, testing, and reporting. Routine Noncompliance Reports - The Discharge Monitoring Form The Discharge Monitoring Report (DMR) is a monthly or quarterly summary of the discharger's records of flow measurement and collection of samples. Emergency Reporting Health: EPA shall be notified within 24 hours of noncompliance involving discharge of toxic pollutants, threat to drinking water, or injury to human health. Bypass: Noncompliance caused by intentional diversion of waste shall be reported promptly to the permitting agency and may be permissible if it is essential to prevent loss of life or serious property damage. 5-20 May 1998 ------- Overview of Major Statutes Upset: Temporary noncompliance caused by factors beyond the reasonable control of the permittee shall be reported promptly to the agency. Pretreatment standards for indirect discharges to POTWs The 1987 CWA Amendments establish a schedule for the regulation of municipal and industrial stormwater discharges under NPDES permits. Initially (before October 1, 1992), only major dischargers were to be required to obtain permits. Current Coverage New and existing industrial users that discharge to POTWs are subject to general and categorical pretreatment standards. The categorical standards are directed primarily to the control of toxic pollutants in specific industries. Localities that have approved pretreatment programs may be subject to local limits, which are enforceable by EPA. Requirements General Pretreatment Standards General pretreatment standards prohibit fire or explosion hazards, corrosivity, solid or viscous obstructions, "slug" discharges, and heat sufficient to inhibit biological activity at POTWs. Categorical Standards Standards are to be expressed as concentration limits or mass weight per unit of production. The source must be in compliance three years after promulgation of standards. Variances can be obtained for fundamentally different factors or in cases in which industrial pollutants are removed consistently by a POTW. Reports Users must provide the appropriate agency (EPA, state, or POTWs having approved pretreatment programs) with basic information; including SIC code; average and maximum daily discharge; characteristics of pollutants, applicable standards and certification whether standards are being met and, if not, what pretreatment is necessary; and a compliance schedule. 5-21 May 1998 ------- Overview of Major Statutes Monitoring, Sampling, and Analysis Users are required to submit sampling data for each regulated pollutant in the discharge of concern. Progress Reports Reports and information must be submitted at six-month intervals. 5-22 May 1998 ------- Overview of Major Statutes Clean Water Act Nonpoint source pollution control Municipal and industrial stormwater discharges Dredge or fill discharge permit program Enforcement UNETf Clean Water Act (continued) Nonpoint source pollution control Section 208 of the CWA provides for control of nonpoint source pollution and directs states to establish planning bodies to formulate areawide pollution control plans. NPDES permits cannot be issued where the permit may conflict with an approved plan under section 208. The 1987 CWA Amendments require states or EPA to develop management programs for nonpoint sources under section 319. Municipal and industrial stormwater discharges For some time, there has been considerable debate about whether permits should be required for stormwater discharges from point sources, particularly those municipal or industrial discharges that may contain toxic and other pollutants. The 1987 amendments provide that five types of stormwater discharges will be regulated under NPDES: Discharges for which NPDES permits had been issued as of February 1987 Discharges "associated with industrial activity" Discharges "from a municipal separate storm sewer system serving a population of 250,000 or more" 5-23 May 1998 ------- Overview of Major Statutes Discharges "from a municipal separate storm sewer system serving a population of 100,000 or more but less than 250,000" Other discharges designated by the EPA administrator or the state, if such discharge "contributes to a violation of a water quality standard or is a significant contributor of pollutants to waters of die United States" Final regulations governing stormwater discharges were promulgated in November 1990. Dredge or fill discharge permit program Section 404 of the CWA regulates the discharge of dredged or fill material into waters of the United States. Dredged material is that material excavated or dredged from a body of water. Fill material is that material used to replace water with dry land. The Section 404 permit program is administered by the U.S. Army Corps of Engineers (USACE). EPA provides guidelines for the issuance of permits by USACE; states may assume responsibility for portions of the program. Discharge of oil and hazardous substances Section 311 of the CWA prohibits discharges of oil or hazardous substances in quantities that may be harmful to waters of the United States. The appropriate federal agency must be notified immediately of any spill of a "reportable quantity." Section 311 provides for cleanup of spills and requires the preparation of spill prevention, control, and countermeasures (SPCC) plans. More than 300 substances have been defined as hazardous under Section 311; each of those substances has a "reportable quantity" (40 CFR, parts 116 and 117). A person or corporation that properly notifies EPA of the discharge of a reportable quantity of oil or hazardous substance is immune from criminal prosecution, but is liable for civil penalties. Those who cause the spill are liable for the costs of cleanup and removal. If the federal government must clean up the spill, the discharger of the spill is liable for cleanup costs. 5-24 May 1998 ------- Overview of Major Statutes There are maximum limits on liability, depending upon the type of facility and the type of spill of concern. Such limits do not apply if the discharge resulted from willful negligence or willful misconduct of the owner. Certain discharges of oil and hazardous material that flow from a point source may be excluded from liability under section 311 if, during preparation of the NPDES permit for that facility, conditions are added to the permit to avoid the occurrence of a spill. Enforcement Section 309 of the CWA provides several enforcement options that can result in the imposition of large penalties on violators. Criminal violations are punishable by penalties for individuals of as much as $250,000 and imprisonment for 15 years for "knowing endangerment," while penalties against organizations for similar violations can reach $1,000,000. "Knowing violations" are subject to fines of $5,000 to $50,000 per day and imprisonment of as much as three years for each day of violation. "Negligent violations" carry penalties of $2,500 to $25,000 for each day of violation. Falsification of reports is punishable by a $10,000 fine and imprisonment. All penalties may be doubled for second offenses. Civil penalties may be assessed in an amount of as much as $25,000 per day of violation. Factors to be considered by the court in determining the amount of a civil penalty include the seriousness of the violation, the economic benefit of the violation to the defendant, compliance history, evidence of good-faith efforts applied by the violator, and the economic effect of the penalty on the violator. Administrative penalties also may be imposed against violators through the initiation of an administrative penalty proceeding. 5-25 May 1998 ------- Overview of Major Statutes Resource Conservation and Recovery Act (RCRA) Definition of RCRA (1976) Goals of RCRA State hazardous waste programs Enforcement [iNETi Resource Conservation and Recovery Act (RCRA) RCRA, as enacted in 1976, was designed to establish "cradle-to-grave" control of hazardous wastes by imposing extensive requirements on those who generate or handle such wastes. RCRA applies primarily to current operations of active facilities, yet it provides authority for addressing imminent hazards and for talcing corrective action to address problems arising from past operations Goals of RCRA RCRA has three goals: To protect human health and the environment To reduce waste and conserve energy and natural resources To reduce or eliminate the generation of hazardous waste as expeditiously as possible State hazardous waste programs Under RCRA, states can obtain approval from EPA to implement programs that govern hazardous wastes "in lieu of" the federal program administered by EPA. 5-26 May 1998 ------- Overview of Major Statutes To obtain approval from EPA, state programs must be "equivalent" to the federal program and include the authority to enforce requirements of the program. Once approved, the state standards govern all regulated entities; any assessment of a facility's compliance must be based upon those state regulations Thereafter, when federal standards change, each authorized state must submit a revised program to EPA for approval. Until the state receives such approval, the new standards generally do not have any effect in that state. The major exception to this regulatory scheme is rule-making under the Hazardous and Solid waste amendments of 1984 (HSWA). HSWA provides that implementing regulations are to take effect at the same time in all states. Authorized states still must modify their programs to include HSWA requirements, but there is no gap in regulation between the time at which EPA promulgates a final rule based on the HSWA and the time at which the state receives final approval of the program revision that is equivalent to the federal rule under the HSWA. Until a revised state program that addresses all requirements under the HSWA has been approved, the administration and enforcement of the overall hazardous waste program will involve both EPA and the authorized state. Enforcement EPA and authorized states may pursue enforcement actions based on administrative orders, as well as judicial actions seeking civil and criminal penalties for violations of the requirements of RCRA. An administrative action involves issuance of an administrative order that requires compliance with the regulations. Injunctive relief may be sought in a civil action filed in the U.S. District Court. Criminal penalties of as much as $50,000 or two years imprisonment or both, may be imposed for certain "knowing violations." 5-27 May 1998 ------- Overview of Major Statutes "Knowing endangerment" that places another person in imminent danger of death or serious bodily injury is subject to a fine of as much as $250,000 or 15 years imprisonment, or both. 5-28 May 1998 ------- Overview of Major Statutes RCRA's Four Interrelated Programs RCRA Subtitle D Subtitle C Subtitle 1 Subtitle J Solid waste Hazardous program waste program Underground storage tank program Medical waste program liNETl s to RCRA's Four Interrelated Programs To achieve its goals, four distinct yet interrelated programs have been established under RCRA. The First program, under subtitle D of RCRA, encourages states to develop comprehensive plans to manage primarily nonhazardous solid wastes -- for example, household waste. The second program, under subtitle C of RCRA, establishes a system for controlling hazardous waste from the time it is generated until its ultimate disposal, in effect from cradle to grave. The third program, under subtitle I of RCRA , regulates certain underground storage tanks. It establishes performance standards for new tanks and requires leak detection and prevention and corrective action at underground tank sites. The fourth and newest program to be established, under subtitle J of RCRA, is the medical waste program. Subtitle J establishes a demonstration program to track medical waste from generation to disposal. Solid waste program The term solid waste means any garbage; refuse; sludge from a waste treatment plant, water supply treatment plant or air pollution control facility; 5-29 May 1998 ------- Overview of Major Statutes or other discarded material. The term includes solid, liquid, semisolid, or contained gaseous materials resulting from industrial, commercial, mining, and agriculture activities and from community activities. The term does not include solid or dissolved material in domestic sewage; solid or dissolved materials in irrigation return flows or industrial discharges that are point sources subject to permits under section 402 of the Federal Water Pollution Control Act (CWA); or special nuclear or byproduct material, as defined by the Atomic Energy Act of 1954, as amended. Solid wastes, if disposed of in landfills, are regulated through state programs under subtitle D of RCRA. Hazardous waste program Hazardous solid wastes are subject to regulation under subtitle C of RCRA in their generation, transport, treatment, storage, and disposal. Subtitle C of the statute authorizes a comprehensive federal program to regulate hazardous wastes from their generation to their ultimate disposal. A waste can be "delisted" from the hazardous waste listing or excluded for other reasons. Some materials intended for reuse or recycling are not regulated fully as solid or hazardous wastes, while others, depending upon the type of waste generated and the recycling process used, are so regulated. Hazardous waste streams from specific major industry groups and some generic sources (40 CFR, part 261, subpart D, ง261.31 and 261.32) and more than 200 toxic commercial chemical wastes (discarded commercial chemical products and chemical intermediates) are included on the list of hazardous waste (40 CFR ง261.33). If a commercial chemical substance is on the list, its off-specification species also are considered hazardous when discarded, as are residues of spills (see 40 CFR งง261.33(e), 261.5(e), and 261.7(b)(3) for acutely toxic listed wastes). A waste is hazardous if it is listed by EPA as hazardous, if it exhibits a hazardous characteristic (corrosivity, reactivity, ignitability, or toxicity) and has not been delisted or excluded from regulation. There are special management provisions for hazardous wastes from small quantity generators and hazardous wastes that are intended to be reused or recycled. 5-30 May 1998 ------- Overview of Major Statutes The statute therefore potentially applies to any waste regardless of its physical form. Solid wastes excluded from regulation as hazardous solid wastes are household waste, crop or animal waste, mining overburden and wastes from processing and beneficiation of ores and minerals, fly ash, bottom ash waste, slag waste and flue gas emission control waste, and drilling fluids from operations conducted for energy development. Underground Storage Tanks EPA has developed the UST regulations to make sure the following goals are reached: To prevent leaks and spills To find leaks and spills To correct the problems created by leaks and spills To make sure that owners and operators of USTs can pay for correcting the problems created if their USTs leak. To make sure each State has a regulatory program for USTs that is as strict as or stricter than the Federal regulations. Subtitle I regulations are set forth in 40 CFR part 280. Medical Waste Medical waste is defined in 40 CFR 259.10 as any solid waste generated in the diagnosis, treatment, or immunization of human beings or animals, in related research, biological production, or testing. The regulations and exemptions for subtitle J are set forth in 40 CFR part 259. Regulated medical waste is a subset of all medical wastes and includes the following categories: 1. Cultures and stocks of infectious agents 2. Human pathological wastes (e.g., tissues, body parts) 3. Human blood and blood products 4. Sharps (e.g., hypodermic needles and syringes used in animal or human patient care) 5-31 May 1998 ------- Overview of Major Statutes 5. Certain animal wastes 6. Certain isolation wastes (e.g., waste from patients with highly communicable diseases) 5-32 May 1998 ------- Overview of Major Statutes Special Management Provisions RCRA Small quantity generators Recycling or reuse Land disposal restrictions [fNETl Special Management Provisions Small quantity generators Small quantity generators are those that generate less than 1,000 kilograms per month of hazardous waste. There are two classes of small quantity generators: Generators of between 100 and 1,000 kg per month that are subject to most of the requirements of 40 CFR part 262, which apply to fully regulated generators, except that such generators are allowed to accumulate as much as 6,000 kg of hazardous waste and to store waste for as long as 180 to 270 days. Generators of less than 100 kg per month that are exempt from regulation under 40 CFR part 262 as long as they do not accumulate more than 1,000 kg of hazardous waste; properly identify their wastes; and comply with the less stringent waste treatment, storage, and disposal requirements of 40 CFR ง261.5. Note that the generator is classified by the total wastes generated in a calendar month, not each waste stream. In addition, for acutely toxic wastes, if more than 1 kg per month of waste or 100 kg per month of spill residues are generated, all quantities of that waste are regulated fully. 5-33 May 1998 ------- Overview of Major Statutes Recycling or reuse The type of waste generated or the recycling process employed will determine whether recycled or reused materials are a solid or hazardous waste. Some such materials are not considered solid wastes, some are solid wastes but not hazardous wastes, while others are hazardous but are not subject to full regulation, and still other materials are both solid and hazardous wastes that are regulated fully. The circumstances surrounding the apparent recycling or reuse of waste materials should be thoroughly documented during inspection. Land disposal restrictions The land disposal of untreated hazardous wastes is prohibited unless treatment standards are met. 5-34 May 1998 ------- Overview of Major Statutes Requirements for Generators RCRA Identification Notification Maintenance of a manifest system Packing Annual report Exception reports Requirements of Generators Identification - Hazardous wastes must be identified by list, testing, or experience and assigned waste identification numbers. Notification - No later than 90 days after a hazardous waste is identified or listed in 40 CFR, part 261, a notification is to be filed with EPA or an authorized state. An EPA identification number must be obtained. Maintenance of a Manifest System - The generator must implement the manifest system and follow procedures for tracking and reporting shipments. Beginning September 1, 1985, a waste minimization statement is to be signed by the generator [see RCRA Section 3002(b)]. Packing - The generator must meet packaging, labeling, marking, and placarding requirements prescribed by DOT regulations (40 CFR, parts 172, 173, 178, and 179). Annual Report - The generator must submit an annual report on EPA Form 8700-13. Exception Reports - If the generator does not receive a signed copy of the manifest from the designated treatment, storage, and disposal facility (TSDF) within 45 days, the generator must file an exception report with EPA, including a copy of the manifest and a letter describing efforts made to locate the waste and the results of those efforts. 5-35 May 1998 ------- Overview of Major Statutes Requirements of Generators RCRA Accumulation Possession of a permit for storage, if for more than 90 days [INETI Requirements of Generators (continued) Accumulation - When waste is accumulated for less than 90 days, generators shall comply with special requirements, including those for a contingency plan, a prevention plan, and staff training (40 CFR, part 265, subparts C, D, and J and part 265.16). Possession of a permit for storage, if for more than 90 days - If hazardous wastes are retained onsite for more than 90 days, the generator is subject to all requirements applicable to TSDFs and must obtain a RCRA permit. 5-36 May 1998 ------- Overview of Major Statutes Requirements of Transporters RCRA Notification Maintenance of a manifest system Delivery to TSDF Retention of records Discharges ilNETl Requirements of Transporters Notification - No later than 90 days after a hazardous waste is identified or listed in 40 CFR, part 261, a notification is to be filed with EPA or an authorized state. An EPA identification number must be obtained. Maintenance of a manifest system - The transporter must fully implement the manifest system. The transporter signs and dates the manifest, returns one copy to the generator, ensures that manifest accompanies the waste, obtains dated signature of a representative of the TSDF or the next receiver, and retains one copy of the manifest. Delivery to TSDF - The waste is delivered only to a designated TSDF or designated alternative. Retention of records - The transporter retains copies of the manifest, signed by the generator, the transporter, and a representative of the accepting TSDF or receiver, and keeps these records for a minimum of three years. Discharges - If discharges occur, notice of such discharges shall be given to the National Response Center. Appropriate immediate action must be taken to protect health and the environment, and a written report to the DOT must be made. 5-37 May 1998 ------- Overview of Major Statutes Requirements of Treatment, Storage, or Disposal Facilities RCRA Notification Interim status Interim status facility standard requirements Permitting llNETi Requirements of Treatment, Storage, or Disposal Facilities Notification No later than 90 days after a hazardous waste is identified or listed in 40 CFR, part 261, a notification of hazardous waste management activities is to be filed with EPA or an authorized state by each TSDF that manages newly identified or listed hazardous waste. Interim status - (not generally applicable today) Interim status facilities include TSDFs; on-site hazardous waste disposal facilities; on-site facilities that store wastes for more than 90 days; facilities that provide in-transit storage for more than 10 days; and facilities that store hazardous sludges, listed wastes, or mixtures containing listed wastes intended for reuse. Interim status is achieved by: Notification (see above) Being in existence on November 19, 1980 or on the date of statutory or regulatory changes that require that the facility have a permit Filing a Part A permit application by the date specified in the regulation covering the facility (40 CFR, parts 261, 264, or 265) 5-38 May 1998 ------- Overview of Major Statutes Interim status facility standard requirements Interium status facilities must meet the standards and requirements related to the following: General information (subpart B) Waste analysis plan Security Inspection plan Personnel training Handling requirements Preparedness and prevention Contingency planning and emergency procedures (subparts C and D) Records and reports Manifest system Operating logs Annual and other reports (subpart E) Groundwater monitoring (subpart F) Closure and post-closure care plans (subpart G) Financial requirements (subpart H) Containers, tanks, surface impoundments, and piles (subparts I, J, K, L) Land treatment; landfills; incinerators; thermal treatment; and chemical, physical, and biological treatment (subparts M, N, O, P, Q) Underground injection (subpart R) Permitting To obtain a permit, facilities that have interim status must file a Part B RCRA permit application when directed to do so by EPA or an authorized state and must meet final standards established for the facility, or the facility must have adopted an approved schedule for meeting those standards. New facilities and facilities that do not qualify for interim status are to obtain a RCRA permit before construction can begin or any hazardous waste can be handled at the facility. 5-39 May 1998 ------- Overview of Major Statutes Comprehensive Environmental Response, Compensation, and Liability Act (Superfund) CERCLA Authorities Enforcement (iNETt The Comprehensive Environmental Response, Compensation, and Liability Act (Superfund) CERCLA authorities CERCLA, the Superfund Act of December 11, 1980 authorizes the federal government to clean up toxic or hazardous contaminants at closed and abandoned hazardous waste dumps and recover the costs of that cleanup and associated damages by suing the responsible parties involved. Cleanup monies come out of a "Superfund" created by taxes on chemicals and hazardous wastes. While RCRA creates a framework for the proper management of hazardous and nonhazardous "solid" waste, it does not address the problems of hazardous waste encountered at inactive or abandoned sites or those resulting from spills that require emergency action. Such problems are addressed by CERCLA. The provisions of CERCLA include: The act provides that, when there is a release of hazardous substance, either actual or threatened, the parties who operated the vessel or facility that created the release are liable for the containment and removal of the release, response, and remedial action, and are liable for damages to natural resources under section 107(a). The act also establishes limitations on liability. If claims are presented to the liable parties but are not satisfied, the act then allows claims to be reimbursed from Superfund. 5-40 May 1998 ------- Overview of Major Statutes Release of hazardous substances into the environment must be reported under sections 102 and 103, unless the release is in accordance with an established permit. Spills of any "reportable quantity," established pursuant to regulations promulgated under the act, must be reported. (Notify the Coast Guard) All owners or operators of any facility that handles and disposes of hazardous substances or that has handled hazardous substances in the past (including previous owners and operators) were required to inform the EPA Administrator by June 1981 of the activities of such facilities, unless those facilities have RCRA permits or have been accorded "interim status." Failure to notify is a crime and, if the party knowingly fails to provide the data, the party is not covered by the prescribed limits on and defenses against liability. On October 17, 1986, the Superfund Act was amended under the Superfund Amendments and Reauthorization Act (SARA). Those amendments provide mandatory schedules for the completion of various phases of remedial response activities, establish detailed cleanup standards, and generally strengthen existing authority to effect the cleanup of superfund sites. Enforcement Civil and criminal penalties and awards are available under CERCLA. Section 106 provides that failure or refusal to comply with an order directing immediate abatement of a release or threatened release of a hazardous substance that creates an imminent and substantial endangerment to the public health or welfare or the environment is punishable by a fine as much as $25,000 per day of violation. Section 109 also provides for penalties of as much as $25,000 per day of violation to be imposed by a U.S. District Court or in an administrative proceeding, for failure or refusal to comply with other provisions of CERCLA. Under section 109(d), a "bounty" in the amount of as much as $10,000 may be paid to any individual who provides information leading to the arrest and conviction of any person for a violation of the requirements of CERCLA. 5-41 May 1998 ------- Overview of Major Statutes Criminal penalties of as much as $10,000 and imprisonment for three years are available under section 103 for various violations, including failure to notify of a release and falsification of records. Second and subsequent violations can result in imprisonment for as many as 5 years. 5-42 May 1998 ------- Overview of Major Statutes Toxic Substances Control Act (TSCA) Regulates existing and new chemical substances Applies to manufacturers, distributors, processors, and importers of chemicals 5-17 Toxic Substances Control Act (TSCA) TSCA regulates both existing and new chemical substances. TSCA applies primarily to manufacturers, distributors, processors, and importers of chemicals. 5-43 May 1998 ------- Overview of Major Statutes Toxic Substances Control Act (TSCA) Inventory and premanufacture notification Testing Reporting and recordkeeping Regulation under section 6 Imminent hazard Enforcement General provisions [jnet! The provisions of TSCA cover five areas: Inventory and premanufacture notification EPA has published an inventory of existing chemicals. A substance that is not on this list is considered "new"; premanufacture notification (PMN) to EPA is required at least 90 days before the chemical can be manufactured, shipped, or sold (TSCA, section 5). If EPA does not make a declaration within 90 days to restrict the product, full marketing can begin and the chemical added to EPA's inventory. A manufacturer may obtain a test marketing exemption and distribute the chemical before the 90-day period has expired. EPA, in response, may reject PMN for insufficient data; negotiate for suitable data; prohibit manufacture or distribution until data on risk are available; or, pending development of a section 6 rule, completely ban the product from the market or review data on the product for an additional 90 days. Testing Under TSCA, Section 4, EPA can require product testing of any substance that "may present an unreasonable risk of injury to health or to the environment." 