Teledyne Technologies Incorporated
Environmental Management System Manual

Edition: November 2019

© Teledyne Technologies Incorporated 2002, 2019

November 2019

Teledyne Technologies Incorporated
Environmental Management System Manual
EXECUTIVE SUMMARY
The purpose of the Environmental Management System (EMS) Manual is to set forth the key
elements for incorporation into your facility’s written EMS. The EMS to be developed andimplemented, utilizing this Manual, is a set of written policies and procedures to guide the facility toachieve and maintain regulatory compliance through its environmental management practices. Each
Teledyne facility is required to have a written EMS. Procedures exist to exempt certain facilities that
do not impact the environment.
Note: Teledyne businesses and/or sites certified to ISO 14001 or equivalent Environmental
Management System are in substantial compliance with the Teledyne EMS Manual requirements
The EMS is designed to be flexible to adapt to each facility. Prior versions of the facility’s
EMS may be updated for incorporation into this written EMS.
In general, the facility EMS is comprised of eleven (11) key elements as outlined in Section 1of this Manual. Policies, procedures and informational tools, as well as assessment of operations for
impacts to the environment, will be required. To the extent not already done, the facility and its
management will also be required to:
•
•
•
•
•
•
•
•
•
•
•
•
•

Create a written organization plan for environmental management (EMS Article IV,§2.1).
Assign and communicate specific accountability and responsibilities for the facility EMS
and compliance therewith and evaluate performance based on EMS and facility
environmental compliance (EMS Article IV, §4.1).
Take disciplinary actions for environmental violations (EMS Article IV, §3.2).
Identify environmental requirements applicable to the facility and the ongoing process
for assessing operations to maintain continual compliance with applicable requirements(EMS Article IV, §4.1).
Implement management of change procedures and self-inspections procedures (EMS
Article IV, §4.2).
Implement procedures for identifying, reporting and correcting Environmental Incidents(EMS Article IV, §6).
Implement awareness and training plan and record keeping requirements (EMS Article
IV, §6).
Implement environmental considerations in business planning (EMS Article IV, §7.1).
Integrate environmental record keeping requirements (EMS Article IV, §8).
Implement a Pollution Prevention Plan (EMS Article IV §9).
Perform annual EMS compliance evaluations (EMS Article IV §10).
Perform compliance reviews and audits in conjunction with Teledyne’s environmental
compliance program (EMS Article IV, §10.3).
Certify annually to Senior Corporate Management that the Facility is in compliance with
EMS and applicable laws (EMS Article IV, §10.4).

This Manual should be used in developing and implementing the facility EMS. Feel free to callthe Corporate Environmental Management Team with any questions. Team membership and contact
information is available on the Teledyne EHS Intranet page.

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Teledyne Technologies Incorporated
Environmental Management System Manual
TABLE OF CONTENTS
Corporate Environmental Management TeamI.

Purpose and Scope

II.

Applicability

III.

Key Terms

IV.

EMS Program Elements
1.

Environmental Policy
1.1 Environmental Objectives
1.2 Policy Implementation
1.3 Policy Communication

2.

Organization, Personnel and Oversight of EMS
2.1 EMS Organization, Implementation and Maintenance
2.2 Duties, Roles, Responsibility and Authority
2.3 Communications

3.

Accountability and Responsibility
3.1 Accountability and Responsibility
3.2 Rewards and Penalties

4.

Environmental Requirements and Assessment, Prevention and Control
4.1 Assessment of Regulatory Applicability
4.2 Maintenance of Compliance Mechanisms

5.

Environmental Incident and Noncompliance Investigations
5.1 Reporting
5.2 Investigation and Corrective Action
5.3 Action Follow-up and Verification
5.4 Self-Testing of Environmental Incident and Non-compliance Investigation
Procedures

6.

Environmental Training, Awareness and Competency
6.1 Specific Education and Training
6.2 Awareness6.3 Competency

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7.