5-44 May 1998 ------- Overview of Major Statutes Some testing standards are proposed, but no test requirements for specific chemicals are yet in effect. Reporting and recordkeeping TSCA, Sections 8(a) and 8(b) deal with general reporting. The "first tier" rule, (PAIR) now in effect, is a short form that seeks production and exposure data on more than 2,300 existing chemicals. A "second tier" rule is expected to be required to obtain more detailed data on a relatively small group of chemicals that may become priority candidates for regulation. Section 8(c) requires that records be kept of significant adverse effects of toxic substances on human health and the environment and that records of alleged adverse reactions be kept for a minimum of five years. Section 8(d) allows EPA to require that manufacturers, processors, and distributors of certain listed chemicals (designated under 40 CFR ง716.13) submit to EPA lists of health and safety studies conducted by, known to, or otherwise obtainable by them. Section 8(e) requires action upon discovery of certain data. Any person who manufactures, processes, or distributes a chemical substance or mixture, or who obtains data that reasonably supports the conclusion that a chemical of concern to that individual presents a substantial risk of injury to health or to the environment, is required to so notify EPA immediately. Regulation under section 6 EPA can impose a rule under section 6 if there is reason to believe that the manufacture, processing, distribution, use, or disposal of a chemical substance or mixture causes, or may cause, an unreasonable risk of injury to health or to the environment. Regulatory action can range from labeling requirements to complete prohibition of the product. Section 6 rules currently are in effect for several chemicals, including PCBs. 5-45 May 1998 ------- Overview of Major Statutes Imposition of a section 6 rule requires informal rulemaking, a hearing, and a cost-benefit analysis. Imminent hazard Imminent hazard is defined as a circumstance under which a chemical substance or mixture causes an imminent and unreasonable risk of serious or widespread injury to health or the environment. When such a condition prevails, EPA is authorized under TSCA, section 7, to bring action in U.S. District Court. Remedies include seizure of the chemical or other relief, including notice of risk to the affected population or recall, replacement, or repurchase of the substance. Enforcement Civil penalties may be assessed through administrative proceedings in amounts not to exceed $25,000 per day of violation. Criminal penalties for knowing and willful violations of TSCA may be imposed in amounts of not more than $25,000 per day of violation or imprisonment for up to one year, or both. Actions to restrain violations, compel compliance, or seize and condemn any substance, mixture, or article may be brought in U.S. District Court. General provisions TSCA provides especially broad authorities for obtaining information from facilities, which can be used to obtain information from recalcitrant companies. The following scenario provides an example of the application of such authorities. 5-46 May 1998 ------- Overview of Major Statutes An investigation of a very large industrial complex was underway, and the facility was delaying the release of substantial amounts of information needed by the inspectors to conduct their multimedia inspection. The following actions were taken: The company was served with a subpoena under the authority of TSCA that required the company to appear at the EPA Regional Office with all requested records. Upon receipt of the subpoena, the company became very cooperative and open and quickly negotiated to answer any questions and make all records requested available to the inspectors on site. The desired outcome was achieved, and the subpoena was canceled. 5-47 May 1998 ------- Overview of Major Statutes Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA) Requirements of FIFRA Enforcement Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA) Requirements of FIFRA FIFRA defines a pesticide as any substance intended to prevent, destroy, repel, or mitigate pests. The major provisions of the act are: Requires registration of all pesticides, restricts use of certain pesticides, authorizes permits for experimental use, and recommends standards for pesticide applicators and the disposal and transportation of pesticides. Pesticides are to be registered for five years and classified for either general or restricted use. If classified for restricted use, they are to be applied either by or under the direct supervision of a certified applicator. Pesticides are to be labeled and to specify ingredients, uses, warnings, registration number, and any special restrictions on use. FIFRA specifies tolerance levels for certain pesticide chemicals in or on agricultural commodities. The limits apply to 310 different compounds. A few pesticides also are regulated as toxic pollutants under Section 307(a) of the CWA and by primary drinking-water standards under the SDWA. 5-48 May 1998 ------- Overview of Major Statutes Enforcement FIFRA provides for relatively low penalties, when compared with other environmental statutes. Civil penalties range from as little as $500 for a first offense by a private applicator to not more than $5,000 per violation for registrants, commercial applicators, wholesalers, dealers, retailers, and distributors. Criminal penalties for violations by private applicators, which are misdemeanors, include fines of no more than $1,000 or imprisonment for as long as 30 days, or both. Commercial applicators that knowingly violate FIFRA can be fined as much as $25,000 or imprisoned for as much as one year, or both. Registrants, applicants for a registration, and producers that knowingly violate the statute are subject to fines of as much as $50,000 or imprisonment for as much as one year, or both. Any person who, with intent to defraud, uses or reveals information about product formulas acquired under FIFRA's registration provisions is subject to a fine of as much as $10,000 or imprisonment for as long as 3 years, or both. 5-49 May 1998 ------- Overview of Major Statutes Safe Drinking Water Act (SDWA) Provisions of SDWA Protection of underground drinking water Enforcement [SNETi Safe Drinking Water Act (SDWA) Provisions of SDWA The SDWA of 1974 was established to provide safe drinking water to the public. Both primary and secondary drinking-water standards have been set by EPA regulations that apply to water after treatment by public drinking-water systems. National Interim Primary Drinking-water Regulations were adopted in 1975 to protect public health (40 CFR part 141). Regulations covering radionuclides were added in 1976. Regulations for trihalomethanes were promulgated in 1979. Secondary regulations were established in 1979 as guidelines to states to protect the non-health-related qualities of drinking- water. The 1986 amendments to the SDWA (1) establish a mandatory schedule, requiring the promulgation of primary drinking-water regulations for 83 contaminants; (2) prohibit the use of lead in public water systems; (3) provide civil and criminal penalties for persons who tamper with public water systems; and (4) require 5-50 May 1998 ------- Overview of Major Statutes closer scrutiny of state programs, including the direct enforcement of drinking-water standards, if necessary. Protection of underground drinking-water The SDWA also provides for protection of underground sources of drinking- water. Final regulations have been issued under which states are to establish underground injection control (UIC) waste disposal programs to ensure that contaminants in water supplies do not exceed limits established under the national drinking-water standards and to prevent endangerment of any underground source of drinking-water. Injection wells are divided into five classes: Construction and disposal standards are established for the permitting of Class I through III wells. Class I and IV wells are subject to requirements established under RCRA. Class IV wells are those used by generators of hazardous or radioactive wastes to dispose of hazardous wastes into formations within 0.25 mile of an underground source of drinking-water. New Class IV wells are prohibited, and existing Class IV wells must be phased out within six months after approval or promulgation of a UIC program in the state. Multimedia compliance inspectors should consult the numerous state regulatory requirements that affect groundwater. Enforcement 1986 amendments to SDWA strengthen EPA's enforcement authority for UIC programs. Civil penalties of no more than $25,000 per day of violation may be assessed for failure to comply with national primary drinking-water regulations (Section 300g through 3(b)), failure of an owner or operator of a public water system to give notice to persons served by it of failure or inability to meet requirements governing maximum containment levels (Section 300(g) - 3(c)), failure to comply with an administrative order requiring compliance (Section 300g - 3(g)), or 5-51 May 1998 ------- Overview of Major Statutes failure to comply with requirements of an applicable UIC program (Section 300h - 2(b)). Any person who fails or refuses to comply with an administrative order issued in a case in which a contaminant is contaminating or is likely to contaminate an underground source of drinking-water and may present an imminent and substantial endangerment to human health is subject to civil penalties of as much as $5,000 per day of violation (Section 300i). Administrative orders related to violations of regulations governing underground injection may impose penalties of as much as $5,000 per day of violation, to a maximum administrative penalty of $125,000. Tampering with a public water system may result in a criminal fine or imprisonment for up to five years, or both. Penalties for threats to tamper carry fines or imprisonment of as long as three years, or both. Civil penalties also may be imposed against persons who tamper, attempt to tamper, or make threats to tamper with a public water system. The maximum fine is $50,000 for tampering and $20,000 for an attempt or threat to tamper. 5-52 May 1998 ------- Overview of Major Statutes Emergency Planning and Community Right-to-Know Act (EPCRA) Subtitle A - emergency planning and notification Subtitle B - reporting requirements Subtitle C - general provisions [SNETl Emergency Planning and Community Right-to-Know Act (EPCRA) EPCRA was enacted as a part of the Superfiind Amendments and Reauthorization Act of 1986, as a freestanding provision to address the handling of "extremely hazardous substances" and to establish an extensive information collection system to assist in responding to releases of such substances. EPCRA comprises three subtitles: (1) subtitle A, which establishes the framework for planning of emergency response and notification of release; (2) subtitle B, which sets forth reporting requirements; and (3) subtitle C, which establishes general provisions, including enforcement, penalties, and handling of trade secrets. Subtitle A - emergency planning and notification The goal of subtitle A is to provide states and local communities with the information necessary to respond adequately to unplanned releases of certain hazardous materials. Through the establishment of state emergency response commissions (SERC) and local emergency planning committees (LEPC), subtitle A mandated the development and implementation of emergency response plans. Subtitle A also requires that facilities at which certain "extremely hazardous substances" are present in quantities in excess of established threshold planning quantities notify the state commission of the 5-53 May 1998 ------- Overview of Major Statutes presence of the substances and report releases of those substances in amounts in excess of specified reportable quantities. Subtitle B - reporting requirements Sections 311 - 313 of EPCRA set forth reporting requirements for facilities at which "hazardous chemicals" are present in quantities in excess of specified thresholds or that experience environmental releases of "toxic chemicals" in amounts in excess of the established threshold quantities. Section 311 requires that facilities at which "hazardous chemicals" are present in amounts exceeding threshold levels submit to the SERC, LEPC, and local fire departments material safety data sheets (MSDS) or lists of substances for which they maintain MSDSs to give notice to those authorities of the types of potential hazards present at each facility. Section 312 requires submission of annual and daily inventory information on the quantities and locations of the hazardous chemicals. "Tier I" reports provide the required general information. "Tier II" reports providing information about specific chemicals must be submitted in place of Tier I reports upon request of the SERC, LEPC, or local fire department. Section 313 requires annual reporting to EPA and the state of any environmental releases of listed "toxic chemicals" in amounts in excess of specified threshold quantities. In the event of a release a facility is required to submit a "Form R" Toxic Chemical Release Inventory Report if the facility has 10 or more full-time employees; is classified in any of SIC codes 20 through 39; and manufactures, processes, or otherwise uses a toxic chemical in amounts in excess of the established reporting thresholds. Subtitle C - general provisions Section 325 of EPCRA sets forth the civil, criminal, and administrative penalties that may be assessed for violations of that act. Violations of reporting requirements carry civil penalties of as much as $25,000 per violation. Frivolous trade secret claims may result in penalties of as much as $25,000 per claim, while the knowing and willful disclosure of actual trade secret information may be punishable by a fine of as much as $20,000 or imprisonment for as long as one year, or both. 5-54 May 1998 ------- Overview of Major Statutes Requirements of the Department of Transportation (DOT) Training IATA regulations apply when delivery services are used PCBs and poisons US. shipments Action by DOT [InetI Requirements of the Department of Transportation (DOT) Hazardous wastes are dangerous goods that are regulated by the Department of Transportation (DOT) and International Air Transport Association (IATA). Training Each employee who packs or offers for shipment dangerous goods, must be trained and recertified every two years. IATA regulations apply when delivery services are used. If dangerous goods are being shipped by a common delivery service (such as, Federal Express or DHL) they must meet the requirements of IATA, rather than those of DOT. PCBs and poisons If a PCB or Division 6.1 packaging group I or II poison, delivery services like Federal Express require DOT exemption packaging. 5-55 May 1998 ------- Overview of Major Statutes U.S. shipments On shipments to, from, within, or in transit through the U.S., the shipper's declaration must include a 24-hour emergency response telephone number for use in the event of an incident involving the dangerous goods. The number must be monitored at all times by a person who can provide information on the dangerous goods (49 CFR ง172.604) Action by DOT DOT takes action against the individual, not EPA or the state. The minimum fine is $250 per day per violation. 5-56 May 1998 ------- E ------- Notes - ------- Session 6: Conducting the Multimedia Inspection Session Overview Duration: 5 hours (including exercise) Objective: This session discusses the steps taken during the actual conduct of a multimedia inspection. In particular, it addresses the following: Purpose of and participants in an off-site preinspection team meeting and the issues it covers Principal issues and topics related to entry and opening conferences Processes and operations to be examined during the plant tour Procedures necessary to conduct medium- specific inspections during a multimedia inspection Purpose of, issues, and participants in daily debriefing and issues they cover Identification of principal issues and findings necessary in multimedia closing conference Process: Lecture, group discussion, practical exercise ------- Conducting the Multimedia Inspection Conducting the Multimedia Inspection flNETl Conducting the Multimedia Inspection Several steps must be taken in conducting a multimedia inspection. In this session, those steps will be discussed. They include: Conducting preinspection meetings Entering the facility Conducting opening conferences Conducting the inspection Conducting debriefmgs Conducting the closing conference Conducting a process-based inspection 6-1 May 1998 ------- Conducting the Multimedia Inspection Preinspection Meeting Identify roles Introduce new members Review safety issues Review entry procedures and responsibilities Review objectives of the opening conference fSNETl Preinspection Meeting The preinspection team meeting should take place immediately before the inspection begins, in the field near the site, but before the team enters the site. The meeting often takes place in a restaurant in the vicinity of the facility. An off-site meeting also can take place earlier; for example, the night before the inspection begins. That meeting should include as many members of the inspection team as practical. At a minimum, it must include all the inspectors who are scheduled to begin their inspections on the opening day. The objectives of such preinspection meetings are to: Identify roles It is especially critical in a multimedia inspection that everyone on the team understand their responsibilities during the inspection. This not only will ensure an efficient and effective inspection, but also will indicate a high degree of professionalism and team work to facility representatives. 6-2 May 1998 ------- Conducting the Multimedia Inspection Introduce new members It is important to ensure that members of the inspection team know one another before they arrive at the site. Make introductions and ensure all team members have proper credentials and understand their roles. It is important that team members recognize that other members represent different federal, state, and local organizations. The team leader must identify his or her own role and ensure that team members know who the other team members are, who is in charge of each stage on the inspection, and the anticipated schedule. Review safety issues The team leader and those inspectors who are ready to begin their inspections should review safety issues that may be encountered at the site. The team leader should ensure that each member has the proper equipment (for example, safety glasses and respirators). Emergency procedures should be reviewed. Review entry procedures and responsibilities The inspection team must follow the procedures outlined in the project plan. The team leader will speak for the group when gaining entry. The team members will refrain from comments or initiating their investigative questioning during entry. Review the objectives of the opening conference Before entering the facility, the team members should ensure that they have their credentials, safety kits, photography equipment, and all necessary sampling or documentation gear. They should review procedures and site contacts. Team members also should prearrange communication procedures for contacting the team leader and their home offices. 6-3 May 1998 ------- Conducting the Multimedia Inspection Entry to a Facility Entry procedures Entry topics If NETt Entry to a Facility Entry Procedures It is imperative that no one exhibit the Lone Ranger attitude. Individuals or specific teams always should report to the team leader before entry. The team leader generally takes the lead and identifies himself or herself and all of the team members (as appropriate) to the guard or the receptionist at the facility. Occasionally, the team leader will designate another member of the team to take the lead at the opening conference. - All members of the team are required to present their credentials to the guard or the receptionist. - The team leader requests a meeting with the person in charge. - Members of the team may sign the visitors log. - The team may obtain an escort into the facility, if so required. Entry Topics 6-4 May 1998 ------- Conducting the Multimedia Inspection Principal Procedures for the Opening Conference Identification of inspectors and presentation of credentials Listing of objectives Information needs Sampling Still and video cameras Confidential business information (CBI) Logistics Safety [SNETl Principal Procedures for the Opening Conference Identification of inspectors and presentation of credentials The team leader or designee should identify all inspectors, and all members of the inspection team should present their credentials. Listing of objectives The team leader presents the objectives of the inspection, as well as its scope and sequence. The team leader and the team members discuss the inspection procedures and identify facility personnel needed during the inspection. They also: - State how long the inspection will take - State the time the investigators will arrive and depart each day Appropriate inspection forms and notices should be given to the facility representative. Information needs The team should identify various records and forms that will be needed during the inspection. Procedures for copying records should be determined. A place to review records and a time to present records for review should be identified. The team leader should request detailed information about unit processes and ownership of the facility, including flow diagrams and site maps. 6-5 May 1998 ------- Conducting the Multimedia Inspection The team should provide the facility representatives with a list of documents needed and inform facility representatives when the documents will be needed. Sampling The team should inform the facility representatives of samples that will be collected and determine whether or not the facility wishes to be provided split samples. Still and video cameras The team should discuss where and how photographs will be taken and videos recorded. Confidential business information (CBI) The facility representatives should identify issues related to confidential business information. Logistics The team should arrange for meeting rooms, communications facilities, and other support needs. Safety The team leader should discuss with facility representatives any safety issues and determine whether any of the facility's safety requirements are pertinent to the inspection. The team leader should: - Identify appropriate safety equipment and attire. - Ask the facility representative to identify emergency signals. - Ask the facility representative identify specific emergency escape routes. - The team leader, in consultation with facility management, should determine any special-purpose safety training courses that are necessary before the inspection can proceed. 6-6 May 1998 ------- Conducting the Multimedia Inspection Conducting the Multimedia Inspection Overall inspection strategy Necessary procedures Support Teamwork llNETl 6-5 Conducting the Multimedia Inspection Overall inspection strategy Inspection planning includes formulating a strategy to ensure that information is obtained from the company in a logical, understandable manner. This applies to both the process and compliance evaluations, and the environmental management control evaluation. Necessary procedures To formulate an effective strategy, knowledge of general operations of the facility, its waste management procedures, and applicable regulations is critical. Much of that information should have been obtained during the background information review and inspection reconnaissance. The information also should have been discussed during the project planning phase and reiterated at the preinspection meeting. Support Some activities require support by staff and equipment; planning for such support is necessary. - Communication with team member, facility, office staff at the agency, and agency management - Transportation to and from the site and on site 6-7 May 1998 ------- Conducting the Multimedia Inspection - Contingency planning to predict problems and plan for their resolution - Shipping and handling of samples, including appropriate chain of custody and proper packaging Teamwork Teamwork is essential to conducting a successful multimedia inspection. 6-8 May 1998 ------- Conducting the Multimedia Inspection Process Evaluation Strategy Facility factors Administrative factors Logistical factors Constraints IfNETi 6-6 Process Evaluation Strategy The process evaluation strategy needed to establish a sequence of inspections for major facility operations and waste management activities may be based on several factors. Facility factors: Such as size, complexity, waste producing potential, and waste characteristics, Administrative factors: Such as the priority of inspection objectives (that is, which compliance evaluations are the most important) Logistical factors: Such as availability of personnel, operating schedules, and assignment schedules Constraints: Limitations imposed by the company, such as those on the number of inspection teams that can operate concurrently on-site The final strategy usually involves establishing priorities among processes and waste management activities, in light of all the factors identified above, and systematically moving from the beginning to the end of the process, with emphasis on generation and final disposition of regulated waste streams. The initial strategy should be somewhat flexible, so that "mid-course corrections" can be made. 6-9 May 1998 ------- Conducting the Multimedia Inspection Multi-Media Investigative Approach Sequence of Events (May vary based on Inspection priorities) Multimedia Investigative Approach The multimedia investigative approach is a sequence of compliance evaluations under which the initial focus is on RCRA, then CWA, and other statutes. The compliance evaluations also must be conducted in a sequence that generally leads from the most to the least time-consuming regulatory program. Training and availability of personnel and other logistical factors may lead to combining compliance evaluations. RCRA often is chosen as the subject of initial focus because of the close relationship between process evaluations and requirements imposed on generators. A quick visual inspection of hazardous waste storage areas and PCB transformers often is conducted early in the inspection. Compliance with regulatory programs that primarily involve records reviews, such as TSCA (sections 5 and 8) and EPCRA, usually are scheduled later in the inspection, as time permits. The team leader should develop the strategy for process and compliance evaluations and discuss it with members of the inspection team. The strategy will serve as the basis for explaining inspection activities and scheduling to representatives of the company during the opening conference, as discussed below. The strategy may include check lists. Some check lists may address potential process waste streams to be looked for, while others may address medium-specific compliance issues. Check lists can be a vital component of a compliance investigation, helping ensure that an investigator does not overlook anything important. 6-10 May 1998 ------- Conducting the Multimedia Inspection Check Lists Care required when filling out check lists Medium specific check lists Sequence of use of check lists fSNETt Check Lists Check lists serve as a guide and a reminder of what needs to be asked or examined and to help an investigator remember the basic regulatory requirements. They can provide another means of documenting violations or supplying background material to judge potential violations, however: Never fill out check lists blindly or mechanically, the answers to the questions should not be based solely on what the facility representatives say, but also on what the investigator observes. Media-specific check lists may be used and they may be completed by the lead investigator for each given program, both during and after the facility tours and the document review phases. A partial list of media-specific check lists is presented in Appendix I of the Multimedia Investigation Manual. The EPA also uses a the multimedia screening check list that we will discuss later in this session. The screening check list is used to record findings from a screening inspection to screen for the more obvious, readily detectable problems in program areas not receiving a detailed compliance evaluation. Sequence of use of check lists Like the project phases, the sequence of process and compliance evaluations should not be considered as discrete steps to be completed in order. Information obtained during subsequent program-specific evaluations also may provide new information about compliance in a program area already addressed or indicate a need to inspect a process or support operation not previously identified. 6-11 May 1998 ------- Conducting the Multimedia Inspection A key point to remember when conducting a multimedia inspection is that each inspector is a member of a team and must be able to recognize cross-program issues and be able to share information to achieve the common goal of the team. 6-12 May 1998 ------- Conducting the Multimedia Inspection Multimedia Inspection Feedback Loops Feedback Loops Multimedia Inspection Feedback Loops This iterative process is pursued until the objectives of the inspection have been accomplished. At larger facilities, repeated site visits coordinated by the team leader may be necessary and desirable for completing the inspection. Such approach can result in a better inspection because of the opportunity to review information obtained in the office, then refine the inspection strategy to "fill in the gaps" during a subsequent site visit. 