Environmental Planning and Organization Decision-Making
7.1 Environmental Planning
7.2 Targets, Objectives and Action Plans

8.

Maintenance of Records and Documentation
8.1 Records
8.2 Data Management
8.3 Release of Information to Outside Parties

9.

Pollution Prevention Program

10.

Continuing Program Evaluation and Improvement
10.1 Periodic EMS Evaluations
10.2 Facility Compliance Evaluations for EMS
10.3 Facility Compliance Evaluations
10.4 Certification of Compliance11.

Public Involvement/Community Outreach

12.

Other Topics
12.1 Communications with Regulatory Agencies
12.2 Procurement
12.3 Real Property Acquisitions and Dispositions

AppendicesA – Assessment Documentation Guidelines
B – Management of Change (MOC) Trigger Guidelines
C – Environmental Incident and Noncompliance Investigation andCorrective Action Procedure
D – Regulatory Inspection – Surprise or Scheduled
E – Attorney-Client Privilege and Attorney Work Product Privilege
F – Real Property
G – Environmental Reserves and Report
H – Form of Compliance Certification
I – Summary Description of Major U.S. Federal Environmental Statutes
and U.S. Federal Environmental Regulations Citations

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Teledyne Technologies Incorporated
Environmental Management System Manual
CORPORATE ENVIRONMENTAL MANAGEMENT TEAM
Contact information for Corporate Environmental Management Team members is posted to
the Teledyne EHS Intranet site (employee access only).
The Corporate Environmental Management Team is also known as the:•••Teledyne Environmental Management Team,
Corporate Environmental, Health and Safety Management Team
Teledyne Environmental, Health and Safety Management Team

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ENVIRONMENTAL MANAGEMENT SYSTEM MANUAL

Teledyne Technologies Incorporated
Environmental Management System ManualI.

Purpose and Scope

The purpose of the Environmental Management System (“EMS”) is to provide Teledyne’s
Operating Segments and their designated Facilities with a framework to continue to maintainand operate in compliance with applicable federal, state and local environmental laws,
regulations, permits and corporate policies (the “EMS requirement”). This Manual sets forth
guidelines in establishing and implementing a written EMS for those Facilities required todevelop and implement the EMS requirement (“Facility EMS”).
Each Facility General Manager has the primary responsibility to provide the appropriate
resources for developing and implementing the written EMS consistent with this Manual.
The EMS applies to the full range of business activities that may impact the environment or be
subject to environmental regulation. Health and safety considerations are intentionally not partof the Manual but are included in the Teledyne Health and Safety Management System Manual.
Operating Segments and Facilities, if consistent with Operating Segment guidance, are free toincorporate health and safety elements into their EMS if they so choose.
At a minimum, each Facility's written EMS must contain the following elements, each of which
is further explained herein:
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.

Environmental Policy
Organization, Personnel, and Oversight of EMS
Accountability and Responsibility
Environmental Requirements Identification and Assessment, Prevention and Control
Environmental Incident and Noncompliance Investigations
Environmental Training, Awareness and Competency
Environmental Planning and Organization Decision-Making
Maintenance of Records and Documentation
Pollution Prevention Program
Continuing Program Evaluation and Improvement
Public Involvement/Community Outreach

The policies contained in this Manual intentionally are general in nature in order to afford the
Operating Segments and their Facilities flexibility in developing a written EMS that will work
effectively. As long as the policies articulated in this Manual are met, Operating Segments andtheir Facilities can develop a written EMS uniquely suited to the environmental requirements
applicable to the activities at each location. A Facility’s written EMS may be a combination ofrelated policies, procedures and practices or a single document. However, the connection
between the management system elements must be clearly explained. All applicable aspects ofthe EMS must be in writing and must include an explanation of how each element meets thepolicies contained in this Manual.

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ENVIRONMENTAL MANAGEMENT SYSTEM MANUALThis Manual refers to the following appendices, which contain related requirements andadditional guidance
A – Assessment Documentation Guidelines
B – Management of Change (MOC) Trigger Guidelines
C – Environmental Incident and Noncompliance Investigation
and Corrective Action Procedure
D – Regulatory Inspection – Surprise or Scheduled
E – Attorney-Client Privilege and Attorney Work Product Privilege
F – Real Property
G – Environmental Reserves and Report
H – Form of Compliance Certification
I – Summary Description of Major Federal Environmental Statutes
and Federal Environmental Regulations Citations
II.

Applicability

This Manual applies to all Teledyne operations at which manufacturing operations orprocesses occur that impact, or have the potential to impact, the environment. In order for a
Facility to be exempt from the EMS requirement, the Operating Segment Environmental
Manager must certify to Senior Corporate Management that no manufacturing operations
occur at the exempt Facility or that there are no environmental impacts, or the potential for
impacts, at the exempt Facility. Facilities which are solely sales offices or administrative innature are not intended to be covered by the EMS requirement.
III.

Key Terms

Key terms used in this Manual and its Appendices have the following meanings:•

Compliance Mechanism – Procedure, practice, equipment, or operation
controlling an aspect of environmental compliance.

•

Corporate Environmental Management Team - A multi-disciplined Team,
responsible for development and implementation of the EMS, composed ofrepresentatives from the Operating Segments, and corporate environmental, legal,
auditing, engineering, and/or management. The Corporate Environmental
Management Team is also known as the Teledyne Environmental Management
Team, the Corporate Environmental, Health and Safety Management Team, andthe Teledyne Environmental, Health and Safety Management Team.

•

Environmental Incident – Anything that an Environmental Manager or Facility
Environmental Management Team determines (with appropriate consultation witha TDY attorney) may not be in accordance with corporate policy, applicable
procedures, federal, state, or local law or regulation in the environmental area.
The characterization of an event as an Environmental Incident does notnecessarily mean a violation of law has occurred. For purposes of this definition,

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any notification received from a regulatory agency such as a notice to comply,
notice of violation, etc., shall constitute an Environmental Incident. With respect
to chemicals spills, incidental and minor spills and releases where the substances
can be absorbed, neutralized, or otherwise controlled at the time of release by
employees in the immediate release area or by maintenance personnel incompliance with the Safety Data Sheet (SDS) guidelines shall not constitute an
Environmental Incident.
•

Environmental Observation –An employee’s observation of a situation,
condition, or event which he or she believes may not be in accordance withcorporate policy, applicable procedures, or federal, state or local environmental
law or regulations.

•

Facility – A physical structure (or structures) supervised by one General
Manager.

•

Facility Environmental Manager or Facility Environmental Management Team- The person or person(s) assigned the primary responsibility for environmental
issues at a Facility.

•

General Manager – The senior manager at a Facility.

•

MOC – Management of Change – See Manual Appendix B.

•

On-Site Service Provider – A subcontractor providing a service that affects
Facility environmental compliance.

•

Operating Segment – One or more Facilities of Teledyne set up as a separateorganization for purposes of management control.

•

Senior Corporate Management – The principal executive officers of Teledyne
Technologies Incorporated, including its Chief Executive Officer, Chief Financial
Officer, Controller and General Counsel.

•

TDY or Teledyne - Teledyne Technologies Incorporated and its consolidated
subsidiaries.

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ENVIRONMENTAL MANAGEMENT SYSTEM MANUALIV.