6-13 May 1998 ------- Conducting the Multimedia Inspection Sample Inspection Strategy General facility tour Purpose of the tour Sharing interests of other members Identification of subjects for follow-up llNETt 610 Sample Inspection Strategy General facility tour After the opening conference at which inspection activities are explained, the representatives of the company are asked to provide an overview of facility operations for the entire team. A general "windshield" site tour usually follows the overview presentation. Purpose of the tour The purpose of the general facility tour is to provide members of the inspection team an "on-the-ground" orientation and to identify and verify activities requiring further evaluation. The team leader and media specialists should compile a list of "must see" items, based on the review of background information and the information obtained during the overview of facility operations provided during the opening conference. Such items might include key processes and operations, waste management areas, and areas where inspectors suspect violations are occurring. The tour (attended by all team members) should include, at a minimum, raw material storage facilities, manufacturing areas, and waste management units. Whether facility personnel are provided a list of specific items depends on whether the company could use such information to help hide or correct violations. It may be prudent to present the list of specific items in terms of general plant areas to be toured. The facility tour must be structured properly and knowledgeable facility personnel must accompany the inspectors. The route taken may be dictated by layout of the facility, but flow of materials should be followed as much as possible. 6-14 May 1998 ------- Conducting the Multimedia Inspection Sharing interests of other members The team leader ensures that members of the team have the opportunity to view each other's interest areas and gain more understanding of cross-media regulatory issues. Later, each team member can identify events or processes that may be of interest to another member. Often, a single inspector cannot visit every inch of a facility. If a team member sees something known to be of interest to another team member, that person should share that information as soon as possible. Team members should be constantly alert for operations, processes, materials, and waste management activities not previously identified. If a potentially significant operation, unit, or activity (for example, a waste spill) is observed, "stop the bus" and take a closer look. Any regulatory violations should be documented properly at that time. Identification of subjects for follow-up During the opening conference and again during the general facility tour, the team leader or inspector will identify key processes, areas possibly requiring in-depth inspection, and areas where violations are suspected. Waste streams and water management areas should be noted for follow-up Each inspector should discuss with the team leader whether the location of a potential or suspected violation should be visited during the general facility tour. It may be advantageous to have several team members present if a significant violation is observed. The general site tour is also a good time to document conditions with photographs. 6-15 May 1998 ------- Conducting the Multimedia Inspection Process and Waste Management Evaluation Records review Operator and staff interviews In-depth process analyses Process and Waste Management Evaluation Three key techniques are employed during the process and waste management evaluation segment of the investigation: record reviews, interviews, process analyses In-depth review of records Once the general site tour has been completed, the inspection team may separate into smaller units (usually two, sometimes three) that focus on detailed process evaluations, specific medium compliance evaluation, or other activities, such as laboratory inspection and collection of samples. This procedure allows one team to gather process information and begin the compliance evaluation, while another team begins concurrent evaluations; throughout the inspection, all inspectors should watch for potential problems in all media and possible regulatory implications. Process operations should be discussed with company representatives. They usually would be described in some detail; the order of inspection typically parallels the flow of raw materials and intermediate products toward subsequent processes and the final product(s). During these discussions, waste streams and their respective management procedures and related control equipment should be identified. Inspectors go with company representatives or technicians to areas of the facility where their particular focuses are important. Evidence documentation 6-11 6-16 May 1998 ------- Conducting the Multimedia Inspection Interviews of operators and staff Inspectors should employ good interviewing techniques so that the necessary information can be obtained clearly and accurately from facility personnel. Appendix K in the Multimedia Investigation Manual presents effective interviewing techniques. - Inspectors should ask probing questions but never leading questions. - Often, the inspector is required to rephrase questions and ask them many times until the answer is satisfactory and consistent. - Body language also should be observed for clues that the facility representative is hedging or that the inspector is starting to key in on a particularly sensitive subject. - The inspector always should write down unexpected questions that occur to him or her, especially in situations in which those questions cannot be asked promptly. - Special care should be taken so that one inspector does not answer another's questions. If the question is posed to a company official, the official should answer, even if another inspector knows the answer. In-depth analyses of processes Inspectors conduct process inspections to verify the information presented by company representatives and others and discover "missing" details. The inspections may be conducted after each process or group of processes is described. - The RCRA inspection begins while touring the processes by identifying any waste generation and accumulation areas. The presence of wastewater dumps, separators, or trap tanks in or near the process building also may result in initiation of the CWA inspection. - The project plan usually indicates that the inspection team will separate into smaller groups before proceeding with the detailed process descriptions. They do so because the people gathering the process information will be beginning some of the compliance evaluations; simultaneously, other team members can begin such concurrent evaluations as the laboratory inspection. - Inspection of waste management units may be interspersed with process inspections, depending on the location of the processes and the complexity of the facility; a primary consideration is the logical flow of information. Logic or the physical situation may dictate that a waste stream for a particular process be followed to final disposition. 6-17 May 1998 ------- Conducting the Multimedia Inspection - Time also must be scheduled to review and copy relevant records and for additional interviews to answer questions about the records. - The evaluation of environmental management controls is blended into the process and compliance evaluations discussed above. Members of the inspection team should allow facility personnel to explain their operations until the management system is understood. Documentation of evidence All "evidence" and information collected must be well documented. The next overhead briefly covers important aspects of documentation. 6-18 May 1998 ------- Conducting the Multimedia Inspection Information Gathering Review and assemble copies of documents Document each issue several ways Identify and establish possible evidence by - Foundation - Authenticity - Relevance (InetI Information Gathering Essentially, documentation is used to build the foundation, establish the authenticity, and identify the relevance necessary to make evidence admissible in a court of law. In some cases, such as photographs, it may be the evidence itself. Documentation is the nuts and bolts that hold a case together and should be undertaken thoroughly and conscientiously. Review and assemble copies of documents Document the management system with narrative notes; gather copies of all documents used in the processes; and formulate flowcharts to illustrate decision responsibilities, accountability, and process matrices. Document each issue several ways It is usually better to document an item or event in several ways to build a clearer and more accurate picture of the relevant circumstances. Additional discussion of documentation is presented in the Inspector's KISS Manual and in the Multimedia Investigation Manual. Identify and establish possible evidence by: - Foundation: This is the argument that one piece of information leads to the next in a logical sequence. It may be thought of as a pyramid of information. One piece building upon the other. For example John Doe works at ACME Dumping. Mr. Doe, operates the outflow valves at the discharge pipe. Mr. Doe stated that on the 3rd of March, he was at his duty station, when the valve sprang a leak and discharged untreated waste into the storm drain. Samples taken on the 4th of March, indicated that high levels of the same 6-19 May 1998 ------- Conducting the Multimedia Inspection material produced in the waste stream of ACME Dumping, was in the storm drain. - Authenticity: Means that the evidence must be demonstrated to be what it is claimed to be. For example; is this really a representative sample, taken from the settling pond at ACME Dumping? - Relevance: The evidence must pertain to the fact in question, tending to make the existence of the fact either more or less probable than would be the case without the evidence. Evidence and documentation are not the same thing. Documentation helps establish the who, what, where, when, why, and how of evidence, but it is not the evidence itself. Documentation helps establish the Foundation, Authenticity, and Relevance. Who determines when evidence is valid? The judge has final say regarding the admissibility of evidence. Under most circumstances the case reviewer will determine if there is enough evidence to proceed with case development and assess a penalty, but they can be overturned by the judge hearing the case. Inspectors must be aware of key differences in CBI procedures depending on statutes. 6-20 May 1998 ------- Conducting the Multimedia Inspection Information Sharing Keep the team leader informed Keep information confidential within the team Share observations with team members Inform the leader and document all variances One deviation can blow it [JNETl Information Sharing Keep the team leader informed Finally, continuing communication among team members is a key to successful implementation of the inspection strategy. The team leader should conduct daily team meetings (usually in the evenings) to discuss findings and observations made during the day. Ensuing discussions may help to clarify any troublesome issues or open up new avenues for investigation for consideration. The team leader is the primary contact between the inspection team and facility management. It is therefore imperative that the inspectors keep the team leader informed of their preliminary findings. Keep information confidential within the team This should be done confidentially but thoroughly at the established intervals or immediately if a crucial issue arises. Tension is often high at the facility; gossip and rumors can be headed off or diverted by the team leader if the team leader is kept informed. Share observations with team members You may have seen something that is of interest to another team member, or vice versa. Share your observations freely with other team members. 6-21 May 1998 ------- Conducting the Multimedia Inspection Inform the leader and document all variances Contingencies and variances will occur. Make sure you document all variances thoroughly and inform the team leader of them thoroughly and promptly. One deviation can blow it Never shoot from the hip. One deviation from proper protocol in one medium can destroy the entire effort. 6-22 May 1998 ------- Conducting the Multimedia Inspection Record Reviews Identify probable types of records Be flexible Identify appropriate and timely documents Be prepared to make copies ilNETf Record Reviews Before the field investigation begins, each team member should know which reports and records he or she will be responsible for reviewing. Identify probable types of records Records to be reviewed may include inspection logs, annual reporting documents, operating reports, self-monitoring procedures and data, reports on cleanup of spills, manifests, notifications and certifications, emergency response plans, training records, and more. Some on-the-spot decisions may be necessary in situations in which unexpected information becomes available. Be flexible The inspector is not limited to review of documents specified during the notification or opening conference. The inspector can be flexible. Identify appropriate and timely documents The document review should include determination whether (1) facility personnel have prepared and maintained the required documents, (2) the documents contain all necessary information, (3) the documents have been prepared on time, (4) the documents have been distributed to all necessary parties, and (5) information in the documents is consistent (by cross-checking information recorded on more than one document). If documents are reports or summaries, perform a cross-check with original records of data. Document reviews should be done systematically. 6-23 May 1998 ------- Conducting the Multimedia Inspection Be prepared to make copies The investigator always should plan to make copies of documents that cannot be reviewed onsite, or are vitally important to documenting or describing a potential violation. Consider using a portable copier to expedite the procedure. They are available for rent in most areas. 6-24 May 1998 ------- Conducting the Multimedia Inspection Interviewing Maintain good rapport Build trust Use a variety of methods Record the results IfNETt 6-15 Interviewing Maintain good rapport How you ask a question can be more important than the question itself. Try not to give a possible answer when asking a question. Examples below are poor ways to phrase a question: - "You don't have any toxic materials around here, do you?" - "There aren't any buried drums on your property, are there?" "You have all the necessary records, don't you?" - "Your SPCC plan is up to date, isn't it?" The following questions are better: - "What kinds of material do you handle?" - "Are there any materials buried on your property?" - "Where do you keep the records?" "May I see your SPCC plan?" (Then ask an employee about the procedure mentioned in it to verify that it is used.) It is useful to convey the impression that you are there to learn about a facility or its operations and are going to ask a lot of basic questions. Such a "help me learn" attitude will often open a better line of questioning and legitimize more persistence when answers are unclear or contradictory. Ask open-ended questions first, and then ask clarifying questions as necessary. 6-25 May 1998 ------- Conducting the Multimedia Inspection Build trust Process personnel are not often interviewed, so it is necessary to operate, initially, in their "comfort zone." They should be asked to describe the process in some detail; the order typically parallels the flow of raw materials and intermediate products toward subsequent processes and the final product(s). As they describe the process, identify waste streams and their respective management procedures and related control equipment. Clarifying questions should focus on raw materials, intermediate movements of materials and products, and waste streams produced. Use a variety of methods Information should be obtained about where and how waste is produced, production rates and cycles, spillage or other emissions, housekeeping, floor drains and outlets, waste products, waste minimization, mixing and dilution of waste, recent or anticipated modifications, and other items. A conclusive question and follow-up is often overlooked and taken for granted; however, it is the meat of the inquiry. Without the affirmation of a direct answer to the question at issue, previous questions will be of little value. - Areas of waste management, treatment, and disposal also should be addressed. - Major items of interest include spills, leaks, and discharges of waste, how the facility differentiates regulated waste from unregulated waste; physical condition of pollution control equipment; units out of service; operation and maintenance issues; diversions, bypasses and overflows; emergency response capabilities; safety; secondary containment; overloads; management of residual waste; and self-monitoring procedures. - Questions should also be asked about the environmental management program at the facility. Process personnel should explain how they become aware of environmental regulatory requirements and what support they get in taking required compliance actions. - Probing follow-up questions may be asked to determine corporate policy on regulatory compliance. - Documenting recalcitrant behavior may have major ramifications during follow-up actions by the agency. - Process inspections are conducted to verify the information presented and discover and discuss "missing" details. The inspections may be conducted after each process or group of processes is described. 6-26 May 1998 ------- Conducting the Multimedia Inspection - Inspections of waste management units may be interspersed with process inspections, depending on the location of the processes and the complexity of the facility; a primary consideration is the logical flow of information. Recording the results Time also must be scheduled to review and copy relevant records and for additional interviews to answer questions about the records. 6-27 May 1998 ------- Conducting the Multimedia Inspection Sampling (Why?) Required by law or permit No data Insufficient data Data in doubt Data needed to support potential evidence [SNETl Sampling (Why?) Sampling and analysis may be necessary to document potential evidence of noncompliance or compliance. Samples are expensive. Be certain they are necessary. At the most fundamental level, there are two types of samples; (1) planned or anticipated samples and (2) samples of opportunity. The first type is described in detail in the project plan. The method, location, equipment, and handling procedures must be identified. Samples of opportunity are those that were not anticipated. They may include samples of spills or discharges. The procedure for handling samples of opportunity are SOPs that are set forth in agency procedure archives. There is an incorrect tendency to believe that samples of opportunity may be collected in a more lax manner. Once more, remember that "no Lone Ranger" behavior is appropriate. Know what the correct procedure is and follow it. Then document that you followed it. A deviation from an existing project plan must be documented, with justification, and described in detail. (Appendix M of the Multimedia Investigation Manual presents an example of a sampling guideline to be used in conjunction with detailed SOPs). Samples taken to determine noncompliance with permit requirements must be collected and analyzed in a manner consistent with stipulations of the facility's permit. Required by law or permit Sampling may be required by law or permit. Under such circumstances, methods and materials usually are specified and should be followed exactly. 6-28 May 1998 ------- Conducting the Multimedia Inspection No Data When there is a substance of unknown nature that is not identifiable by other reliable means, it may be necessary to sample that material to establish primary knowledge. Insufficient Data When data are incomplete and there is no other means of gathering accurate information, it may be necessary to take a sample or samples. For example, sampling is necessary when the substance is known but the concentration is at issue. Data in doubt When data are available, but, for some reason, the accuracy or authenticity of those data is in doubt, it may be necessary to sample to verify the data or to establish an accurate benchmark. Data needed to support potential evidence Samples may support potential evidence or be evidence themselves. The methods discussed earlier for identifying and establishing evidence also apply to samples in support of potential evidence. - Foundation - Authenticity - Relevance 6-29 May 1998 ------- Conducting the Multimedia Inspection Universal Requirements for Sampling QA/QC Representativeness Documentation and justification of deviations Coordination of laboratory work Safety UnetI Universal Requirements for Sampling The most common sampling techniques are composite and grab. Composites are a group of samples that are mixed together to give an average representative concentration. A single sample taken at a single location at a specified time is called a grab sample. For all samples, these common requirements are necessary for validity. Quality Assurance and Quality Control QA/QC must be documented and certified by signature at every stage, from preparation through handling during transport to the laboratory and the methodology and techniques used in the laboratory itself. "QA shows that you are doing the right things. QC means doing those things the right way." (Roy Jones, Quality Assurance Specialist, 1994) - Chain of custody maintains the authenticity of the sample and assures that it has not been compromised. - The project plan must identify the precision and accuracy required to provide data that are applicable under the statute, law, or permit (for PCB analysis, data may be required to indicate whether PCBs are present in quantities greater that 50 ppm +1-2 ppm.) Methods and procedures must be identified in the project plan. - The analytical methodology must provide data that has adequate precision and accuracy and appropriate quantitation limits to be relevant to a statute or article of law. (Don't specify a methodology that produces volumetric data when the statute requires quantities in ppm total mass.) 6-30 May 1998 ------- Conducting the Multimedia Inspection - Other requirements include analysis within established holding times for the material being analyzed; adherence to proper handling, shipping, and laboratory procedures; and requirements for type and volume of containers. Representativeness Sampling must be representative of the time, object, process or material it is alleged to represent. Documentation and justification of deviations Deviations from the project plan (samples of opportunity) must be thoroughly documented and justified. Coordination of laboratory work Coordination of laboratory work often is overlooked, resulting in delays, rejection of samples, failure to perform the analysis within holding times, and "analytical angst." Safety Safety is also part of the project, and sampling is often the area in which safety concerns are the most serious. Many of the materials being sampled are hazardous. Taking the sample may involve subjecting the sampler to a potentially dangerous environment or exposing the sampler to injury. 6-31 May 1998 ------- Conducting the Multimedia Inspection Model Multimedia Screening Check List RCRA TSCA-PCBs UST Water - NPDES SPCC EPCRA Wetlands SDWA - UIC FIFRA SDWA - PUJ Air Environmental Assessment IsnetI e-ie Model Multimedia Screening Check List 6-32 May 1998 ------- Conducting the Multimedia Inspection Daily Team Debriefings Purposes Topics typically discussed Participants and format llNETl 6-10 Daily Team Debriefings The purposes of debriefing are to: - Verify adherence to project plan - Keep all members informed of current events - Present accomplishments and problems - Identify necessary schedule changes - Formulate findings for closing conference The discussions during the debriefings are designed to: - Report apparent violations in each medium - Identify problems and delays - Report cross-media findings to appropriate team members - Identify special logistical and staffing needs (equipment, sample containers, batteries, transportation, and other items) - Discuss any problems related to confidential business information - Report all requests for information from plant staff and news media and clear responses with the team leader Other considerations concerning the debriefings are: - All team members attend and provide oral reports - Meeting is held offsite and is confidential (that is, be careful to avoid information leaks) - Debriefing usually is held at the same time each evening unless schedules conflict - The debriefing should last 30 minutes or less - The team leader manages the meeting 6-33 May 1998 ------- Conducting the Multimedia Inspection - Action items are assigned for follow-up - Telephone contacts with the office are coordinated with team leader - Team members are continually reminded not to share findings with any facility staff without the approval of the team leader 6-34 May 1998 ------- Conducting the Multimedia Inspection Closing Conference Purpose Principal issues Typical agenda items llNETi e 20 Closing Conference Purpose It is professional courtesy to close out the inspection and leave the facility in a professional manner, identify some initial and important findings, arrange for additional information, and tie up "loose ends." Principal Issues a The team should determine which findings and observations should be discussed during the closing conference and which should not be discussed. b. How should findings and observations be presented to facility personnel? c. Should findings be presented as final or preliminary, and why? d. Is a final report to be provided? If so, inform the facility representatives when the final report will be provided. Will FOIA requests be required? e. Complete any additional paperwork (for example, receipt for samples, issuance of field citations, and receipt for documents). Typical agenda items Items suggested for inclusion in the multimedia inspection closing conference are: - Discuss preliminary findings with facility representatives - Discuss potential violations 6-35 May 1998 ------- Conducting the Multimedia Inspection Discuss problems discovered Discuss and agree upon what information is to be provided by the company at a future date State each request separately Put each agreement in writing Provide an opportunity to identify outstanding data, documents, and information, and set a deadline for the facility to provide such materials Discuss with the facility representative: Pollution prevention opportunities ~ Potential issues of environmental justice -- Any requests for compliance assistance - The role of the multimedia investigation in the EPA sector initiative 6-36 May 1998 ------- Conducting the Multimedia Inspection PROCESS BASED INSPECTIONS "Process-Based inspections Guide" March 1997 EPA-3 30/9-97-001 NEIC Library: (303) 236-5111 x287 fiNETl Process Based Inspections Process based inspections are meant to supplement, not replace, general inspection or media specific protocol. The process based inspection is a logical addition to a full scale multimedia inspection or to a comprehensive single media inspection. It will supplement the information obtained during a single or multimedia inspection and enable the inspector or inspection team to obtain valuable additional information. The National Enforcement inspections Center has developed a "how to" manual of reprocess based inspections. That manual can be obtained by calling the number on the slide. This document focuses on the unique aspects of the Process based inspection. 6-37 May 1998 ------- Conducting the Multimedia Inspection Process Based Inspection Initially focuses on/subsequently based on- comprehensive understanding of facility processes. Includes: tracking raw materials identifying by-product, co-product and products, identifying wastes generated determining how wastes are ultimately managed, flNETl A Process Based inspection is an inspection that initially focuses on, and is subsequently based on, a comprehensive understanding of the facility processes. The process based inspection includes tracking raw materials through the industrial operations, identifying by-product. co-product and products, identifying wastes generated, and determining how these wastes are ultimately managed. Processes, as used here, include all facility operations and activities, including industrial and manufacturing operations, raw materials, product, co-product, byproduct generation and waste management practices, and maintenance activities. 6-38 May 1998 ------- Conducting the Multimedia Inspection Process Based Inspection Purpose- obtain in-depth knowledge of facility operations use knowledge to make more informed investigative evaluations and determinations rjNETi The purpose of process-based inspection is to obtain an in-depth knowledge of facility operations and use these knowledge to make more informed investigative evaluations and determinations. Process based inspections are appropriate for both single and multimedia regulatory compliance evaluations, as well as other environmental protection purposes. For instance, if the overall inspection objective is to determine facility compliance with RCRA requirements (a single media compliance evaluation), then facility processes will initially be evaluated to identify all solid wastes and potential RCRA regulated hazardous wastes and activities. A determination will then be made to identify actual regulated wastes/activities. Finally, the compliance status of management of each regulated wastestream and/or activity is determined. 