EMS Program Elements

1. Environmental Policy
It is the policy of Teledyne to continue to maintain and operate our businesses in fullcompliance with applicable environmental laws, regulations, permits and our
corporate Environmental Management System. It is also our policy promptly toevaluate and resolve any suspected instances of non-compliance. We recognize theimportance of our environment and natural resources and encourage all our
employees to embrace our responsibility to society when using and planning the useof natural resources. We shall take an active role in discovering and implementing
means to prevent harm to our environment and to our natural resources bycontinuous improvement in our environmental performance. Teledyne is committed
to providing adequate personnel and other resources to comply with applicable
environmental laws, regulations and permits and implement, maintain and improve
our Environmental Management System.
1.1. Environmental Objectives
In the conduct of its business this Operating Segment/Facility will seek to satisfy
the following environmental objectives:
1.1.1. Comply with applicable environmental laws and regulations. Compliance isa minimum obligation, and, where economically and commercially feasible,
compliance with more stringent voluntary standards should be achieved.
1.1.2. Make environmental issues (including staffing, budgets, recognition of
liabilities, technological alternatives, etc.) a part of business operating andplanning decisions.
1.1.3. Assign adequate personnel and other resources to environmental
compliance.
1.1.4. Conserve and make efficient use of energy and natural resources, which arerenewable, promote recycling and reuse of materials, and practice waste
minimization.
1.1.5. Whenever commercially possible, develop and provide products or services
that minimize environmental impacts and are environmentally responsible intheir intended use.
1.1.6. Provide information to interested parties on the use, transportation, storage
and disposal of products.
1.1.7. Develop and maintain adequate emergency preparedness plans incooperation with community services and authorities.

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1.1.8. Educate, train, and motivate our employees to conduct their activities in anenvironmentally safe and responsible manner.
1.2. Policy Implementation. Operating Segments/Facilities of TDY shall implement thispolicy through adoption and application of written policies, programs, andprocedures developed for their particular circumstances.
1.3. Policy Communication. TDY, with the assistance of its Operating
Segments/Facilities, shall communicate the environmental policy to all employees,
as the efforts of all employees are required to support the policy. TDY also iscommitted to communicate this policy publicly, via its website or otherwise.
2. Organization, Personnel, and Oversight of EMS
2.1

EMS Organization, Implementation and Maintenance
Overall responsibility for the maintenance of these guidelines, and for monitoring
Corporate EMS activities rests with the Corporate Environmental Management
Team. This team is under the direction of the TDY General Counsel’s office.
Overall responsibility for implementation and compliance with a Facility EMS rests
with the senior operating executive and the General Manager of the Facility.
At the Facility level, each Teledyne entity must have a written organization plan forenvironmental management. Each Facility shall also prepare written policies andprocedures that implement the objectives and mandates set forth in this Manual.
At a minimum, the environmental organization plan must identify the Facility
Environmental Manager or Facility Environmental Management Team, and the
Facility environmental contacts. The relationship between individuals with primaryenvironmental responsibilities to the overall management structure at the Facility
and Operating Segment must also be shown. The Environmental Manager, or amember of the Facility Environmental Management Team, must report directly to the
Facility General Manager or have a clearly defined means of effectively
communicating environmental issues to the Facility General Manager.
The Corporate office will maintain an organization chart that defines the structure andpersonnel of the TDY EMS.

2.2

Duties, Roles, Responsibilities and Authority
Either a Facility Environmental Manager or a Facility Environmental Management
Team must directly or indirectly oversee the EMS at each Facility. The
responsibility of the Facility Environmental Manager/Team is to administer the
EMS Facility-wide. If a team approach is used, one member must be designated as

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primarily accountable for team activities. The individual(s) who have the major
responsibility for administering the EMS should possess demonstrated
communication skills and an understanding of the underlying fundamentals ofenvironmental issues and technology (See Competency, Article IV, §6). Though the
Facility Environmental Manager (or the Facility Environmental ManagementTeam) has overall responsibility for developing and implementing the EMS, such
Manager or Team is not solely responsible for environmental compliance. The
efforts of all employees are required in achieving and maintaining environmental
compliance.
At minimum duties, roles, responsibilities, and authorities shall include thefollowing tasks:
2.2.1. Corporate Environmental Management Team2.2.1.1. Develop, implement and maintain a written EMS.
2.2.1.2. Verify each Facility has identified and dedicated adequate humanand financial resources necessary for development, implementationand maintenance of the Facility EMS.
2.2.1.3. Verify each Facility has retained a competent individual(s) to act
as the Facility Environmental Manager or Facility Environmental
Team.
2.2.1.4. Verify that Facilities have implemented the appropriate polices,
practices, procedures and activities to achieve and maintaincompliance with the EMS.
2.2.1.5. Provide environmental guidance to Facility personnel responsible
for EMS compliance.
2.2.1.6. Report to Senior Corporate Management on Facility compliancewith EMS policies and procedures.
2.2.1.7. Report to the Audit Committee of the Board of Directors of TDY
the results of audits conducted pursuant to Section 10.3.
2.2.2. Facility Environmental Manager or Environmental Management Team2.2.2.1. Administer the Facility EMS.
2.2.2.2. Develop, review and/or approve Facility EMS policies, practices,and procedures.
2.2.2.3. Identify appropriate human and financial resources to implement
and maintain the EMS.
2.2.2.4. Verify that the appropriate policies, practices, procedures andactivities are in place to achieve and maintain compliance.

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2.2.2.5. Provide direction and technical support to Facility personnel
responsible for EMS compliance.
2.2.2.6. Communicate EMS related information to affected Facility
employees.
2.2.2.7. Stay abreast of environmental regulations relevant to Facility
operations.
2.2.2.8. Work with Facility personnel to develop and implement adequate
and timely training programs for employees, contractors, and otherthird party consultants where appropriate.
2.2.2.9. Be accountable and responsible for the enforcement of EMS
requirements.
2.2.3. Employees Who Have Environmental Responsibilities
2.2.3.1. Follow Facility EMS policies, practices and procedures.
2.2.3.2. Report to the Facility Environmental Manager or Facility
Environmental Management Team all unsafe conditions, accidents,and exceptions to known EMS requirements.
2.2.3.3. Perform job in a compliant and environmentally safe manner.
2.2.3.4. Be responsible and held accountable for compliance with EMS
requirements applicable to job.
2.2.3.5. Suggest improvements in the EMS and in environmental activities.
2.3. Communications
The Facility Environmental Manager or the Facility Environmental Management
Team shall develop a plan to, or define effective mechanisms, that:
2.3.1

Advise senior Facility management and the Corporate Environmental
Management Team of environmental issues and problems. (See Article IV,§5.)

2.3.2. Communicate specific instructions to employees with key EMS related
responsibilities. (See Article IV, §3.)
2.3.3. Disseminate environmental information to specific departments or the generalemployee population. (See Article IV, §6.)
2.3.4. Communicate or flow down corporate environmental requirements to vendors,
contractors, customers, or other third parties. (See Article IV, §3.)

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2.3.5. Facilitate feedback from Facility personnel and external parties related toenvironmental deficiencies or concerns, and to respond to those concerns in atimely manner. (See Article IV, §5.)
Mechanisms to accomplish these objectives may include, but are not limited to, staff
meeting presentations, training sessions, newsletters, e-mails, desk instructions,standard disclosures and disclaimers, and the like. Related guidance may be found inother elements of this Manual.
3. Accountability and Responsibility
3.1

Accountability and Responsibility
The TDY Chief Executive Officer is accountable and responsible for direction andcontrol of the environmental performance of the corporation. In turn, each Operating
Segment Senior Operating Executive and each General Manager is accountable andresponsible for their operations. The assigned Environmental Manager or Facility
Environmental Management Team is accountable and responsible for the operation of
the Facility EMS. All employees are accountable and responsible for their actions.
On-site service providers and contractors are accountable and responsible for theiractions and compliance with the EMS as it applies to their respective contracted
operations or services.
Specific accountability and responsibility must be assigned in the following areas:•

Developing environmental Compliance Mechanisms;•

Assuring that Compliance Mechanisms are properly operating;•Appropriate reporting to regulatory agencies; and•Follow-up on identified problems and corrective actions.