6-39 May 1998 ------- Conducting the Multimedia Inspection Why Conduct Process Based Inspection?? Often only method to: Determine complete universe of regulated facility wastes/activities Evaluate accuracy and completeness of facility self-reporting data/permit application information View facility "holistically" fSNETl Why Conduct a Process Based Inspection Heightened interest in industry sectors, in-depth and/or multimedia compliance determinations, compliance assistance, pollution prevention, and holistic plant evaluations has increased substantially during the past several years. This interest has led to a necessary focus on waste producing operations at manufacturing facilities an da concurrent need for process- based inspections. 1. Determine the complete universe of regulated facility wastes/activities 2. Evaluate accuracy and completeness of facility self-reporting data/permit application information 3. Identify all actual or potential environmental impacts 4. Obtain information important of permit development 5. View the facility holistically 6. Help insure effective communication with facility personnel/understanding of regulated wastes/activities 7. Find P2 and waste min opportunities 8. Identify opportunities for supplemental environmental projects (SEPs) Stories are coming in from each region about how a process based inspection enabled an inspector to identify illegal or unpermitted discharge. 6-40 May 1998 ------- Conducting the Multimedia Inspection PROCESS BASED INSPECTIONS Appropriate Types of Facilities Expertise Required How to Obtain Expertise flNETi What type of facilities are appropriate for a Process Based Inspection? Process based inspections can be conducted at and may be appropriate for any size facility. Although they are inherently multimedia in scope and are most effective when a complete facility evaluation is required, process based inspections have also proved appropriate during single media or limited scope activities. Typically process based inspections are conducted by multi person teams, the methods and principles for a process based inspection can be readily applied to much smaller and simpler facilities that may be visited by small teams or a single technical expert. The decision to conduct a process based inspection is based on numerous issues including objectives, expected outcomes, and resource availability. What type of expertise is required ? As with any other type of inspection, team make-up, including knowledge, skills, and abilities, should be generally in line with facility size, complexity, and inspection objectives. Obviously, because an evaluation of industrial process is required, one or more investigators should have knowledge (either first hand or developed through background review) of the specific processes of the facility and waste stream treatment methods and technologies. For multi-regulatory (multimedia) inspections, knowledge of multiple and cross-program compliance issues is necessary. 6-41 May 1998 ------- Conducting the Multimedia Inspection Where does this knowledge come from? Technical expert Sector Notebooks Effluent Guidelines documents Kirk-Othmer Encyclopedia of Chemical Technology (basic process information and flow diagrams) Trade journals Previous site inspection reports Facility permit applications In depth understanding of facility processes A minimal team for a large complex process-based multimedia compliance inspection would normally consist of inspectors familiar with the processes to be investigated with expertise in air, water, and hazardous waste programs. Ideally, the inspectors would be cross-trained in several other media programs (such as Safe Drinking Water Act, Toxic Substances Control Act, etc..). This level of experience may not be necessary at smaller, less complex facilities with narrower inspection objectives that could be evaluated by a single investigator with appropriate technical background. 6-42 May 1998 ------- Conducting the Multimedia Inspection PROCESS BASED INSPECTIONS Components Preparation Reporting fiNETl What Are The Components of Process-Based inspections? In general, a process-based inspection can be divided into the following three major activities. 1. Preparing for the inspection 2. Conducting the on-site inspection 3. Reporting inspection findings The following guidance is organized by the above three activities. 6-43 May 1998 ------- Conducting the Multimedia Inspection How To Prepare For A Process-Based inspection As with any inspection, planning is a critical step in efficient and effective execution of a process-based inspection. The various steps in proper inspection planning are somewhat dependent on specific aspects and requirements of each inspection. However, the following steps are virtually always required. 1. Define inspection objective(s) (identify purpose, desired endpoint, etc.) and scope (breadth and depth). Probably the two most important "front end" tasks in preparing for the inspection are defining inspection objective(s), and identifying project scope because they are the basic building blocks for all subsequent activities. Once defined, these two components enable investigators to identify what is to be inspected, to what depth or level of detail, and for what purpose. This, in turn, will dictate what background information should be compiled and reviewed; the knowledge, skill, and experience mix needed in the inspection team; and help define inspection strategy and required resources. While the overall focus of process-based inspections can vary from compliance monitoring to compliance assurance, one common objective is to obtain an understanding of facility processes to identify all regulated wastes/operations. This provides information to determine accuracy and completeness of facility self-reporting data. 2. Compile and evaluate facility background information (getting "up to speec" with facility processes, regulatory requirements, and special issues). 3. Identify inspection 'team" (choosing proper expertise mix or individual). 4. Develop inspection plan/strategy (on-site activities, logistics, schedules). 6-44 May 1998 ------- Conducting the Multimedia Inspection How to Report Process-Based Inspection Results Reporting results of a Process-Based inspection generally follw the same basic rules for reporting of "regulatory-based" investigation results. No single reporting format will satisfy all needs. As with all reports, the principles of clear presentation apply. The process presentation should start at the beginning of the process (usually receipt/handling of raw materials) and work systematically toward the end (product). Figures and flow diagrams are highly recommended. All significant wastestreams, their point of generation, and disposition should be identified. A summary table is usually very helpful for claity. 6-45 May 1998 ------- B ------- Notes ------- Session 7: Writing Multimedia Reports Session Overview Duration: 1 hour, 30 minutes Objective: This session will address the following topics: Identify differences between a single-medium inspection report and a report that is written after a multimedia inspection Identify the elements of an executive summary and incorporate discussion of issues that affect several media into the executive summary Be able to prepare the comprehensive technical component of the multimedia report which includes: - Inspection methods - Facility description - Regulatory status and compliance history - Compliance findings - Sampling activities - Areas of concern Incorporate several individual media sections into the technical portion of the report Process: Lecture, group discussion, practical exercise Materials: * Multimedia Investigation Manual Flip chart and pens Overhead projector ------- Multimedia Report Writing Writing Multimedia Reports fiNETl This is not a session on report writing itself, but a session on how to prepare a multimedia inspection report rather than a single-medium report. Review of Single Media Report - Report Heading - Introduction - Facility Description - Regulatory Status - Compliance Findings - Sampling Activities (if conducted) - Other Areas of Concern 7-1 May 1998 ------- Multimedia Report Writing Multimedia vs Single-Medium Reports Use of executive summary Use of comprehensive facility background Focus on media specific processes Highlight apparent regulatory violations/concerns Identify potential cross-media violations Identify potential cross-media concerns [fNETl Multimedia Versus Single Media Reports This overhead lists some aspects of a multimedia inspection report that may not be included in a single-medium report. Note that the word "potential" has been included in the discussion of identification of violations. It is not the inspector's job to identify violations definitively; that occurs during the legal process. But the inspector should identify areas of "potential" violations to guide the attorneys and other support personnel in determining whether evidence of violations should be pursued. 7-2 May 1998 ------- Multimedia Report Writing Multimedia Inspection Report * Documents findings and observations of inspection where compliance with 1, 2, or more environmental laws is evaluated liNETf Contents of the Multimedia Report A multimedia inspection report documents the findings and observations of an inspection where compliance with one, two, or more environmental laws is evaluated. The reports may also include results of analysis of samples collected during the inspection or address objectives that do not necessarily include compliance issues, such as a RCRA facility assessment. Reports usually range in length from 25 pages to 100 pages Although multimedia reports are not completely different from medium- specific reports, they do vary in some significant ways. During this portion of the course we will review the basic components of any inspection report. Formats of regional, state, and local inspection reports may vary but most should include the components discussed below. 7-3 May 1998 ------- Multimedia Report Writing Outline of Multimedia Inspection Report Executive summary - Introduction - Summary of findings Technical report Components - Inspection methods - Description of the facility - Regulatory status and compliance history - Sampling activities - Areas of concern Appendices Outline of a Multimedia Inspection Report Executive summary The executive summary presents the objectives of the inspection, discusses background information, summarizes the inspection methods, and presents conclusions supported by pertinent findings. If possible, the executive summary should not contain confidential business information so that it can be shared with state agencies, especially those that have primary responsibility for administrating any of the laws addressed in the report. The primary audiences of the executive summary are senior management and others who do not have the time or need to read the full report, but who wish to obtain an overview of the inspection and findings. Important Note: The technical inspectors must write the technical report, but any staff member should be able to extract enough information from the technical report to write the executive summary. The technical report describes more comprehensively the facility and the inspection and provides specific details about the compliance findings. The technical report presents all the factual information available about the facility and the inspection. It discusses all the documentation necessary to prove a violation. Typically, the technical report includes a general section covering the overall inspection methods, a description of the facility, and a discussion of the regulatory status and compliance history of the facility. Often, the overall processes of the facility, pollution control methods, and environmental management systems also are discussed in the general section. This section is 7-4 Technical report 7-4 May 1998 ------- Multimedia Report Writing followed by medium-specific sections in which problems and issues affecting a particular medium are discussed in depth. The technical report includes discussion of any sampling activities and other areas of concern, including regulatory issues, opportunities for pollution prevention and waste minimization, issues related to environmental justice, effects of other laws and regulations (for example, the requirements of Department of Transportation [DOT] and the Occupational Safety and Health Act [OSHA]), questionable management practices, and potential problems. Appendices A variety of appendices most likely will accompany the report, including copies of log entries, chain of custody forms, and photographs of the facility. 7-5 May 1998 ------- Multimedia Report Writing Audience of the Executive Summary Senior management who do not have need to read the full report Individuals in other programs who do not have need to read the full report Nontechnical personnel who may not understand the full report Attorneys who need an overview of the inspection and its findings 7-5 Audience of the Executive Summary The executive summary should stand alone as a discussion of the facility and the violations and problem areas noted during the inspection. It should meet the needs of the audiences identified on the overhead. 7-6 May 1998 ------- Multimedia Report Writing Executive Summary Provides a summary of information in the technical report Is supported fully by information in the technical report Contains no information that does not appear in the technical report Executive Summary 7-7 May 1998 ------- Multimedia Report Writing Introduction to Executive Summary Overview Introduction Facility map Project objectives Background summary Summary of inspection methods [fNETi Introduction to the Executive Summary Overview Because the audiences of the executive summary are primarily nontechnical individuals, all acronyms should be defined on first use, technical terms should be used carefully, and the discussion of technical issues should be kept easy to understand. Use acronyms only if they help convey meaning. If acronyms are used, they should be spelled out periodically in a long report or when used only infrequently. Many readers of the executive summary may not have direct knowledge of the issues being addressed in the report. This part of the report may be the only part managers have time to read and they will form from it an opinion of the team's work. The executive summary should be well written and complete. Introduction The executive summary begins with an introduction that identifies (a) the entity that requested the project, (b) the type of project requested, and (c) the name and location of the facility. 7-8 May 1998 ------- Multimedia Report Writing Facility map A map is included to show the location of the facility relative to major natural or cultural features. Project objectives Next, the objectives of the project are stated. The objectives identified in the report may not necessarily be the same as those presented in the project plan During the conduct of an inspection, the objectives may have changed or new ones may have been added; objectives stated in the report should reflect work actually performed. Generally, the objectives are listed in order of decreasing importance. For example, if the most significant findings are related to requirements under RCRA, the RCRA objective would be listed first. If the requestor specified a primary objective (for example, NPDES permit compliance), that objective should be listed first, regardless of whether it is related to the most significant findings. The content of subsequent related sections of the report, such as the summary of findings and compliance findings, should be presented in parallel order to that in which the objectives are presented. Background summary Next, a brief summary of background information is presented. Its purpose is to provide a basis for understanding the more significant findings and conclusions that follow; it is brief and concise. The summary includes such information as the principal function of the facility and activities regulated by environmental laws. It may identify applicable regulations and permits, the administering authority, and the facility's regulatory status and compliance history. 7-9 May 1998 ------- Multimedia Report Writing Summary of inspection methods A concise discussion of inspection methods may be described next If only interviews, the physical site inspection, and record reviews were conducted, the methods section can be described in one or two short paragraphs. Sampling inspection reports, by contrast, usually contain a multipage section on methods. In such cases, the executive summary should only briefly discuss the sampling and reference that portion of the main technical report. 7-10 May 1998 ------- Multimedia Report Writing Executive Summary Summary of Findings Summary of findings grouped by statute Potential violations (areas of noncompliance) identified Areas of concern identified SNETt Executive Summary, Summary of Findings Summary of findings grouped by statute The executive summary is used to tie together the single-medium inspection reports into a concise package. The multimedia report, along with the medium-specific reports, represents the culmination of the inspection activities and will form the basis for all subsequent actions by EPA. The executive summary will be written by the team member who was chosen to complete that task during formation of the team and the planning stages of the inspection. It is recommended that individual be the same team member who was responsible for composing the comprehensive facility description of the facility. Each of the team members who conducted a medium-specific inspection is responsible for transmitting the report of that inspection to the team member who will write the executive summary. The author of the executive summary must be aware of and capable of recognizing cross-media and other environmental concerns. The summary of findings section summarizes compliance findings from the body of the report and should contain no information that does not appear in the body of the report. The findings are grouped by applicable statute or in some other logical order, and the sequence parallels that of the objectives stated in the introduction. 7-11 May 1998 ------- Multimedia Report Writing In reports on facilities in states that are not authorized to conduct the program, federal regulations should be cited in listing potential violations. In an authorized state, both Federal and state regulations should be cited, as appropriate, and the citations should parallel state regulations. Potential violations (areas of noncompliance) identified Citing supportable violations is crucial in ensuring the credibility of the report. Any questions about the applicability of specific regulations should be discussed with experienced supervisory or management personnel, legal counsel, or other experienced inspectors; it also may be necessary to contact regional and state personnel (personnel from other jurisdictions or areas). The narrative corresponding to each regulatory or permit citation should state the number and type of violation(s) briefly and concisely- for example: "The company did not prepare or submit annual reports for waste exported in 1987 and 1988." "During 1989, the company failed to conduct 75 daily and 16 weekly inspections, as required, at the drum storage area." "In five instances, waste feeds were not shut down when the operating temperatures of the incinerator fell below the minimum specified in the permit." Areas of concern identified In many cases, areas of concern also are noted in the summary of findings. They are areas that might be violations of the statutes or might represent fertile ground for the occurrence of violations in the future. Areas of concern also might be identified because they represent such issues as pollution prevention opportunities or are pertinent to issues of environmental justice. 7-12 May 1998 ------- Multimedia Report Writing Technical Report Supports the inspector's findings Documents all violations Is concise but thorough Uses general facility description Contains media specific sections Identifies potential violations/areas of concern [iNETt Technical Report Supports the inspector's findings The technical report provides all the technical information that supports the findings of the inspection and the information presented in the executive summary. The technical report supports the inspector's report so it should be written as the inspector sees fit. Documents all violations From an organizational standpoint, the rule is "to be logical and complete." This portion of the report presents all documentation of violations and all documentation of current compliance status. This portion is organized the way the inspector wishes but it should be very thorough. The need for thorough documentation deserves special attention. It should be remembered that some records may be presented better in an appendix than in the body of the report. 7-13 May 1998 ------- Multimedia Report Writing Is concise but thorough The technical report should be concise but brevity should not be sought at the price of failure to develop the subject completely. The inspector should be thorough and check facts. Uses a general facility description Contains media specific sections Identifies all potential violations and areas of concern 7-14 May 1998 ------- Multimedia Report Writing Description of Facility * Includes the following information. - History - Number of employees - Length of time at location - Hours of operation - Environmental management system - Description of processes and operations - Waste streams and waste management methods - Medium-specific processes General Description of the Facility This section describes the facility in detail sufficient to provide the reader a context in which to understand the findings that follow. In some cases, this discussion might be expanded into several sections. For example, a separate section on hydrogeology of the site might be added to reports that focus on compliance with requirements under RCRA for groundwater monitoring. As another example, a RCRA facility assessment report usually contains a detailed section on processes, which follows the general description of the facility. When included, sections on process descriptions usually identify waste stream production and initial waste management practices. In more lengthy reports on complex facilities, a separate waste management section may be appropriate. Other information that might be included in a facility description includes: History of the facility: When did it open and what has it produced? Provide a description of when facility was built and the types of units added since that time. Include a history of ownership of the facility. Number of employees, both current and historical. Length of time of operations at the location and length of time current operation has been ongoing. Hours of operation: Does the facility operate 24 hours a day, or is it a one- or two-shift per-day operation? 7 10 7-15 May 1998 ------- Multimedia Report Writing Environmental management system: Describe the size of the environmental staff, their expertise, their authorities, and the procedures by which they report to plant management. Description of processes and operations: Describe procedures used, products produced, and raw material used in process; provide process diagrams and flow charts, as well as quantities of products and raw materials. Waste streams and waste management methods: Provide an in-depth discussion of waste management procedures and how wastes are managed, both onsite and offsite (specific treatment systems, control devices, storage, and other pertinent information). The general facility description should be written by the team member who was chosen to complete this task during formation of the team and the planning stages of the inspection. Each team member participates as follows: During the inspection of the facility, each of the team members takes notes on the background, manufacturing processes, and general operations of the facility. The team member responsible for writing the final description plays a lead role in this facet of the inspection. After the inspection, the designated team member compiles a draft comprehensive description of the facility. He or she routes a copy of the draft to each team member for comments. A final version then is completed and redistributed to each team member. The team members will use the final version in their medium-specific reports, as appropriate, to meet current regional, state or local policy requirements. 7-16 May 1998 ------- Multimedia Report Writing Outline of the Technical Report Inspection methods Description of the facility Regulatory status and compliance history Compliance findings Sampling activities Areas of concern 7 11 Technical Report Outline For Each Media A suggested outline for the technical report follows: Inspection methods Media Specific Description of the facility Regulatory status and compliance history of the facility Compliance findings Sampling activities Areas of concern 7-17 May 1998 ------- Multimedia Report Writing Inspection Methods How was the information obtained' ISNETl Inspection Methods The inspection methods section describes how the information needed to satisfy the objectives was obtained. As previously discussed, when the methods section is more than one or two paragraphs in length, it is placed at the beginning of the technical report. If an activity is discussed that is not related clearly to an objective, an explanation should be provided of why that activity was pursued. Medium-specific Process Description The medium-specific inspection sections of the report are written by each of the team members and focus on those process operations that relate to that team member's media of interest. A detailed description of these media specific processes should be provided. This description may cover: Air pollution control processes, devices, and equipment Wastewater, stormwater, process water, cooling water, and other water management systems Hazardous waste generation, treatment, and management systems EPCRA specific information TSCA specific information SDWA/UIC specific information SDWA/PWS specific information etc. 7-18 May 1998 ------- Multimedia Report Writing Regulatory Status and Compliance History Includes information about applicable - Regulations - Permits - Consent decrees - Other documents Includes history of compliance [SNETl Regulatory Status and Compliance History Regulatory status Information on the regulatory status and compliance history of the facility usually is included in civil inspection reports; however, separate sections are not always necessary. This information further provides a context for the findings and identifies patterns of conduct. Separate sections may be needed to explain complex situations and point out repeated compliance problems. If the issues are significant, it is suggested that they be discussed in this section in the report; otherwise, the information is blended into the introduction or the discussion of the compliance findings. The regulatory status section identifies the "regulatory measuring stick" that applies to the facility and the agency that has primary responsibility for addressing the particular issue of concern. The section identifies applicable regulations, permits, consent decrees, and letters from regulatory agencies. It includes the dates when programs were delegated to the state. Generally, the more complex the measuring stick, the more likely this section will be necessary. For example, a facility may have been issued a RCRA permit before the respective state received final authorization from EPA. The facility may have interim status under the state RCRA program, yet have a RCRA permit under the federal program for the same unit(s). The unit could be in compliance under the state RCRA program but not under the federal RCRA permit. Such circumstances warrant a separate section or subsection in which such complexities are explained. 7-19 May 1998 ------- Multimedia Report Writing Compliance history The compliance history section discusses whether previous violations have been identified and corrected and whether such violations are recurring problems that suggest a pattern of noncompliance. Depending on the information to be presented, a separate section may be warranted, or the discussion may be included in the regulatory status section or the findings section. 