Assignments of accountability and responsibility should be documented. Suchdocumentation can include organizational charts, job descriptions, or functionaldescriptions in Facility operating procedures. These assignments should also be
communicated to all employees and on-site service providers and contractors to ensurethat they are clearly understood.
Accountability shall be part of annual performance evaluations of applicable
employees, including the Operating Segment senior operating executive, the General
Manager and the assigned Environmental Manager or Facility Environmental
Management Team.

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3.2

Rewards and Penalties
Management and other employees with accountability and responsibility for a Facility
EMS shall be evaluated, in part, for their environmental performance in their annual
performance evaluations. Performance reviews for these employees must consider the
status of annual objectives related to EMS compliance. Management and other
employees shall be subject to disciplinary actions (including termination of
employment) if they violate environmental regulations and procedures. Each Facility
shall develop a disciplinary action plan. The plan shall identify categories of violations
and the associated disciplinary action. Facilities may integrate this plan into existing
disciplinary action plans or procedures.
Each on-site service provider and on-site contractor with accountability andresponsibility for EMS compliance and environmental performance shall be evaluatedfor their environmental performance. Substandard performance will be grounds for
dismissal or contract revocation. Performance shall be reviewed as necessary but atleast during contract or purchase order renewal. Purchase Orders to service providers
and contractors must not relieve them of their accountability for their actions and theenforcement provisions of laws and regulations that apply to their services or actions.

4. Environmental Requirements and Assessment, Prevention and Control
This section sets forth the steps to be taken by the Facility to identify (1) the regulatory
requirements that are applicable to each Facility, and (2) the process for assessing operations
and maintaining continual compliance with applicable regulatory requirements, including
how to deal with changes to those operations and regulatory requirements. Appendix A
contains a more detailed explanation of the process described at Section 4.1 below andincludes mandatory documentation requirements. Accordingly, the provisions of Appendix
A must be incorporated into each Facility EMS. Steps in this process include:
4.1 Assessment of Regulatory Applicability
4.1.1. Conduct an assessment of operations that includes a documented
inventory of waste streams, regulated materials, and regulated processes;
4.1.2. Identify the laws and regulations applicable to the waste streams,
materials and processes identified in §4.1.1 above;
4.1.3. Identify permits and other authorizations required for operation of the
Facility;
4.1.4. Determine whether the Facility complies with applicable regulations andpermits. The method of compliance must be identified.
4.1.5. Determine operations and activities that require written standard
operating procedures (SOPs) to assure satisfactory control in preventing

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unauthorized environmental releases or violations and develop such
SOPs.
4.1.6

4.2

Develop procedures that (i) assign responsibility and accountability toappropriate Facility personnel for compliance with applicable
environmental requirements and (ii) communicate applicable job
responsibilities to Facility personnel. Procedures should also ensure that
contractors or service providers who are identified as persons that are
responsible for compliance must enter into appropriate writtenagreements that define those responsibilities in accordance with TDY’s
environmental policy and this Manual. See related guidance at Article
IV, §12.2.

Maintenance of Compliance Mechanisms
Develop procedures to ensure (i) operations are compliant, (ii) changes tooperations are compliant, (iii) knowledge of applicable regulations and changes
thereto, and (iv) Compliance Mechanisms are operating as designed. These
procedures include:
4.2.1

Management of Change (MOC)
Implement a practice that evaluates the environmental impacts ofproposed changes in the following change categories:
•
•
•
•
•
•
•

Raw Materials;
Products;
Processes;
Facilities (including equipment and maintenance activities);
Personnel;
Corporate or Facility requirements; andFederal, state, and local regulations.