7-20 May 1998 ------- Multimedia Report Writing Compliance Findings Answers the following questions - Where did you go and what did you see? - Who did you talk to9 - What records did you review? - What did you not do' - What questions were asked and who responded? Includes photographs, copies, and all other documentation Includes sampling activities [iNETl Compliance Findings In this section, details about the violations listed in the summary of Findings section of the executive summary are presented. The section usually is structured by statute (for example, RCRA, CWA, CAA, and so on) in compliance reports, which parallel the objectives. For each statute, findings are presented in an order that parallels the respective regulations. The narrative should be detailed and specific; supporting documents, such as manifests, discharge monitoring reports, and inspection logs, usually are appended to the report. Identifying the apparent regulatory violations and concerns is a standard component of any medium-specific inspection report. When the inspection report is written as a result of a multimedia inspection, it is essential that each of the apparent regulatory violations or concerns is identified clearly in the report; not buried in the narrative. Much of this potential problem can be averted by using the executive summary system described in this session. Potential cross-media concerns are identified in this section. Identification of cross- media concerns is unique to the multimedia inspection and is one of the responsibilities of each team member. As is true of apparent regulatory violations and concerns, it is essential to identify clearly all known or potential cross-media concerns in the report. The information that might be presented in this section includes: Where was the inspection What was inspected and observed Which facility representatives met with the team? 7-21 May 1998 ------- Multimedia Report Writing What records were reviewed? What aspects of facility operations were not inspected? What questions were asked and who responded? This section also includes photographs, copies, and all other documentation. If samples were taken, a separate section discusses sampling activities, including chain of custody, the sampling plan, and results of analysis of the samples collected. Typically, a discussion of violations begins with a brief description of the applicable regulation or permit requirements (for example, conduct of weekly inspections). Detailed description may be necessary if no separate section on regulatory status is included in the report. Next, a general conclusion about compliance is presented, (for example, not all weekly inspections were conducted, as required). The general conclusion is followed by the specific information about the requirements the company did or did not meet. Citations of regulations or permit requirements are included in this discussion. Results of analysis of samples collected that pertain to a particular statute should be included in the section in which that statute is discussed. The structure of the findings section in other types of reports should be discussed and resolved with the team leader's supervisor. 7-22 May 1998 ------- Multimedia Report Writing Sampling Activities Sampling plan Location Chain of custody Variations Results Discussion IINETI M5 Sampling Activities If samples are collected during the inspection, a section describing sampling activities must be included in the report. The following areas should be addressed: Sampling plan: The plan should be included, along with any information about the quality assurance and quality control (QA/QC) measures that were taken. The reason for the sampling also should be discussed in depth. Location: Locations from which samples were taken should be identified, and information should be provided about and whether the samples are statistically valid, random, or targets of opportunity, or fall into some other category. Sampling stations are described (usually listed in a table) in this section, and a figure showing the stations should be included. The analyses conducted on each sample also should be described If the details are extensive, presentation of the information in an appendix may be appropriate. The sampling station table usually includes station numbers, dates and times of sampling, descriptions of sample types, and pertinent remarks including such information as visual observations about the sample or analytical parameters and deviations from standard analyses. Chain of custody: Chain-of-custody procedures followed should be described here. 7-23 May 1998 ------- Multimedia Report Writing Variations: Any deviations from the sampling plan or modifications of the sampling plan, should be discussed, along with the reasons for them Results: Results of analysis of the samples collected then are presented. Discussion: Discussion of sampling results, including a discussion of the meaning of the results is presented. The discussion should indicate whether the results document a violation or identify a potential problem area9 7-24 May 1998 ------- Multimedia Report Writing Other Areas of Concern Environmental management system Pollution prevention and waste minimization Environmental justice Compliance assistance Environmental concerns Laws of other agencies INETi Other Areas of Concern Other potential environmental concerns should then be identified for example: Environmental management system: Who at the facility is responsible for environmental compliance? Does the responsible individual have access to the necessary regulations? Has the individual had training in this area? Is environmental management a full-time job or an additional assigned duty? How does the position fit into the organization? Can the individual obtain support of management and the finances necessary to correct environmental problems? Pollution prevention and waste minimization: Are there opportunities to reduce wastes at the site? Does the company have an ongoing program that will reduce generation of waste and prevent pollution? If so, the report should describe that program (including references to any manuals or other documents). Environmental justice: If the multimedia inspection was conducted under an environmental justice initiative relevant concerns should be identified and current potential concerns noted. Compliance assistance: Were there any problem areas that could be mitigated or resolved by the team through beneficial suggestions to the facility management? 7-25 May 1998 ------- Multimedia Report Writing Environmental concerns: Were any environmental concerns identified (for example, contaminated sediments or contamination of well water)? Laws of other agencies: Were any possible OSHA problems detected? If so, the appropriate referral should be made. 7-26 May 1998 ------- Multimedia Report Writing Additional Information Participants Purpose Scope of the inspection Safety issues Access issues llNETi 7-17 Additional Information In this section, many programs prefer that some or all of the following information be provided: Participants: Titles or positions of participants in the inspection. Who was present during the inspection, from both the company and the government? Purpose: What was the purpose of the inspection (for example, compliance inspection, audit, or sampling)? Scope of the inspection: What was the scope of the inspection (for example, were all areas of the facility inspected or only a few)? Safety issues: What safety issues arose, and were there any safety concerns? Access issues: Did any access issues arise (for example, was access granted or denied and by whom) 7-27 May 1998 ------- Multimedia Report Writing Information About the Closing Conference Answers the following questions- - Who was present' - What was discussed? - What did the facility agree to do? Identifies pollution prevention opportunities Discusses environmental justice issues Discusses compliance assistance Discusses other issues or concerns 7 18 Information About the Closing Conference Information on a closing conference also may be included in the report, if the entity that requested the project so desires. Some information that might be reported about the closing conference is: Who was present? What was discussed? What did the facility agree to do? Were pollution prevention opportunities identified? Were issues of environmental justice discussed? Were issues related to compliance assistance discussed? 7-28 May 1998 ------- Multimedia Report Writing Review Single-media inspection reports versus multimedia inspection reports Elements of the executive summary Comprehensive technical report Cross-media concerns incorporated into the technical report [}NETl Review Differences between inspection reports The multimedia report is a compilation of single-medium reports, with an executive summary as introduction. Elements of the executive summary The executive summary presents a brief overview of the multimedia report, and should be able to stand alone as a document. It includes a brief facility description, summary of findings by media, and highlights cross-media violations and concerns. This is the part of the report written for management, attorneys, and non-technical personnel. Comprehensive technical report This section of the report presents all the technical facts and documentation pertinent to the inspection and includes the media specific sections of the report. Cross-media concerns All cross-media concerns should be identified and discussed in the multimedia report Reference should be made to the concerns as presented in the media specific sections of the final multimedia inspection report. 7-29 May 1998 ------- 8 ------- Notes 8 ------- Session 8: Foliow-Up Session Overview Duration: 1 hour Objective: During this session, we will discuss: The need for subsequent inspections The need for criminal referral The need for civil enforcement referral The potential for witness testimony Development of a multimedia attitude Interrelationships with concerns related to environmental justice Evaluation of environmental management system data Evaluation and coordination of the need for assistance with compliance issues Comparison of database information with facility records Evaluation of sector analysis information and coordination of efforts with Regions and states Prevention of adverse effects of cleanup solutions on other media Process: Lecture ------- Follow-Up Follow-Up [inetI Follow-Up In this session, we will discuss: The need for subsequent inspections The need for criminal referral The need for civil enforcement referral The potential for witness testimony A multimedia attitude Interrelationships with concerns related to environmental justice - - Environmental management system data Compliance assistance needs Database information Sector analysis information Cleanup solutions 8-1 May 1998 ------- Follow-Up The Need for Subsequent Inspections Additional sampling Reinspection - Announced Unannounced - Additional media UnetI The Need for Subsequent Inspections Additional sampling There may be a need for collection of additional samples. Samples of one or more media may be needed. Reinspection It may be necessary to reinspect a facility if the time or resources available for the original inspection were not sufficient to complete a thorough inspection. If the inspection was conducted with advance notice to the facility, preliminary findings may suggest that an unannounced return visit is appropriate. Although most multimedia inspections will cover the core programs, the initial inspection may identify the need for inspection under another medium program. 8-2 May 1998 ------- Follow-Up The Need for Criminal Referral Knowing and willful behavior Falsification of records Whistle blowers Nonpermitted activities llNETl S-3 The Need for Criminal Referral Most environmental statues have both civil and criminal applications, with a criminal case involving a determination of culpability or intent. Knowing and willful behavior The team members may be faced with the difficult decision of determining whether the intent of the violator was willful. Under such circumstances, it might be advisable to contact a criminal investigator. If criminal activity is suspected, a memo should be sent to the criminal office to request a determination. Falsification of records Falsification of records is a typical example of criminal intent. Whistle blowers Whistle blowers can be an excellent source of information before, during, or after the inspection. Non-permitted activities Inspection activities may indicate the facility is receiving wastes for storage, treatment, or disposal from sites that are not covered by the facility's existing permits. 8-3 May 1998 ------- Follow-Up The Need for Civil Enforcement Referral Team leader as focal point Retention of records iSNETl 0-4 The Need for Multimedia (Civil) Enforcement Referral Team leader as a focal point The team members, and particularly the team leader, can become the initial focal point for follow-up enforcement actions. Upon completion of the inspection, the team members will be the first to see the "total picture" of a facility's compliance status. That knowledge may confirm the information was used as the basis for the inspection of the facility. However, inspection results might indicate more extensive compliance issues or even compliance issues related to media not considered initially. As a result, team members can find themselves in a position to help "push" multimedia enforcement under some circumstances. In such situations, the team leader may serve as the point of contact with the multimedia enforcement group. Retention of records As with any inspection activity, it is the inspector's responsibility to maintain notes, files, and reports in accordance with policy of the agency in authority. In the case of multimedia enforcement, team members should be aware that follow-up to enforcement can become a long-term effort. 8-4 May 1998 ------- Follow-Up The Potential for Witness Testimony Understanding on the part of the team leader and team members Retention of inspection notes, reports, and results of sampling [InetI The Potential for Witness Testimony Understanding on the part of the team leader and team members The team leader should be aware that multimedia enforcement cases, like many single-medium cases, can be lengthy, sometimes taking years to resolve. The team leader and members also should be aware that they are potential witnesses who could be called to testify at any time during the enforcement process. Retention of notes, reports, and results Unless it is contrary to agency policy, the team members should save all inspection notes, reports, sample results, and other pertinent records until the case has been resolved. 8-5 May 1998 ------- Follow-Up Multimedia Attitude Holistic approach Awareness of all media Team work ilNETl 0-6 Multimedia Attitude The inspector should work to develop a "multimedia attitude" and to "take off the blinders" often associated with single-medium inspections. Holistic approach Multimedia inspectors must develop a holistic approach to inspections. Inspectors need to develop a "go anywhere, ask anything" approach to their inspection activities, an attitude that could be called the "extra media" approach. Awareness of all media The inspector should emphasize awareness of all media during and after the inspection. The inspector must communicate to other inspectors of other programs issues that affect the medium of concern to those programs. Teamwork A multimedia inspection is a team effort, with all members working toward a common goal. 8-6 May 1998 ------- Follow-Up w i 1 r1 H"1 1 i \ u L. ( 1 Li w i ~ Environmental Management System Data Environmental compliance activities and reporting responsibilities for the plant are overseen jointly by the corporate environmental groups within the parent companies. Each has a representative on site who is individually responsible for several environmental programs. Those representatives have direct-line accountability to their respective corporation and "dotted line" accountability to Raptor's general plant manager. Facility operations are organized into five functional groups, including: Nitric acid group Nitro-hydrocarbon group Maintenance Plant engineering Administration and sales Each functional group is headed by an area manager who reports to the general plant manager. The two manufacturing groups produce the products listed above. The maintenance group (which is the largest) performs a variety of support functions, such as maintaining and repairing process and associated pollution control equipment; operating the wastewater treatment plant; and maintaining various material and hazardous waste storage facilities. Maintenance also operates a drum refurbishing and 8-7 May 1998 ------- Follow-Up painting operation, as well as two oil-fired boilers used for heating and generating process steam. Plant engineering is responsible for designing modifications of processes and equipment, as well as conducting self-monitoring for compliance with environmental regulations. That responsibility includes monitoring the outfall of the wastewater treatment plant and maintaining records on the continuous emission monitors on several process reactor roof vents. The engineering group also develops data for reports required by state and federal agencies, which are submitted through the on-site corporate environmental representatives. The review of the environmental management system is concerned mainly with determining whether problems related to responsibility and accountability are causing pollution. It is not the task of the multimedia inspection team to act as consultants to the facility; however, it may be necessary to address obvious problems as an enforcement action or as a form of compliance assistance. 8-8 May 1998 ------- Follow-Up The Need for Assistance with Compliance Issues Avoid making suggestions about compliance Refer facility to sources of compliance assistance materials liNETf The Need for Assistance with Compliance Issues Avoid making suggestions about compliance It is not the task of the multimedia inspection members to act as consultants. Team members should avoid suggestions about compliance that may require expenditures by the facility. Refer facility to sources of assistance It is appropriate to refer the facility to existing sources of information that may provide compliance assistance. Examples of compliance assistance include hotline numbers, guidance documents, permit materials, and other assistance Providing the facility with preliminary findings during the exit interview is a form of compliance assistance 8-9 May 1998 ------- Follow-Up Comparison of Database Information with Facility Records Information from planning compared with inspection data Transfer of waste among media Toxic release inventory information Comparison of Database Information with Facility Records Information from planning compared with inspection data Inspectors for particular media should compare their preplanning information with information made available during the inspection. Transfers of waste among media Team members should compare significant changes in quantities of waste that may indicate transfers of waste to other media; a consideration specific to multimedia inspections. Toxic release inventory information Toxic Release Inventory (TRI) information should be given special attention because TRI data is used in the targeting process and can provide useful information about transfers of waste among media and uncontrolled waste streams. 8-10 May 1998 ------- Follow-Up Evaluation of Sector Analysis Information Coordinate efforts with other local, state, and federal agencies Compare similar types of facilities in the state or Region Consider EPA's national initiatives Evaluation of Sector Analysis Information Coordinate efforts with other local, state, and federal agencies The team members may find it necessary to coordinate information with other agencies at the local, state, or federal government level about facilities that are under the same ownership. The status of enforcement action or remediation efforts at other sites may be of particular significance. Compare information about similar facilities The team members may wish to gather information about similar facilities in the state or Region. Consider EPA's national initiatives The facility may be in a sector that is included in the EPA national initiatives, such as petroleum refineries, wood products, metal fabricators, and others. 8-10 8-11 May 1998 ------- Follow-Up Remedial Solutions Effect of remedial actions on other media Team member communications ISNETl B 11 Remedial Solutions Remedial actions on other media As an example, an air remedial action may require dust control at a facility The facility may use a hazardous wastewater to control the dust. Inspectors for each program should ensure that such actions do not occur. Team member communications Identification and further development of effects on other media are often the result of lack of communications among team members. Without such communications, instances of cross media contamination may escape detection The inspectors must remember their areas of concern or responsibility are not bounded by the rules of any single regulatory program. 8-12 May 1998 ------- Follow-Up Follow-Up Review Holistic approach ซ Team approach Skill mix oi team members Communications ISNETt d-12 FoIIow-Up Review Holistic approach Has the multimedia inspection been conducted in a holistic manner? Team approach Have there been advantages or disadvantages to the team approach? Skill mix of team members Did problems arise from the skill mix among team members? Communications Did communication problems occur among inspectors? 8-13 May 1998 ------- Follow-Up Follow-Up Review Need for subsequent inspections Criminal referral Civil enforcement referral Environmental justice Environmental management system data Need for compliance assistance Follow-Up Review Need for subsequent inspections Is there a need for collection of additional samples? Is there a need to return to the facility for inspections? Is there a need for an unannounced return visit? Is there a need for inspection under another program? Criminal referral Has a criminal violation occurred? Is criminal intent suspected? Civil enforcement referral The decision to make such a referral is one that requires consultation with each of the programs represented in the inspection. Special task forces can be established to review and implement multimedia enforcement actions. The team leader can be an excellent source of information for the persons or groups making enforcement decisions. B 13 8-14 May 1998 ------- Follow-Up Environmental justice What did the inspection reveal about preexisting concerns? Did the inspection uncover any new concerns? Environmental management system data Does the facility's system cause pollution to the extent that an enforcement action on compliance assistance is warranted? Need for compliance assistance What existing sources may assist the facility with compliance at little or no cost? 8-15 May 1998 ------- Follow-Up Follow-Up Review Database information compared with facility records Sector analysis information Effect of the cleanup solution on other media Did the inspection uncover any discrepancies between current reports and the file records? Sector analysis information Were there any aspects of the inspection ~ for example, questionable practices, major misinterpretations of regulations, or questionable shipments off site -- that would necessitate a call to other regions about other sites? Effect of the cleanup solution on other media Were there any such issues that might arise at the Raptor facility? Follow-Up Review Database information compared with facility records 8-16 May 1998 ------- 9 ------- Notes ------- Session 9: Environmental Management Systems Session Overview Duration: 1 hour Objective: During this session, we will discuss Environmental Management Systems (EMS) including ISO 14000 standards, a compliance focused EMS, and EMS assessment protocols. Process: Lecture, group discussion Materials: Overhead projector Computer projector (CVT) Pens and markers Flip charts ------- Environmental Management Systems EMS and ISO 14000 Management standards that help an organization achieve its environmental obligations and broader environmental performance goals iNETI Environmental Management Systems and ISO 14000 EMS and ISO 14000 are management standards that help an organization achieve its environmental obligations and broader environmental performance goals. ISO is the International Organization for Standardization which is a quasi-governmental organization consisting of representatives from industry, government, and non-governmental organizations. EPA is included in the group that has established the ISO 14000 standards. EPA is also developing EMS standards which are different than the ISO standards - and I will specifically speak to the procedures being developed by EPA's National Enforcement Investigations Center. Note that EPA does not necessarily agree or disagree with the ISO 14000 voluntary standards. 9-1 May 1998 ------- Environmental Management Systems ISO 14000 AN INTERNATIONALLY RECOGNIZED ENVIRONMENTAL MANAGEMENT SYSTEM FOCUSED ON MANAGING CORPORATE ENVIRONMENTAL AFFAIRS. IT WAS DEVELOPED TO IMPROVE ENVIRONMENTAL PERFORMANCE WHILE MEETING CORPORATE GOALS THROUGH A FOUR STEP PROCESS: PLAN, DO, CHECK, AND IMPROVE. liNETl The ISO 14000 standards are a series of environmental management standards - of which the standard ISO 14001 specifically addresses an organization's achievement of its environmental obligations and broader environmental performance goals. EPA participation in the development of voluntary standards, including the ISO 14000 series of standards, is consistent with the goals reflected in section 12(d) of the National Technology Transfer and Advancement Act of 1995 (NTTAA)(Pub. L. No. 104-113, s. 12(d), 15 U.S.C.. 272 note). The NTTAA requires federal agencies to use voluntary consensus standards in certain activities as a means of carrying out policy objectives or other activities determined by the agencies, unless the use of these standards would be inconsistent with applicable law or otherwise impractical. In addition, agencies must participate in the development of voluntary standards when such participation is in the public interest and is compatible with an agency's mission, authority, priority, and budget resources. Agency participation in the development of EMS voluntary standards does not necessarily connote EPA's agreement with, or endorsement of, such voluntary standards. 9-2 May 1998 ------- Environmental Management Systems EMS History 30 years old (e.g., CMA "Responsible Care") French, Irish, Dutch, Spanish developed own voluntary EMS standards Possibility diverse EMS standards could hamper international trade ISO finalized ISO 14001 EMS standard in 1996 fiNETf A diverse group of organizations, associations, private corporations and governments has been developing and implementing various EMS frameworks for the past thirty years. For example, the Chemical Manufacturers Association created its own framework called Responsible Care. In addition, the French, Irish, Dutch, and Spanish governments developed their own voluntary EMS standards. The possibility that these diverse EMS frameworks could result in barriers to international trade led to a heightened interest in formulating an international voluntary standard for EMS. To that end, the International Organization for Standardization (ISO), consisting of representatives from industry, government, non-governmental organizations (NGOs), and other entities, finalized the ISO 14001 EMS standard in September 1996. The intent of this standard is to produce a single framework for EMS, which can accommodate varied applications all over the world. ISO 14001 is unique among the ISO 14000 standards because it can be objectively audited against for internal evaluation purposes or for purposes of self-declaration or third-party certification of the system. 9-3 May 1998 ------- Environmental Management Systems ISO 14000/EMS Federal Register RFC Agency will evaluate EMS' success Environmental Performance Compliance Pollution Prevention Environmental Conditions Costs/benefits to Company Stakeholder Participation & Confidence ISNETl In March 1998, EPA issued a Federal Register Notice regarding EMS and ISO 14000. This document communicates the EPA's position regarding Environmental Management Systems (EMS), including those based on the International Organization for Standardization (ISO) 14001 standard. This document also describes the evaluative stage EPA is entering concerning EMS. Further, it solicits comments on proposed categories of information to be collected from a variety of sources that will provide data for a public policy evaluation of EMS. EPA is working in partnership with a number of states to explore the utility of EMS, especially those based substantially on ISO 14001, in public policy innovation. The goal of this partnership is to gather credible and compatible information of known quality adequate to address key public policy issues. The primary mechanism to generate this information will be pilot projects. Valid, compatible data from other sources will also be used whenever possible. To make efficient use of resources, and to ensure more robust research, EPA and states will work together on the creation of a common database. The database will be open and usable, while recognizing the need to insure the appropriate level of confidentiality for participants. 9-4 May 1998 ------- Environmental Management Systems A group of federal and state officials involved in EMS pilot projects have been working together to set up a common national database of information gathered through the pilot projects. As part of that process, EPA and states are developing a series of data protocols which provide instructions and survey instruments to guide the actual collection of data for the data base. That document will be available at htttp://www.epa.gov/reinvent. This notice will serve to solicit comments on the categories of information to be collected. From the following general categories of information (and possibly others), EPA and participating states will develop the above mentioned protocols. The following categories are designed to provide a general idea as to the types of information that EPA believes should be collected to evaluate the effectiveness of EMS from the perspective of regulators. EPA further believes that collection of data in all categories will allow the fullest understanding and evaluation of the benefits of an EMS. The data categories which appear in this document were, to the extent possible, developed around the kinds of data we believe will or could be generated by an ISO 14001 EMS. 9-5 May 1998 ------- Environmental Management Systems 1. Environmental Performance The impact a facility has on the environment is of paramount importance to regulators' assessments of EMS. Thus, it is critical to measure any change in a facility's environmental performance that might be attributable to implementation of an EMS. Information would be collected as to the types, amounts, and properties of pollutants that are released to air, surface water, groundwater, or the land. Information on these pollutants would need to be normalized to a facility's production levels. Information relating to recycling, reuse, and energy requirements could also be included. This inquiry could include both regulated and non-regulated pollutants. 