The objective of this element is the systematic and periodic review of
those changes that have a potential environmental compliance impact.
In the context of this EMS, MOC applies to changes, including
temporary changes that occur at operating facilities. It requires thedevelopment of procedures and practices, which require appropriate
evaluation of the environmental impacts of proposed changes prior toapproving or implementing those changes. This objective should beaccomplished by requiring environmental management review andwritten sign-off of all proposed changes satisfying one or more criteria(i.e. triggers) as outlined in Appendix B of this Manual. For more
efficient resource use, MOC procedures should also address thediscontinuation of processes, relaxation of regulations, and other changes
that might imply that certain controls are no longer necessary.
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The requirement to monitor changes in applicable local, state orfederal regulations should be part of a general MOC overview process,and should also be the responsibility of the Facility Environmental
Manager or Facility Environmental Management Team. The manager
or team shall identify sources of regulatory update information andperiodically review these sources for changes to applicable
environmental requirements. Examples of regulatory update sources
include, but are not limited to:•Federal, state, and local web pages, mailing lists, newsletters, etc.
for regulatory update information;•

Environmental training/regulatory update seminars;•

Regulatory update service providers (BNA, Enflex, etc.); and•The Corporate Environmental Management Team.

Changes shall be made in the Facility EMS and in supporting procedures
and Compliance Mechanisms if regulatory changes affect the system.
Changes shall be communicated to the responsible person or team and toon-site contractors or service providers that are affected.
4.2.2

Self-Inspections
Self-inspections by line managers and trained personnel are to be
conducted periodically on processes or operations where equipment
malfunctions, equipment deterioration, operator error, or unplanned
discharges or emissions could lead to:

•
•
•
•

unauthorized releases of hazardous waste or pollutants to theenvironment;
substantial endangerment of the environment;
violations of environmental laws or regulations; orbreach of contractual requirements (for example, a lease).

These required self-inspections are to verify operations are in compliancewith environmental requirements. The frequency of inspections is to bescheduled appropriate to the risk and documented on an inspection log orother appropriate record. Related topics are also addressed at Article IV, §12
below.

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5.

Environmental Incident and Noncompliance Investigations
5.1 Reporting
Each Facility shall develop a procedure for the identification and reporting of potential
violations and release incidents. Procedures should address both internal reporting andresponsibilities related to any required disclosures to external regulatory agencies.
There must be a problem reporting system that is initiated by the first observer of aproblem and that defines the chain of incident reporting, i.e. the sequence of whom tonotify and back-up personnel to contact when primary contacts are not available.
Guidelines for notification of Operating Segment management or the Corporate Legal
Department representatives should also be incorporated in the procedures. The
guidelines set forth in Appendix E (Attorney-Client Privilege) must be consideredwhen developing notification procedures. The process must be integrated withemergency reporting procedures for incidents, which may require immediate response
and/or reporting. If an immediate external notification is required, notification shall be
made, and the Corporate Legal Department shall be promptly advised of thecircumstances underlying the notification.
Notifications or communications on potential noncompliance areas that do not require
immediate notification to a government agency, per regulatory requirements, shall be
communicated to the Facility Environmental Manager or Facility Environmental
Management Team and the Corporate Legal Department before contacting thegovernment agency.
A sample procedure for the reporting of Environmental Incidents and follow up to
those reports are included in Appendix C.
5.2

Investigation and Corrective Action
Each Facility shall develop a procedure for investigating and promptly addressing
potential or actual regulatory violations related to environmental requirements.
Potential violations may also be determined during Regulatory Agency inspections.
Facilities should follow Appendix D guidelines if Agency inspections occur.
Once a situation is identified a root-cause analysis technique shall be used ininvestigations to help assure that corrective actions are taken on the correct cause. The
practice may vary with the critical nature of the problem (i.e., from simple discussion
and agreement up to formal problem analysis reports and action plans). Corrective
actions must limit or prevent the future occurrence of the problem. Corrective action
target dates should reflect the criticality of the problem and be evaluated forappropriateness along with the proposed actions. See Appendix C for a sample
Investigation and Corrective Action Procedure.