2. Compliance Implementation of an EMS has the potential to improve an organization's environmental compliance with regulatory requirements. The goal of collecting compliance information is to be able to measure the relationship between an EMS and compliance with local, state, and federal environmental regulations. The types of data to be collected would include: information on whether the facility has a recent history of regulatory violations; the number and seriousness of the violations; how quickly violations were discovered and corrected; and measurements of any changes in regulatory compliance status. 9-6 May 1998 ------- Environmental Management Systems 3. Pollution Prevention Pollution prevention is a significant goal for both federal and state regulators. Therefore, better understanding the relationship between an organization's overall performance and the role of pollution prevention in the organization's EMS is important to regulators. In the federal context, pollution prevention is defined as"... any practice which - (i) reduces the amount of any 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 (ii) reduces the hazards to public health and the environment associated with the release of such substances, pollutants, or contaminants." This definition will likely serve as a basis for helping an organization identify measures that it might have taken towards pollution prevention. Data collected would include a description of the type of pollution prevention and source reduction techniques used, including good operating practices, inventory control, spill and leak prevention, raw material modification/substitution, process modification, and product reformulation or redesign. 4. Environmental Conditions In order to understand the impact of an EMS on the environment, it is necessary to know something about the status of the ambient environment surrounding the facility prior to implementation of an EMS. An analysis of this nature will not only help regulators evaluate EMS, it should also help facility managers prioritize their environmental aspects and shape the policies and objectives of their EMS. Environmental conditions data will assist all parties in determining the sustainability of certain human activities from an environmental, economic, and social perspective. It is difficult, of course, to collect accurate and comparable information about environmental conditions. The time and expense needed for a facility to collect and report such data could be prohibitive. Also, the selection of an appropriate geographic focus ~ local, regional, or global will be challenging. One way to minimize this burden would be to utilize available governmental or other surveys (e.g., the 1990 U.S. Census hydrogeologic reports). Nevertheless, to the degree that these obstacles can be overcome, the analysis conducted by federal and state regulators will benefit. 9-7 May 1998 ------- Environmental Management Systems 5. Costs/Benefits to Implementing Facilities There has been much speculation and assertion about the relative costs and benefits associated with the implementation of an EMS. Data collected in this category should help provide answers to questions concerning possible net financial benefits that might accompany improved compliance and increased environmental performance, or that might result from being able to achieve compliance in less costly ways. The data may also shed light on the costs associated with higher levels of environmental performance. It is important to recognize some of the limitations inherent in traditional approaches to cost/benefit analysis. To address these limitations, organizations could be encouraged to identify intangible costs and benefits associated with the implementation of an EMS, even if they are difficult to quantify. Also, a list of usually "hidden" costs and benefits could be used to help organizations identify and understand costs and benefits that are traditionally overlooked. 6. Stakeholder Participation and Confidence Community participation has become an increasingly important component of federal and state efforts to increase environmental performance and protect human health. Both federal and state regulators are interested in understanding the involvement of local communities and other stakeholders in the EMS process. Data could be collected to assess the amount and degree of stakeholder participation in both the development and implementation of an organization's EMS, or the effect that such participation has on the public credibility of the facility's EMS implementation. 9-8 May 1998 ------- Environmental Management Systems ISO 14000 COMPANIES THAT IMPLEMENT THIS SYSTEM STAND TO BENEFIT THROUGH INCREASED PROFITS, AND POTENTIALLY THROUGH REGULATORY FLEXIBILITY BY STATE OR FEDERAL ENVIRONMENTAL ENTITIES. ISNETi Implementation of an EMS has the potential to improve an organization's environmental performance and compliance with regulatory requirements. EPA supports and will help promote the development and use of EMS, including those based on the ISO 14001 standard, that help an organization achieve its environmental obligations and broader environmental performance goals. In doing so, EPA will work closely with all key stakeholders, especially our partners in the States. EPA encourages the use of EMS that focus on improved environmental performance and compliance as well as source reduction (pollution prevention) and system performance. EPA supports efforts to develop quality data on the performance of any EMS to determine the extent to which the system can help bring about improvements in these areas. EPA also encourages organizations that develop EMS to do so through an open and inclusive process with relevant stakeholders, and to maintain accountability for the performance outcomes of their EMS through measurable objectives and targets. EPA encourages organizations to make information on the actual performance of their environmental management systems available to the public and governmental agencies. In addition, through initiatives such as Project XL and the Environmental Leadership Program, EPA is encouraging the testing of EMS to achieve superior environmental performance. At this time, EPA is not basing any regulatory incentives solely on the use of EMS, or certification to ISO 14001. 9-9 May 1998 ------- Environmental Management Systems ISO 14000 System Standard not Performance Standard iNETl EMS and ISO 14000 are system standards and not performance standards. A system standard is similar to a speed limit. The speed limit is the standard but it does not guarantee that the driver will follow the speed limit. We have all been passed on the highway by many drivers who have chosen not to comply with the system standard. The police officer's diligence - and the concern over being caught and punished - combined with the driver's competence and commitment is what establishes a performance standard. Similarly, the inspector's doing their job combined with a strong enforcement program, and the company's competence and commitment to the environment is what will determine the performance. 9-10 May 1998 ------- Environmental Management Systems NEIC EMS ฆ Presented for Information Work in Progress The "NEIC" way - used for Administrative Orders Other Efforts to Develop EMS Procedures Underway Agency May Adopt More Comprehensive Procedures (snet! The following "how to evaluate", a compliance-based EMS, is taken directly from procedures developed by the National Enforcement Investigations Center. This is presented for information only, is work in progress, and is the way NEIC is evaluating EMS in consent decrees. At this time there are no regulatory requirements for a company to have an EMS. Nevertheless, as noted earlier, a company with an EMS may be able to participate in some of the EPA special programs that will ultimately reduce the impact of regulatory inspections on the company - and of course should have the result of improved compliance. EPA may adopt these "NEIC" methods as agency policy, or may adopt different or more comprehensive procedures. THIS IS WORK IN PROGRESS. 9-11 May 1998 ------- Environmental Management Systems EMS Compliance Focused System for identifying pertinent environmental requirements - statutes, regulations, permits, enforceable agreements, etc. - and translating them into sustainable compliance activities at a facility. NEIC 1996 iNETl The NEIC procedure for evaluating EMS is compliance focused. It is a system for identifying pertinent environmental requirements - statutes, regulations, permits, enforceable agreements, etc. - and translating them into sustainable compliance activities at a facility. Again, as noted earlier, there is an excellent potential for improving an organization's environmental performance and compliance status. 9-12 May 1998 ------- Environmental Management Systems ISNETi Environmental organizations have traditionally evaluated compliance by looking at "end of pipe". Do the discharges, whether air, water, hazardous wastes, etc., from the facility meet the applicable standards? 9-13 May 1998 ------- Environmental Management Systems INDUSTRY iNETi With an EMS evaluation system, the inspector will look deeper into the facility to determine if the company's environmental management system is adequate to meet or exceed environmental protection standards and environmental limitations. The inspector will take a holistic view of the entire company operations that might impact environmental issues. 9-14 May 1998 ------- Environmental Management Systems EMS EVALUATIONS (NEIC) iNETf The NEIC evaluation procedures will take an overarching view of the company's Culture as it relates to being an environmentally responsible organization, how the company Communicates regarding environmental matters, the Environmental Control processes and procedures in place, the Competence of the company employees, and the Commitment of the company towards meeting environmental standards. 9-15 May 1998 ------- Environmental Management Systems 12 KEY ELEMENTS IN EMS 1.Management Policies and Procedures 2.0rganization, Personnel, and Oversight of EMS 3. Accountability and Responsibility ^Environmental Requirements 5. Assessment, Prevention, and Control 6.Environmental Incident and Noncompliance Investigations InetI The NEIC procedures include 12 key items that are evaluated. The evaluation procedures include extensive interviews and questions with company employees at all levels of the organization, from management to worker. Again, I emphasize that these key elements have been developed by NEIC for use in consent decrees, and they are evolving. 9-16 May 1998 ------- Environmental Management Systems EMS Elements (cont.) 7. Environmental Training, Awareness, and Competence 8. Planning for Environmental Matters 9. Maintenance of Records and Documentation 10. Pollution Prevention Program LI Continuing Program Evaluation and Improvement 12. Public Involvement/Community Outreach UNETI NEIC Compliance-Focused EMS Element Personnel to Be Interviewed Questions for Each Element 1. Management Policies and Procedures A. Corporate Environmental Policy Management How is this communicated to all staff? Supervisors, Line Employees Are you familiar with the environmental policy? How has it been communicated to you? B Site-specific Environmental Policies and Standards Documentation of general policies, rules and procedures for environmental pnnctpals and practices. B1. Who is responsible for environmental compliance All Employees Ask all employees this question. B2. Who will pay for penalties imposed as a result of noncompliance Plant Management, Area Managers Have fines been imposed? Who's budget have they come out of? How does this affect operations, bonuses? B3. Ongoing means of communicating environmental issues and information to plant personnel and contractors Environmental Department How do you receive environmental information"> Area Managers How do you know what is important? 9-17 ------- Environmental Management Systems NEIC Compliance-Focused EMS Element Personnel to Be Interviewed Questions for Each Element B4. Specific actions to be taken to improve communication regarding environmental compliance: - Within the facility Between various divisions - For contractors - With corporate headquarters - Among other company facilities Plant Management Environmental Department Descnbe communication system - Within the facility - Between various divisions - For contractors - With corporate headquarters - Among other company facilities How do you know what is important What information do you have to obtain on your own? Area Managers Do you have contact with other divisions, plants, contractors? How do you communicate environmental information? B5 Process for ensuring sustained interaction with regulatory agencies, and with the organization regarding environmental issues and regulatory compliance. Env Department Descnbe the process 9-18 ------- Environmental Management Systems NEIC Compliance-Focused EMS Element Personnel to Be Interviewed Questions for Each Element 2. Organization, Personnel, and Oversight of EMS A. Outlines formal organization for managing the environmental program. Executive Management meeting Identify duties, responsibilities and authorities of key environmental program personnel in implementing and sustaining the EMS* Plant Manager Environmental Department Lines of authority Who has ultimate authonty to enforce environmental directives7 Area Managers/ Supervisors. Do Environmental Directives come from plant manager or Environmental managers"> Whose directives matter? Documentation of: Position descnptions and performance standards of all environmental coordinators Excerpts from others having specific environmental responsibilities 3. Accountability and Responsibility- Specifies accountability of plant management and contractors for environmental protection practices and corrective actions implemented in their area of responsibility All employees What level of responsibility do you have for environmental protection? Specifies potential consequences of departure from specified operating procedures. All employees What are the consequences of not following wntten SOPS? ------- Environmental Management Systems NEIC Compliance-Focused EMS Element Personnel to Be Interviewed Questions for Each Element 4. Environmental Requirements- Process for identifying, understanding, and communicating environmental requirements and changes in those requirements to affected company operations and contractors, and incorporating those changes into the EMS. Corporate Environmental Descnbe the process Plant Environmental Department Area Managers How are requirements received from corporate? What other sources are used to identify environmental requirements? How are environmental requirements communicated from - the environmental department to area supervisors - supervisors to line employees - contractors How are the above areas informed of new requirements7 9-20 ------- Environmental Management Systems NEIC Compliance-Focused Personnel to Be Questions for Each Element EMS Element Interviewed 5. Assessment, Prevention, and Environmental Control Department What are the major environmental A. Identify ongoing process for concerns/risks at the facility> - assessing -preventing -controlling -monitoring and measuring operations as they relate to environmental protection and regulatory compliance Identifying operations and waste Area Managers, -What are the environmental streams where equipment Line employees concerns/risks related to your job malfunctions and deterioration, or work area? operator errors, and discharges -What are the procedures for or emissions may be causing, or follow up on an environmental may lead to releases of incident? hazardous waste or hazardous -Do you have any reporting constituents to the environment, requirements7 or a threat to human health and -Where are records kept? the environment Performing How are these records reviewed? root cause analysis of identified problems to prevent recurnng issues. B Process for developing and Environmental approving documented Department/ How do you develop critena for operating cntena for activities Plant operations that could have an that could cause management environmental impact? environmental impacts Area managers and/or non-compliance C. Describe system for conducting Area managers routine self inspections by -How was system developed department supervision and -Who conducts inspections? environmental coordinators. -Who receives inspection reports - how was system initially or results of inspections? developed? -How are deficiencies communicated and resolved? -Descnbe inspections and process -What inspection responsibilities do you have? D Process for ensunng input of Area Managers environmental concerns and Area Supervisors Descnbe process for ensunng requirements in planning, environmental concerns are 9-21 ------- Environmental Management Systems NEIC Compliance-Focused EMS Element Personnel to Be Interviewed Questions for Each Element 6. Environmental Incident and Non-Compliance Investigations Outline standard procedures and requirements for - incident reporting - non-compliance reporting - investigation and development and tracking of corrective and preventative actions Plant Management Who developed the procedures7 How, by whom and how often are they updated? Area Managers What procedures are in place7 Line Employees Describe incident reporting- what do you do7 What is an incident7 7. Environmental Training, Awareness and Competence- Identify specific education and training programs for plant personnel Plant Management How is necessary training and education determined? How is competence evaiuated> Environmental Department How are specific training programs evaluated and identified? Document training provided, including employees in nonenvironmental departments with environmental responsibilities List overall and environmental job responsibility. Plant Management Who is trained? How do you know who has to be trained? Environmental Department What training do environmental department personnel have7 All Employees w/ Environmental responsibilities What training have you received? 8. Planning for Environmental Matters Executive management How are subunits directed to consider environmental matters7 How environmental planning will be integrated into other annual plans developed by organizational subunits, as appropnate. Plant manager Area managers How do you consider environmental matters in annual operating plans? Establishment of written goals, objectives and action plans by: - each operating organizational subunit -each contractor operating at the facility Area managers Contractors Describe any environmental goals, objectives or action plans for your area? 9-22 ------- Environmental Management Systems NEIC Compliance-Focused Personnel to Be Questions for Each Element EMS Element interviewed Establish how actions will be All managers How do you track environmental tracked. issues? 9. Maintenance of Records and Focus on plant management, documentation environmental department and a. identify types of records any personnel directly involved developed in support of the EMS with EMS. Objectives for this b. who maintains records and element should be to where c protocols for responding to determine if the computer outside inquiries based system will be d Specify data management accessible to all employees system for determine how SOPs are - any internal waste tracking or currently available to all manifest systems employees - Environmental data assess who will respond to - hazardous waste outside inquiries and where determinations. records will be kept review any compliance data management systems for waste tracking manifests TRIdata other environmental data Who maintains the system? What training do they have? Are there formal policies and procedures to operate the system? 10. Pollution prevention program Plant Describe program Management How and when was it developed? Describe internal program for What are results? reducing reusing, and Environmental Descnbe any baseline minimizing waste and Department assessments emissions, including procedures Tracking to encourage material Are their additional areas that you substitutions Section also are considenngf includes mechanisms for identifying candidate materials to be addressed by program 9-23 ------- Environmental Management Systems NEIC Compliance-Focused EMS Element Personnel to Be Interviewed Questions for Each Element 11.Continuing Program Evaluation - annual EMS review schedule- who is involved, how will it happen - how are results incorporated into program improvements All managers involved in the process Are annual reports prepared"> Distnbution? Who is responsible for preparation? Are results presented to upper management? 12. Public Involvement/ Community Outreach Plant Management Environmental Department Describe program How and when was it developed' What are results? Describe any program assessments Table developed by E. Friedenson, SAIC 9-24 ------- Environmental Management Systems rvou/noM o* cwmoNaerT MUUOOOff BYVTtMi ฆ 1111 PVM u. *ซanv ซ0 inm maeoii iliilil wa I5NETI As environmental management systems evolve over time, they will mature and become more effective. We expect that they will move from a reactive stage in which problems are identified, to a more proactive stage in which compliance status is verified and the focus is on confirming the absence of problems. 9-25 ------- Environmental Management Systems Benefits of Good EMS Regulator/Company Benefits Improved Compliance Environmental Benefits Reduced Resource Drain because of Regulators Doing Enforcement Actions Reduced enforcement potential riNETi Regulators, companies, and the public will benefit from a good environmental management system. 9-26 ------- 10 ------- ------- Session 10: EPA Initiatives and New Statutory Requirements Session Overview Duration: 2 hours 30 minutes Objective: During this session, we will discuss pollution prevention and waste minimization. Concepts of environmental justice will be explained further. Supplemental enforcement projects also will be explained. Process: Lecture, group discussion Materials: Overhead projector Pens and markers Flip charts ------- EPA Initiatives and New Statutory Requirements EPA Initiatives and New Statutory Requirements [SNETl EPA Initiatives and New Statutory Requirements In this session, we will. - Discuss pollution prevention and waste minimization - Explain concepts of environmental justice - Explain supplemental enforcement projects 10-1 May 1998 ------- EPA Initiatives and New Statutory Requirements Pollution Prevention and Waste Minimization Overview Pollution prevention and waste minimization Hazardous and Solid Waste Amendments of 1984 Pollution Prevention Act of 1990 llNETl Pollution Prevention and Waste Minimization Overview Pollution prevention and waste minimization Pollution prevention and waste minimization are believed to be the most effective and efficient methods of reducing risks to human health and the environment. There are many opportunities posed by hazardous wastes for industry both to reduce the amount of waste produced and to use fewer or alternative raw materials to reduce the volume or toxicity of the waste. Both source reduction and recycling can save money. More important, both approaches reduce production of toxic wastes, thereby reducing the potential for harm to the environment. Therefore, the EPA and the regulated community must begin to look beyond traditional end-of-pipe management approaches. Hazardous and Solid Waste Amendments of 1984 The Hazardous and Solid Waste Amendments of 1984 (HSWA) require that EPA protect the environment by "minimizing the generation of hazardous waste and the land disposal of hazardous waste by encouraging process substitution, materials recovery, properly conducted recycling and reuse, and treatment." 10-2 May 1998 ------- EPA Initiatives and New Statutory Requirements Pollution Prevention Act of 1990 In the Pollution Prevention Act of 1990, Congress declared the promotion of pollution prevention a national policy of the United States. Then EPA Administrator William Reilly made pollution prevention a priority for the entire agency through ;the EPA Pollution Prevention Strategy. Both Congress and the EPA administrator have set general guidelines and objectives designed to encourage each program office to examine ways to incorporate pollution prevention. 10-3 May 1998 ------- EPA Initiatives and New Statutory Requirements Waste Minimization Definition of waste minimization Source reduction and recycling - Source reduction - Recycling, energy recovery, treatment, and disposal Environmental management hierarchy promotes pollution prevention NETt Waste Minimization Definition of waste; minimization Waste minimization is any source reduction or recycling activity that results in either: (1) reduction of total volume of hazardous wastes, (2) reduction of toxicity of hazardous wastes, or (3) both, as long as that reduction is consistent with the general goal of minimizing present and future threats to human health and the environment. Source reduction and recycling Waste minimization includes both multimedia "source reduction," as defined in the i ฆ Pollution Prevention Act of 1990, and "recycling," except for recycling that involves combustion, which is known as recycling for energy recovery. - Pollution prevention is understood to mean multimedia source reduction as defined in the Pollution Prevention Act of 1990. Source reduction is any practice that reduces the amount of any hazardous substance, pollutant, or contaminant entering any waste stream or otherwise released into the environment (including fugitive emissions) before recycling. - Under the Pollution Prevention Act, recycling, energy recovery, treatment, and disposal are' not included under the definition of pollution prevention, although some processes commonly described as "in-process recycling" may qualify as pollution prevention. 10-4 May 1998 ------- EPA Initiatives and New Statutory Requirements The environmental management hierarchy promotes pollution prevention Pollution prevention, as described under the act, is the first priority within an environmental management hierarchy. The next overhead begins a discussion of this hierarchy. The focus of the presentation is on source reduction. 10-5 May 1998 ------- EPA Initiatives and New Statutory Requirements The Environmental Management Hierarchy Source reduction Recycling Treatment Disposal [iNETl The Environmental Management Hierarchy The environmental management hierarchy established by the Pollution Prevention Act, includes four elements: - Source reduction - Recycling - Treatment - Disposal Specifically, the act identifies an environmental management hierarchy in which pollution "should be prevented or reduced whenever feasible; pollution that cannot be prevented should be recycled in an environmentally safe manner, whenever feasible; pollution that cannot be prevented or recycled should be treated in an environmentally safe manner whenever feasible; and disposal or other release into the environment should be employed only as a last resort..." (42 U.S.C. ง13103). In short, preventing pollution before it is created is preferable to trying to manage, treat, or dispose of it afterward. 10-6 May 1998 ------- EPA Initiatives and New Statutory Requirements Source Reduction Prevents generation of wastes and environmental releases Conserves natural resources Is the preferred approach liNETl Source Reduction Prevents the generation of wastes and environmental releases Conserves natural resources Is the preferred approach to environmental management 10-7 May 1998 ------- EPA Initiatives and New Statutory Requirements Source Reduction Source reduction includes reducing Hazardous and solid wastes - Environmental releases - Use of raw materials - Inventory losses - Spills and accidental releases - Use of energy - Use of water - Packaging wastes [SNETl Source Reduction Source reduction includes reducing: - Hazardous and solid wastes - Environmental releases Use of raw material - Inventory losses - Spills and accidental releases - Use of energy - Use of water - Packaging wastes 10-8 May 1998 ------- EPA Initiatives and New Statutory Requirements Goals for Source Reduction Conserve natural resources and materials Use environmentally sound products Prevent product losses Prevent spills and releases Minimize generation of waste (iNETt Goals for Source Reduction Goals for source reduction include: - Conserve natural resources and materials - Use environmentally sound products - Prevent product losses - Prevent spills and releases - Minimize generation of waste 10-9 May 1998 ------- EPA Initiatives and New Statutory Requirements Source Reduction Techniques Improvements in process efficiency "Green" purchasing Substitution of materials Improvements in supply systems Improvements in housekeeping practices Preventive maintenance [SNETl Source Reduction Techniques Source reduction techniques include: - Improvements in process efficiency "Green" purchasing - Substitution of materials - Improvements in supply systems - Improvements in housekeeping practices - Preventative maintenance The next several overheads briefly discuss each of these techniques. 10-10 May 1998 ------- EPA Initiatives and New Statutory Requirements Improvements in Process Efficiency Improvement In process efficiency Is the most effective means of conserving materials and resources Improvement in process efficiency is measured by the time, labor, equipment, materials, and energy required to accomplish a task IsnetI Improvements in Process Efficiency Improvement in process efficiency is the most effective means of conserving materials and resources Improvement in process efficiency is measured by the time, labor, equipment, materials, and energy required to accomplish a task. For example: - Use a high-volume, low-pressure (HVLP) paint gun for painting operations - Use central fluid distribution systems - Use automated parts washers 10-11 May 1998 ------- EPA Initiatives and New Statutory Requirements "Green" Purchasing Reduce effects on the environment by changing purchasing habits Examples [snetI "Green" Purchasing Reduce effects on the environment by changing purchasing habits. For example: - Purchase products that have the least amount of packaging - Use reusable products instead of disposable ones - Purchase less toxic products - Use products that contain recycled materials 10-12 May 1998 ------- EPA Initiatives and New Statutory Requirements Substitution of Materials Replace hazardous chemicals with less toxic alternatives Examples fSNETl Substitution of Materials Replace hazardous chemicals with less toxic alternatives. For example: - Use soap and water instead of solvent - Purchase water-based, rather than solvent-based, paint 10-13 May 1998 ------- EPA Initiatives and New Statutory Requirements Improvements in Supply Systems Reduce product losses How to improve inventory control [fNETt Improvements in Supply Systems Reduce product losses that result from overstocking or allowing shelf life of products to expire How to improve inventory control - Restrict access to supply areas - Maintain accurate inventory records to prevent overstocking - Purchase material with limited shelf life in limited quantities - Practice "just-in-time" inventory control - Use a "first-in, first-out" distribution system 10-14 May 1998 ------- EPA Initiatives and New Statutory Requirements Improvements in Housekeeping Practices ซ Keep a clean shop - Conserves resources and materials - Prevents product losses - Prevents spills and leaks ฎ Excessive cleaning is not good [fNETl Improvements in Housekeeping Practices Keeping a clean shop: - Conserves resources and materials - Prevents product losses - Prevents spills and leaks ฎ Excessive cleaning is not good 10-15 May 1998 ------- EPA Initiatives and New Statutory Requirements Preventive Maintenance Includes any activity that might prevent malfunctions of equipment and releases to the environment Examples flNETl Preventive Maintenance Includes any activity that might prevent malfunctions of equipment and releases to the environment. For example: - Routinely inspecting equipment and storage containers - Fixing problems immediately - Following standard operating procedures 10-16 May 1998 ------- EPA Initiatives and New Statutory Requirements Recycling Uses materials produced as wastes in either the same or a different process after reprocessing Follows source reduction in the hierarchy Requires expenditures of time and money ISNETl Recycling Uses materials produced as wastes in either the same or a different process after reprocessing Follows source reduction in the hierarchy Requires expenditures of time and money 10-17 May 1998 ------- EPA Initiatives and New Statutory Requirements What and Where Can You Recycle? Any material or resource associated with a process that otherwise would be considered a waste An on-site or off-site operation [iNETt What and Where Can You Recycle? Any material or resource associated with a process that otherwise would be considered a waste On-site or off-site operation 10-18 May 1998 ------- EPA Initiatives and New Statutory Requirements Basic Waste Minimization Requirements Under HSWA Generators submit waste minimization information as part of their biennial reports Generators certify that a waste reduction program is in effect TSDFs certify annually that a waste reduction system is in place (iNETt Basic Waste Minimization Requirements Under HSWA HSWA sets forth three basic waste minimization requirements for generators and treatment, storage, and disposal facilities (TSDF). Generators of hazardous waste must submit waste minimization information as part of their biennial reports. Every generator must certify on the manifest that it has a waste reduction program in effect. As a permit requirement, every TSDF must certify at least annually that it has a waste reduction system in place. 10-19 May 1998 ------- EPA Initiatives and New Statutory Requirements Minimum Requirements for Waste Minimization ol Concern to Inspectors Check the manifest Check the biennial report and operating record Check other applicable waste minimization language Minimum Requirements for Waste Minimization of Concern to Inspectors 10-20 May 1998 ------- EPA Initiatives and New Statutory Requirements Check the Manifest Appropriate language on manifest Signed by generator or authorized representative Waste minimization plan in place flNETl Check the Manifest A generator that ships wastes off site must certify on the manifest that it has a waste minimization program in place. An example of the exact wording from the manifest follows: "If I am a large quantity generator, I certify that I have a program in place to reduce the volume and toxicity of waste generated to the degree I have determined to be economically practicable and that I have selected the practicable method of treatment, storage or disposal currently available to me which minimizes the present and future threat to human health and the environment; OR, if I am a small quantity generator, I have made a good faith effort to minimize my waste generation and select the best waste management method that is available to me and that I can afford." (40 CFR Part ง262, Appendix) All inspectors should determine whether this certification was signed by the generator or an authorized representative of the generator. In addition, if the printed certification statement is signed by an authorized representative, the inspector should determine, if possible, that the authorization is valid. The certification is mandated by statute and must be included in any inspection A waste minimization plan is one of the best forms of evidence of a waste minimization program; therefore, the inspector should ask to see a written waste minimization plan. However, there may be other forms of evidence the facility can use to demonstrate the existence of a waste minimization program. 10-21 May 1998 ------- EPA Initiatives and New Statutory Requirements EPA and authorized states have the authority through HSWA ง3007 to "have access to, and to copy all records relating to such waste." The facility may choose to keep its waste minimization plan confidential. If so, the inspector should follow procedures for the protection of confidential business information and not release the plan to the public. If the owner or operator denies access to the plan, that circumstance should be noted in the inspection report, and the inspection should continue. The written report, may be requested later in a postinspection request for additional information. If the owner or operator states that there is no written plan or refuses to show it, the inspector should ask for and make notes on a verbal description of the plan. If the owner or operator does not show a written plan, cannot describe such a plan verbally, or cannot demonstrate other evidence of the existence of a waste minimization program, the inspector should note the circumstance as a violation ~ failure to comply with the terms of certification on the manifest. Evidence of a waste minimization program may be checked at the opening conference with the owner or operator or at the most appropriate time, depending on the purpose and schedule of the inspection. The inspector can and should visually check for evidence of a "program in place" on-site to confirm that the generator is conducting some type of waste minimization program. Although the EPA currently has limited authority to take enforcement actions based on the content or adequacy of waste minimization programs, the inspector can determine whether a program exists and is being implemented. The inspector should note in the inspection report for possible enforcement action any discrepancies between the written or oral plan or the description of the waste minimization program and on-site observations. Discussing the importance of the plan with the owner or operator will stress EPA's commitment to waste minimization, as well as communicate to the owner or operator the benefits, both environmental and economic, the facility could realize through a waste minimization program. 10-22 May 1998 ------- EPA Initiatives and New Statutory Requirements Check the Biennial Report and Operating Record Submitted during even-numbered years Contains certification of the waste minimization program Report and observations should correspond Willful omissions can result in criminal investigation [fNETl Check the Biennial Report and Operating Record Any generator that ships hazardous waste to an off-site treatment, storage, or disposal facility in the United States, and any generator that treats, stores, or disposes of hazardous wastes on site must submit a biennial report during even- numbered years (exporters must submit a similar report every year) that includes: - A description of the efforts undertaken during the year to reduce the volume and toxicity of waste generated - A description of the changes in volume and toxicity of waste actually achieved during the year, compared with previous years, to the extent such information is available for years before 1984 - The certification signed by the generator or the generator's authorized representative (40 CFR ง262.41(a), ง264.75(h)&(j), ง265.75(h)&(j)> and ง262.56(5) (i)&(ii) for exporters) In addition, the operating record of permitted facilities should contain a certification by the permittee, no less often than annually, that the permittee has a program in place to reduce the volume and toxicity of hazardous waste that the permittee generates, to the degree determined by the permittee to be economically practicable; and the proposed method of treatment, storage, or disposal is that practicable method currently available to the permittee that minimizes the present and future threat to human health and the environment. (40 CFR ง264.73(b)(9)) 10-23 May 1998 ------- EPA Initiatives and New Statutory Requirements The inspector should verify the existence of the reports and certifications and examine them, during preinspection preparation, on site, or during a postinspection review of documents. The inspector should confirm that the "description of the efforts undertaken" in the biennial or annual report corresponds with what is observed at the facility to ensure that the waste minimization program is actually in place. Once again, if discrepancies exist between the plan and what is observed on site, the discrepancies should be noted in the inspection report as potential violations, as is failure to certify the existence of a program in place. Copies of the reports should be obtained from state or EPA files or from the generator to help document the discrepancies. If willful omissions, falsifications, or misrepresentations on any report or certification are suspected, criminal penalties may apply, and the case should be referred for criminal investigation. 10-24 May 1998 ------- EPA Initiatives and New Statutory Requirements Check Other Applicable Waste Minimization Language Check for waste minimization requirements in enforceable documents - Permits - Enforcement orders - Settlement agreements Note discrepancies in the inspection report for later follow-up flNETl Check Other Applicable Waste Minimization Language The inspector should check any waste minimization language included in the facility's permits and in any enforcement order or settlement agreement. Such documents should be examined during preinspection preparations. Although only a few existing permits include specific waste minimization requirements, most newly issued permits will contain such language. Through the permit language, the permit writer can include authority for EPA or the state to evaluate the waste minimization plan or program in place by listing evaluation criteria as permit requirements. Any of these permit requirements are enforceable, and compliance with them should be verified on site. Waste minimization requirements also may be included in settlement agreements, in accordance with the policy of the Office of Enforcement and Compliance Assessment on including pollution prevention and recycling conditions in enforcement settlements. The inspector should examine that language and look for evidence on site of compliance with any such waste minimization requirements. The inspector should note discrepancies in the inspection report for possible follow-up enforcement. 10-25 May 1998 ------- EPA Initiatives and New Statutory Requirements Conduct Outreach The inspector should: - Recommend and distribute waste minimization literature - Refer facility to technical assistance program for specific advice Provide basic advice when appropriate [SNETl Conduct Outreach All inspectors should be familiar with, recommend, and distribute waste minimization literature. Many types of literature are available, ranging from engineering manuals to one-page pamphlets. Several EPA regions and states have developed short, introductory pamphlets on pollution prevention and waste minimization in general. The publications list some sources of information and outline the basic goals of pollution prevention. All inspectors should obtain copies of such pamphlets and distribute them to facilities, along with pamphlets from the Office of Pollution Prevention's (OPP) Pollution Prevention Information Clearinghouse (PPIC). Other guidance, such as EPA's guidance on the components of a waste minimization program (when it becomes available), should be distributed to the regulated community. - Inspectors also should familiarize themselves with other documents that may be of use to specific industries, such as fact sheets put out by OPP and some EPA regions and states; the technical manuals published by the Office of Research and Development (ORD); and the Waste Minimization Opportunity Assessment Manual, also published by ORD. The inspector should make representatives of the facility aware that these manuals exist, tell them how to obtain the manuals, and supply the manuals to the facilities when the inspector thinks the information will be used. The manuals can be obtained from the regional pollution prevention contacts listed in this document or from OPP and ORD. 10-26 May 1998 ------- EPA Initiatives and New Statutory Requirements For more specific or technical information, the inspector should refer representatives of the facility to the appropriate technical assistance program. These programs may be available through universities, state or community programs, programs sponsored by EPA regions, or trade organizations. Because the inspector often serves as the only on-site representative of EPA or the state program, the inspector is in an advantageous position to promote these nonregulatory assistance programs. - Inspectors should not serve as on-site consultants because of limits on time and resources, lack of knowledge of specific industries, and the potential that an enforcement action could be undermined because the inspector made recommendations about industrial processes. For advice on subjects, capital- intensive or technically advanced, the owner or operator should be referred to the technical assistance programs described above. In many cases, the inspector, through training or the conduct of inspections, may see opportunities to implement easy, effective waste minimization techniques that can be transferred to other facilities. OWPE encourages the inspector to give limited, basic advice to the facility about obvious ways that the facility can minimize its waste, as outlined in the following examples. This advice should be issued in an informal manner, with the caveat that it is not binding in any way and is not related to compliance with regulations. In such a case, the facility should be referred to the technical assistance program. Some examples of good advice are: - Wood Preserving Industry (good advice): "You might want to try either sweeping or blowing the sawdust and residues off the wood before treating it so less trash will get into the holding tank. That might decrease the amount of waste sludge you have to worry about." - Metal Plating (good advice): "If you let the workpiece hang a little longer over the tank, more of the solution will drain back into the tank, and you'll probably have less dragout." - Parts Cleaning (good advice): "I saw one company that had switched to aqueous cleaners instead of solvents. It seemed to work well, and it really cut down their waste stream. I don't know the details, but our technical assistance people can help. Their number is..." 10-27 May 1998 ------- EPA Initiatives and New Statutory Requirements - Printing (bad advice ): "Company X put in a Wammo Mark IV ink recycling unit to reuse its waste inks. You should do the same. It might take care of some of your regulatory problems, and it will save you a whole lot of money." 10-28 May 1998 ------- EPA Initiatives and New Statutory Requirements Further Actions to Promote Waste Minimization Training for the inspector Incentive programs [SNETt Further Actions to Promote Waste Minimization Training will help define pollution prevention as the concept affects the efforts the RCRA inspector, define the role of the inspector, and outline the activities the inspector should conduct, as well as provide basic technical information on waste minimization techniques. Inspectors should attend any pertinent training held by the Regions and other organizations, such as OPP, to familiarize themselves with the subject. As an incentive program for all RCRA enforcement personnel, participation in pollution prevention activities has been included in the list of qualification criteria for the RCRA Enforcement Award, which will recognize and reward outstanding and innovative approaches to the inclusion of pollution prevention in the RCRA enforcement program. Regions and states are encouraged to develop their own incentive programs to encourage further efforts in that area. 10-29 May 1998 ------- EPA Initiatives and New Statutory Requirements Environmental Justice Defined Fair treatment Equal share of negative consequences IfNETt Environmental Justice Defined Fair treatment The concept of environmental justice means all people should be treated fairly under environmental laws without discrimination based on race, ethnicity, culture, or economic status. Fair treatment means that no racial, ethnic, or socioeconomic group should bear a disproportionate share of the negative environmental consequences of the operation of industrial, municipal, and commercial enterprises or from the execution of environmental laws and policies. Equal share of negative consequences This definition extends beyond equality in the execution of environmental laws to equitable distribution of negative environmental effects so that no particular group is burdened by a disproportionate share of that effect. 10-30 May 1998 ------- EPA Initiatives and New Statutory Requirements The Need for the Environmental Justice Program Low-income and minority populations Racial discrimination Locations of hazardous waste sites Environmental Leadership Summit of 1991 Environmental Equity Work Group IfNETl The Need for Environmental Justice Program All the studies and events described below played a role in the creation of the Environmental Justice program. Low-income and minority populations Low-income and minority populations are exposed to higher levels of environmental pollutants than the general public. Numerous studies document that race and socioeconomic status correlate with an unequal distribution of exposure to air pollution and pesticides, lead poisoning in children, consumption of contaminated fish, and possible exposure to toxins and other hazardous materials on the job. ฎ Racial discrimination The 1971 Annual Report to the President of the Council on Environmental Quality included an acknowledgement that racial discrimination adversely affected the ability of the urban poor to elevate the quality of their environment. Locations of hazardous waste sites The 1987 study by the United Church of Christ on the locations of hazardous waste sites across the United States found that race was the factor showing the highest correlation with residence near a hazardous waste site. 10-31 May 1998 ------- EPA Initiatives and New Statutory Requirements Environmental Leadership Summit of 1991 The Environmental Leadership Summit of 1991, attended by more than 650 members of grassroots and community activist organizations, adopted a platform calling for an end to environmental inequities that affect low-income communities and people of color around the world. Environmental Equity Work Group The study prepared by the Environmental Equity Work Group produced three significant findings: - Clear differences exist among racial groups in disease and death rates; however, there is a lack of data on environmental health effects by race and income, with the exception of lead poisoning ~ data show a significantly higher percentage of African American children have high levels of lead in their blood. - Low-income and minority populations experience higher-than-average exposures to some air pollutants, hazardous waste facilities, contaminated fish, and pesticides in the work place. - Native Americans are a unique ethnic group with a special relationship to the federal government and distinct environmental problems. Tribes generally lack the physical infrastructure, institutions, trained personnel, and resources necessary to protect their members from environmental threats. 10-32 May 1998 ------- EPA Initiatives and New Statutory Requirements Environmental Justice Program: Federal Response Executive Order 12898 Environmental Justice Interagency Working Group llNETt Environmental Justice Program: Federal Response Executive Order 12898 Executive Order 12898 (February 11, 1994) committed the federal government to the principles of environmental justice and directs agencies to incorporate considerations of environmental justice into their missions by developing procedures and timetables for identifying and resolving disproportionately high and adverse effects on human health or the environment of federal programs, policies, and activities on low-income and minority communities. Environmental Justice Interagency Working Group The government established the Environmental Justice Interagency Working Group to: - Provide guidance to the agencies in identifying problems - Work with the agencies to develop strategies - Coordinate health research and collection and analysis of data - Develop interagency model projects - Hold public meetings 10-33 May 1998 ------- EPA Initiatives and New Statutory Requirements Environmental Justice Program: EPA Initiatives Office of Environmental Justice National Environmental Justice Advisory Council OSWER Environmental Justice Task Force OSWER recommendations liNETl Environmental Justice Program: EPA Initiatives Office of Environmental Justice In 1992, EPA created the Office of Environmental Equity, since renamed the Office of Environmental Justice, to address the effects of environmental issues on low-income and minority communities. The Office of Environmental Justice has many functions: - Coordinating with other federal agencies actions on environmental justice issues - Providing communication, outreach, education, and training for the public - Providing technical and financial assistance to outside groups - Serving as a central repository of information about issues related to environmental justice The activities of the Office of Environmental Justice include: - Administering the Environmental Justice Grants Program to provide financial assistance to community groups - Operating the Environmental Justice Hotline (1-800-962-6215) National Environmental Justice Advisory Council The National Environmental Justice Advisory Council was established to advise the EPA Administrator on issues related to environmental justice 10-34 May 1998 ------- EPA Initiatives and New Statutory Requirements OSWER Environmental Justice Task Force In 1993, OSWER's Environmental Justice Task Force was established to analyze issues of environmental justice that are specific to waste programs and to develop recommendations. In 1994, the Environmental Justice Task Force issued a report detailing OSWER's strategy for achieving EPA's goals related to environmental justice. The task force made the following recommendations specific to the CERCLA program: - The creation of community advisory groups (CAG) to enhance public involvement in the Superfiind process in low-income and minority communities. CAGs are designed to provide early, direct, and meaningful public involvement in the process, as well as to respond to the growing awareness that minority and low-income populations may have been overlooked in past efforts to encourage public participation. - Development of proactive site assessment procedures that allow early identification of sites in areas of concern related to environmental justice. - Evaluation of the remedy selection process by OERR and the regions to determine its effect on issues related to environmental justice, focusing on ways to identify areas of concern early in the process, before issues become problems. Recommendations Affecting OSWER The task force also made the following recommendations specific to the RCRA program: - Development of technical assistance guidance in siting facilities for state and local governments. - Development by OSW of methods for factoring considerations of environmental justice into public health decisions and expanding public involvement in siting and permitting issues and examination of OSW's methods for setting priorities for the corrective action program to determine whether they address concerns related to environmental justice adequately. 10-35 May 1998 ------- EPA Initiatives and New Statutory Requirements Environmental Justice Discussion Questions Injustice in low-income and minority communities Other factors that contribute to injustice Overcoming the barriers Activities that build public trust [InetI Environmental Justice Discussion Questions Injustice in low-income and minority communities How has EPA contributed to injustice in low-income and minority communities over the years? - Failed to recognize special concerns in those communities - Failed to recognize relative political powerlessness in those communities, mistaking a lack of opportunity for a lack of interest - Failed to address local concerns in decision making - Failed to communicate effectively with the local community Other factors that contribute to injustice What other factors beyond EPA's control have contributed to that injustice? - State and local issues (zoning and permits) - Actions by other federal agencies (siting and abandonment) - Poverty and racial prejudice Overcoming the barriers What can EPA staff do to overcome these barriers? Activities that build public trust 10-36 May 1998 ------- EPA Initiatives and New Statutory Requirements What specific activities can be conducted in affected communities to build public trust? - Establish a CAG or community working group (CWG) to promote community involvement - Translate pertinent documents and fact sheets, if necessary - Hold frequent availability sessions - Work with informal community leaders, such as ministers and teachers - Be honest - Follow up on issues of special concern - Work with other agencies to provide needed services to the community 10-37 May 1998 ------- EPA Initiatives and New Statutory Requirements Environmental Justice in Our Work Learn about the community Understand cultural diversity Understand the limits on options and opportunities that poverty imposes flNETt Environmental Justice in Our Work Consideration of environmental justice must be incorporated into our daily lives and our approach to our work. We can achieve that goal by empathizing with members of communities in which there is concern for environmental justice and considering their needs in our daily decisions. Specific things you as EPA staff can do include: Learn about the community in which you are working Understand cultural diversity Understand the limits on options and opportunities that poverty imposes 10-38 May 1998 ------- EPA Initiatives and New Statutory Requirements Supplemental Environmental Projects (SEP) To further EPA's goals to protect and enhance public health and the environment To obtain protection that might not occur otherwise [IneTI Supplemental Environmental Projects In settlements of environmental enforcement cases, EPA requires the alleged violators to achieve and maintain compliance with federal environmental laws and regulations. In certain cases, to further EPA's goals to protect and enhance public health and the environment, environmentally beneficial projects or supplemental environmental projects (SEP), may be included in a settlement. The primary purpose of SEPs is to obtain protection of the environment and of public health and improvements that otherwise may not have occurred. 10-39 May 1998 ------- EPA Initiatives and New Statutory Requirements Penalties Promote environmental compliance and protect public health Ensure no economic advantage by noncompliance Encourage adoption of pollution prevention and recycling [SNETl Penalties In settling enforcement actions, EPA requires alleged violators to remedy the violations promptly and remediate any harm caused by the violations. To deter noncompliance, EPA also seeks substantial monetary penalties. Penalties promote environmental compliance and help protect public health by deterring future violations by the same violator and deterring violations by other members of the regulated community. Penalties help ensure a level playing field throughout the nation by ensuring that violators do not obtain an unfair economic advantage over competitors who made the necessary expenditures to comply on time. Penalties also encourage companies to adopt pollution prevention and recycling techniques to minimize discharges of pollutants and reduce their potential liabilities. In fact, a company that eliminates its discharges of a toxic chemical also eliminates any potential liability (for both penalties and cleanups) associated with such discharges. 10-40 May 1998 ------- EPA Initiatives and New Statutory Requirements Penalty Factors Penalty assessment criteria considered Role of SEP varies from case to case JNETl Penalty Factors Statutes administered by EPA generally contain penalty assessment provisions that set forth factors that a court or administrative judge must consider at trial or during a hearing in determining an appropriate penalty. In settlements, EPA generally follows those criteria in exercising its discretion to establish an appropriate settlement penalty. In establishing an appropriate penalty, EPA generally considers such factors as the economic benefit associated with the violations, the gravity or seriousness of the violations, and prior history of violations. Evidence of a violator's commitment and ability to perform a SEP also is a relevant factor EPA considers in establishing an appropriate settlement penalty. All else being equal, the final settlement penalty will be less for a violator that agrees to perform an acceptable SEP, compared with that assessed against the violator that does not agree to perform a SEP. EPA encourages the use of SEPs. While penalties play an important role in environmental protection by deterring violations and creating a level playing field, SEPs can play an additional role in securing significant protection and improvement of public health and the environment. SEPs may not be appropriate in all cases, but they are an important part of EPA's enforcement program. SEPs may be particularly appropriate to further the objectives of the statutes EPA administers and to achieve other policy goals, including promotion of pollution prevention and environmental justice. 10-41 May 1998 ------- EPA Initiatives and New Statutory Requirements Benefits of SEPs Support the goals of pollution prevention Support the environmental management hierarchy Complement environmental justice initiatives flNETl Benefits of SEPs In general, SEPs tend to support the goals of pollution prevention that were presented earlier in this session. More specifically, selection and evaluation of proposed SEPs should be conducted in accordance with the hierarchy of environmental management that is, SEPs involving pollution prevention techniques are preferred over reduction or control strategies. This factor can be reflected in the degree of consideration accorded to a defendant or respondent before calculation of the final monetary penalty. Since pollution prevention is easily definable as a technique or process, it is a separate category of SEP. Further, there is an acknowledged concern, expressed in Executive Order 12898 on environmental justice, that certain segments of the nation's population are burdened disproportionately by exposure to pollutants. Emphasizing environmental justice in the performance of a SEP helps ensure that persons who spend significant portions of their time in areas where the violations occur, or who depend on food or water sources located near such areas, will be protected. Because environmental justice is not a specific technique or process but an overarching goal, it is not listed as a category of SEP, but is a consideration that should encourage negotiation of SEPs in communities in which environmental justice is an issue. 10-42 May 1998 ------- EPA Initiatives and New Statutory Requirements Evaluation of SEP Projects Meets definition Satisfies legal guidelines - NEXUS Fits within SEP categories Represents an aftertax cost proportionate to the amount of penalty mitigation Satisfies implementation and other criteria [iNETl Evaluation of SEP Projects In evaluating a potential project to determine whether it qualifies as a SEP and determining how much penalty mitigation is appropriate, EPA enforcement and compliance personnel are advised to use the following five-step process: Ensure that the project meets the basic definition of a SEP. Ensure that all legal guidelines, including NEXUS, are satisfied. Ensure that the project fits within one (or more) of the designated categories of SEPs. Calculate the net-present after-tax cost of the project and then determine the appropriate amount of penalty mitigation. Ensure that the project satisfies all of the implementation and other criteria. Important aspects of some of these steps are covered further on the next overheads. 10-43 May 1998 ------- EPA Initiatives and New Statutory Requirements Characteristics of SEPs Environmentally beneficial projects In settlement of an enforcement action Otherwise is not required by law to perform Does not alter other requirements [iNEft Characteristics of SEPs Supplemental environmental projects are defined as environmentally beneficial projects that a violator agrees to undertake in settlement of an enforcement action, but which the violator otherwise is not required by law to perform. The three key parts of this definition set forth above in bold type are elaborated upon below. Environmentally beneficial projects "Environmentally beneficial" means the primary beneficiary of the SEP must be the public, public health, or the environment at large. While, in some cases, a SEP may provide the alleged violator with certain benefits, there must be no doubt that the project primarily benefits the public. In settlement of an enforcement action "In settlement of an enforcement action" means that (1) EPA has the opportunity to help shape the scope of the project before it is implemented and (2) the project is not undertaken until the Agency has identified a violation or initiated an enforcement action (inspection, notice of violation, administrative order, or complaint). Otherwise is not required by law to perform "Otherwise is not required by law to perform" means the SEP may not be required by any federal, state, or local law or regulation. Further, SEPs cannot include actions that the violator may be required to perform as injunctive relief in 10-44 May 1998 ------- EPA Initiatives and New Statutory Requirements the instant case or another case or otherwise be required to perform for compliance with state or local regulations. o Does not alter other requirements The performance of a SEP reduces neither the stringency nor the timeliness requirements of federal environmental statutes and regulations. Of course, performance of a SEP does not alter the defendant or respondent's obligation expeditiously to remedy a violation and return to compliance. 10-45 May 1998 ------- EPA Initiatives and New Statutory Requirements NEXUS and Legal Guidelines EPA has discretion to settle NEXUS must be present Legal guidelines must be satisfied Exceptions exist Penalties also may be necessary [!NETl NEXUS and Legal Guidelines EPA has broad discretion to settle EPA has broad discretion to settle cases, including the discretion to include SEPs as an appropriate part of the settlement. The legal evaluation of whether a proposed SEP is within EPA's authority and consistent with all statutory and Constitutional requirements may be a complex task. Accordingly, this policy recognizes and establishes a "NEXUS" requirement and four other legal guidelines to ensure that SEPs are within the Agency's and a federal court's authority and do not run afoul of any Constitutional or statutory requirements. NEXUS must be present NEXUS is the requirement that there be a relationship between the violation and the proposed project. There is sufficient NEXUS if the project remediates or reduces the probable overall environmental or public health effects or risks to which the violation at issue contributes, or if the project is designed to reduce the likelihood that similar violations will occur in the future. If the violation adds incrementally to the total environmental risk, SEPs within the immediate geographic area or ecosystem may have sufficient NEXUS, even if the SEP addresses a different pollutant in a different medium. Legal guidelines must be present In addition to having sufficient NEXUS, SEPs must satisfy four legal guidelines. 10-46 May 1998 ------- EPA Initiatives and New Statutory Requirements (1) A project must advance at least one of the declared objectives of the environmental statutes that are the basis of the enforcement action. Further, a project cannot be inconsistent with any provision of the underlying statutes. (2) Projects that require a defendant or respondent to pay a set amount of money to a third party or to establish a fund should be limited to cases in which a strong NEXUS to the violation exists and the activities on which the money will be spent are specified fully in the signed settlement agreement. The "what, where, and when" of a project therefore are determined by the settlement agreement. EPA or any other federal government agency or official cannot play any role in managing or controlling such funds. EPA may provide oversight to ensure that a project is implemented pursuant to the provisions of the settlement and may have legal recourse if the SEP is not adequately performed. (3) The type and scope of each project are set forth in the signed settlement agreement. For example, settlements under which the defendant or respondent agrees to spend a certain sum of money on a project(s) to be determined later (after EPA or the Department of Justice signs the settlement agreement) generally are not permitted. (4) A project cannot be a function that EPA itself is required under statute to perform, and a project must not provide EPA with additional resources to perform an activity for which Congress specifically has appropriated funds. For example, if EPA has developed a brochure to help a segment of the regulated community comply with environmental requirements, a SEP may not provide, directly or indirectly, additional resources to revise, copy, or distribute the brochure. Exceptions exist There may be some limited cases in which projects that do not satisfy clearly the requirement for NEXUS and the other legal guidelines nevertheless are acceptable. Such projects require the advance review and approval of EPA Headquarters. Penalties also may be necessary Depending on the language of the settlement agreement that provides for the stipulated penalties and on the circumstances of the violation, the use of a SEP to mitigate stipulated penalties may raise legal concerns under the Miscellaneous 10-47 May 1998 ------- EPA Initiatives and New Statutory Requirements Receipts Act, 31 U.S.C. 3302(B). Because of the complexity of such issues, the litigation team must receive advance approval from EPA Headquarters before agreeing to acceptance of a SEP in mitigation of a stipulated penalty liability. 10-48 May 1998 ------- EPA Initiatives and New Statutory Requirements Categories of SEPs Public health Pollution prevention Pollution reduction Environmental restoration and protection Assessments and audits Environmental compliance promotion Emergency planning and preparedness Categories of SEPs EPA has identified seven categories of projects that might qualify as SEPs. To be accepted as a SEP, a proposed project must satisfy the requirements of at least one category, plus all the other requirements established in EPA's SEP policy. 10-49 May 1998 ------- EPA Initiatives and New Statutory Requirements Public Health SEPs Provides diagnostic, preventive, or remedial support to those at nsk from a violation Application of public health SEPs flNETi Public Health SEPs A public health project is defined as one that provides diagnostic, preventative, or remedial components of human health care that are related to the actual or potential damage to human health caused by the violation. Such projects may include collection and analysis of epidemiological data, medical examinations of potentially affected persons, collection and analysis of blood, fluid, and tissue samples, and medical treatment and rehabilitation therapy. Public health SEPs are acceptable only when the primary beneficiary of the project is the population that was harmed or put at risk by the violations. 10-50 May 1998 ------- EPA Initiatives and New Statutory Requirements Pollution Prevention SEPs Project is implemented before pollutants or waste streams are generated A variety of source reduction activities are possible Application of pollution prevention SEPs Does not apply to the mere transfer of pollution [fNETl Pollution Prevention SEPs A pollution prevention project is one that reduces the generation of pollution through "source reduction" - that is, any practice that reduces the amount of any hazardous substance, pollutant, or contaminant entering any waste stream or otherwise being released into the environment before recycling, treatment, or disposal. (After the pollutant or waste stream has been generated, pollution prevention is no longer possible, and the waste must be handled by appropriate recycling, treatment, containment, or disposal methods.) Source reduction may include modification of equipment or technologies; modification of processes or procedures; reformulation or redesign of products; substitution of raw materials; and improvements in housekeeping, maintenance, training, inventory control, or other operation and maintenance procedures. Pollution prevention also includes any project that protects natural resources through conservation in increased efficiency in the use of energy, water or other materials. "In-process recycling," in which waste materials produced during a manufacturing process are returned directly to production as raw materials on site, is considered a pollution prevention project. Pollution prevention SEPs are acceptable when the primary effect of the project occurs at the site where the alleged violation took place, at a different site in the same ecosystem or within the immediate geographic area of the site of the violation, or at another site or facility owned by the defendant or respondent. 10-51 May 1998 ------- EPA Initiatives and New Statutory Requirements In all cases, to meet the definition of pollution prevention, the project must produce an overall decrease in the amount or toxicity of pollution released to the environment, not merely a transfer of pollution among media. This decrease may be achieved directly or through increased efficiency (conservation) in the use of energy, water, or other materials. This requirement is consistent with the provisions of the Pollution Prevention Act of 1990 and the Administrator's "Pollution Prevention Policy Statement: New Directions for Environmental Protection," dated June 15, 1993. 10-52 May 1998 ------- EPA Initiatives and New Statutory Requirements Pollution Reduction SEPs Appropriate after pollutants or waste streams have been generated Accelerated compliance project ilNETl Pollution Reduction SEPs If the pollutant or waste stream already has been generated or released, a pollution reduction approach which employs recycling, treatment, containment, or disposal techniques ~ may be appropriate. A pollution reduction project is one that results in a decrease in the amount or toxicity of any hazardous substance, pollutant, or contaminant entering any waste stream or otherwise being released into the environment by an operating business or facility by a means that does not qualify as "pollution prevention." Such projects may include the installation of a more effective end-of-process control or treatment technology. They include "out- of-process recycling," a procedure by which industrial waste collected after the manufacturing process or postconsumer waste materials are used as raw materials for production off site, reducing the need for treatment or disposal or consumption of energy or natural resources. Pollution reduction may include an "accelerated compliance project," under which a defendant or respondent agrees to meet a forthcoming emissions reduction requirement substantially (for example, two years or more) before the regulatory or statutory deadline, resulting in significant reduction of pollution. Such a project, however, is not allowable if the regulation or statute provides a benefit (for example, a higher emissions limit) to the defendant or respondent for early compliance or results in the replacement of a pollutant with one of similar toxicity, without a significant reduction in quantity. 10-53 May 1998 ------- EPA Initiatives and New Statutory Requirements SEPs for Environmental Restoration and Protection Restore and protect natural and artificial environments Include remediation of buildings and facilities Application of environmental restoration and protection SEPs [SNETt SEPs for Environmental Restoration and Protection An environmental restoration and protection project is defined as one that goes beyond repairing the damage caused by a violation to enhance the condition of the ecosystem or immediate geographic area adversely affected. Such projects may be undertaken to restore or protect natural environments (such as ecosystems) and artificial environments, such as facilities and buildings. Also included is any project that protects the ecosystem from actual or potential damage resulting from the violation or improves the overall condition of the ecosystem. Examples of such projects include: reductions in discharges of pollutants that are not the subject of the violation to an affected air basin or watershed; restoration of a wetland along the same avian fly way in which the facility is located; or purchase and management of a watershed area by the defendant or respondent to protect a drinking-water supply when the violation (for example, a reporting violation) did not directly damage the watershed but could lead to damage arising from unreported discharges. This category also includes projects that provide for the protection of endangered species (for example, developing conservation programs or protecting habitat critical to the well-being of a species endangered by the violation). Projects affecting artificial environments, which may involve the remediation of facilities and buildings, are acceptable, provided such activities are not required by statute. Such projects include the removal or mitigation of contaminated materials, such as soils, asbestos, and leaded paint, that are a continuing source of releases or threat to individuals or the environment. 10-54 May 1998 ------- EPA Initiatives and New Statutory Requirements SEPs for environmental restoration and protection are acceptable when the primary effect of the project takes place at the site where the alleged violation occurred, at a different site in the same ecosystem or within the immediate geographic area, or at another facility or site owned by the defendant or respondent. 10-55 May 1998 ------- EPA Initiatives and New Statutory Requirements Assessment and Audit SEPs Must not be otherwise available as injunction relief Identity opportunities to reduce waste Include site assessments Include environmental management system audits Include environmental compliance audits Application of assessment and audit SEPs [fNETl Assessments and Audits Assessments and audits that are not otherwise available as injunctive relief are potential SEPs in this category. Assessments eligible to be treated as SEPs include pollution prevention assessments, as well as site assessments of the type described below. In some circumstances, audits of the environmental management system and compliance audits also are potential SEPs. Pollution prevention assessments are systematic, internal reviews of specific processes and operations designed to identify and provide information about opportunities to reduce the use and generation of toxic and hazardous materials and other wastes. To be considered SEPs, such assessments must be conducted under a recognized pollution prevention assessment or waste minimization procedure to reduce the likelihood of future violations. Site assessments are investigations of the condition of the environment at a site or of the environment affected by a site or investigations of threats to human health or the environment related to a site. Such assessments include, but are not limited to: investigations of levels or sources of contamination in any environmental medium at a site; investigations of discharges or emissions of pollutants at a site, whether from active operations or through passive transport mechanisms; ecological surveys related to a site; natural resource damage assessments; and risk assessments. To be eligible for SEPs, such assessments must be conducted in accordance with recognized protocols, if available, that are applicable to the type of assessment to be undertaken. 10-56 May 1998 ------- EPA Initiatives and New Statutory Requirements An audit of the environmental management system is an independent evaluation of a party's environmental policies, practices, and controls. Such evaluation may encompass the need for: (1) a formal corporate environmental compliance policy and procedures for implementation of that policy; (2) educational and training programs for employees; 3) purchase, operation, and maintenance programs for equipment; (4) environmental compliance officer programs; (5) budgeting and planning systems for environmental compliance; (6) monitoring, recordkeeping, and reporting systems; (7) in-plant and community emergency plans; (8) internal communications and control systems; and (9) hazard identification and risk assessment. An environmental compliance audit is an independent evaluation of a defendant's or respondent's compliance status under environmental requirements. Credit is given for the costs associated with conducting the audit. While the SEP should require prompt correction of all violations discovered by the audit, no credit is given for remedying the violation, since compliance with environmental regulations is required. In general, compliance audits are acceptable as SEPs only when the defendant or respondent is a small business. Since most large companies routinely conduct compliance audits, to mitigate penalties for such audits would reward violators for performing an activity that most companies already perform. In contrast, such audits are not commonly conducted by small businesses, perhaps because they are expensive. These types of assessments and audits are allowable as SEPs without a commitment to implementation on the part of the defendant or respondent. Implementation is not required because it is difficult to draft implementation requirements before the results of the study are known. Further, many of the implementation recommendations of such studies may constitute activities that are in the defendant's or respondent's own economic interest. Such assessments and audits are acceptable only as SEPs when the defendant or respondent agrees to provide EPA with a copy of their results. - These assessments and audits are acceptable as SEPs when the primary effect of the project occurs at the same facility, at another facility owned by the alleged violator, or at a different facility in the same ecosystem or within the immediate geographic area (for example, a publicly owned wastewater treatment works and its users). 10-57 May 1998 ------- EPA Initiatives and New Statutory Requirements SEPs that Promote Environmental Compliance Provides training or technical support to regulated parties Includes seminars and media campaigns Application of environmental compliance promotion SEPs flNETl SEPs that Promote Environmental Compliance An environmental compliance promotion project provides training or technical support to a regulated party to: (1) identify, achieve, and maintain compliance with applicable statutory and regulatory requirements; (2) avoid violations under such statutory and regulatory requirements; or (3) go beyond compliance by reducing the generation, release, or disposal of pollutants beyond legal requirements. For such projects, the defendant or respondent may lack the experience, knowledge, or ability to implement the project itself. If so, the defendant or respondent should be required to contract with an appropriate expert to develop and implement the compliance promotion project. Acceptable projects may include producing or sponsoring a seminar directly related to correcting widespread or prevalent violations within the defendant's or respondent's economic sector or conducting a media campaign funded by the defendant or respondent to discourage tampering with automobile pollution control equipment. SEPs for the promotion of environmental compliance are acceptable only when the primary effect of the project is focused on the regulatory program requirements that were violated and when EPA has reason to believe that compliance in the sector would be advanced significantly by the proposed project. For example, if the alleged violations involved violations of pretreatment requirements under the Clean Water Act, the compliance promotion SEP must be directed at ensuring compliance with pretreatment requirements. 10-58 May 1998 ------- EPA Initiatives and New Statutory Requirements SEPs for Emergency Planning and Preparedness Provide assistance to state and local planning entities under EPCRA EPCRA requires that facilities provide information on production, storage, and use of chemicals Application of emergency planning and preparedness SEPs fiNETl SEPs for Emergency Planning and Preparedness An emergency planning and preparedness project is defined as one under which a defendant or respondent provides assistance, such as computers and software, telephone and radio communication systems, chemical emission detection and inactivation equipment, HAZMAT equipment, or training for first responders to chemical emergencies, to a responsible state or local planning entity. Such assistance enables the planning entity to fulfill its obligations under the Emergency Planning and Community Right-to-Know Act (EPCRA) to collect information to assess the dangers of hazardous chemicals present at facilities within its jurisdiction, to develop emergency response plans, and to train emergency response personnel. Such SEPs enhance the response capabilities that are harmed directly or indirectly by the violations. EPCRA requires regulated sources to provide information on chemical production, storage, and use to state emergency response commissions (SERC), local emergency planning committees (LEPC), and local fire departments (LFD). States and local communities then can plan for and respond effectively to chemical accidents and inform potentially affected citizens of the risks posed by chemicals present in their communities, thereby enabling the authorities to protect environment or ecosystems that could be damaged by an accident. Failure to comply with EPCRA impairs the ability of states and local communities to meet their obligations and places emergency response personnel, the public and the environment at risk of harm from a chemical release. 10-59 May 1998 ------- EPA Initiatives and New Statutory Requirements SEPs for emergency planning and preparedness are acceptable when the primary effect of the project takes place within the same emergency planning district or state in which the violations occurred. Further, this type of SEP is allowable only when the SEP involves noncash assistance and when violations of EPCRA and reporting violations under CERCLA ง103 are alleged in the complaint. 10-60 May 1998 ------- EPA Initiatives and New Statutory Requirements Unallowable SEPs General public education University research Projects unrelated to environmental protection Studies without commitment Projects funded by low-interest federal loans or grants [SNETl Unallowable SEPs The following types of projects are not allowable as SEPs: General educational or public environmental awareness projects - for example, sponsoring public seminars, conducting tours of environmental controls at a facility or promoting recycling in a community Contribution to environmental research at a college or university Conducting a project that, although beneficial to a community, is unrelated to environmental protection for example, making a contribution to charity or donating playground equipment Studies or assessments unaccompanied by a commitment to implement the results Projects that are funded by low-interest federal loans or federal grants 10-61 May 1998 ------- |