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5.3

Action Follow-up and Verification
Each Facility shall implement a follow-up system that will be used to verify that
corrective and preventive actions were taken and were effective, and to ensure thatthe initiator of the finding is advised as to the disposition of the issue. Thisadvisement may range from a simple follow-up visit by the environmental
representative at some stated period after the scheduled corrective action to formal
posting of investigation activities. Regardless of the system used, follow-up mustensure that delinquencies in the completion of corrective actions are identified,reported and addressed. See Appendix C for a sample Investigation and Corrective
Action Procedure.

5.4

Self-Testing of Environmental Incident and Non-compliance Investigation
Procedures.
These procedures shall be evaluated as outlined in Section 11.

6.

Environmental Training, Awareness and Competency
6.1

Specific Education and Training
Each Operating Segment or Facility shall implement a written training plan that
effectively provides basic environmental education, and continuing training, to enable
employees to understand and fulfill the environmental responsibilities of their position.
Education and training are a critical element of a strong and effective environmental
management system. The objective of the education and training is to provide
employees with the level of knowledge necessary for them to properly execute theenvironmental responsibilities of their job positions or assignments.
The training plan must identify the type, amount, and current status of required
training for employees and/or categories of employees. Employees must receive alevel of environmental training appropriate to their job responsibilities. Training needs
satisfaction must be documented. Records of completed training shall be maintained.
Examples of required training include but are not limited to: hazardous waste worker
training for hazardous waste generators and RCRA treatment/storage/disposal
facilities; Department of Transportation general awareness, job specific, andhazardous material safety training for HazMat employees; and OSHA hazard
communication training for employees who work with or are exposed to hazardous
materials.

6.2 Awareness
Each Facility shall develop a written plan that describes the process for ensuring
employees are aware of environmental policies and procedures, applicable
environmental requirements, and their roles and responsibilities within the EMS. This

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may include use of posters, supervisor discussions, meetings, written materials,
videos, etc.
The Facility EMS should also address the process by which any employee can raisequestions or concerns related to environmental matters and/or their responsibilities,
and the method by which environmental management will respond to each suchquestion or concern. While it should not be regarded as the first means by which an
employee can raise questions or concerns related to environmental matters,
employees should feel free to contact and not be dissuaded from contacting the
Corporate Ethics Help Line (1-877-666-6968) with environmental issues orconcerns.
6.3 Competency
Each Facility shall develop a process for ensuring personnel responsible for meetingand maintaining compliance with environmental requirements are competent.
Competency determinations shall be based on education, training and experience.
Competency determination may be performed by supervisor review andcertification, testing or other means.
7. Environmental Planning and Organization Decision-Making
7.1 Environmental Planning
In conjunction with Article IV, Section 4.2.1 above on MOC procedures, the EMS
must describe how environmental planning is integrated into the organizational
decision making process for plans and programs such as: capital improvement
plans, new product plans, product and process improvement plans, new processdevelopment plans, training and maintenance programs, etc. As a minimum, thisshould require environmental management review and approval of these types ofactivities when there is a clearly apparent or potential environmental impact orwhen specifically defined triggers (Appendix B) have been reached.
7.2

Targets, Objectives and Action Plans
In the event a Facility is in non-compliance with an environmental requirement, theFacility must establish targets, objectives, and action plans for achieving andmaintaining compliance with the subject environmental requirement. The activities
of on-site service providers and contractors must be included when applicable.
Action plans must identify how progress towards targets and objectives are tracked
and reported.

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ENVIRONMENTAL MANAGEMENT SYSTEM MANUAL

8. Maintenance of Records and Documentation
8.1

Records
The Facility EMS shall identify the minimum requirements for records anddocumentation. These records and documents shall include those required byregulation, by provisions elsewhere in this EMS, or those otherwise mandated byOperating Segment or Corporate Management. (Appendix G - Quarterly
Environmental Reserves and Report - sets forth one set of required environmental
reports required by the Corporate Legal Department.)

8.2

Data Management
The Facility shall develop a written data management system that provides formaintenance of required records and documentation. This system shall define,among other things:

8.3•

The individuals or groups who "own" the document (i.e. those who have theaccountability for maintenance and update)•

The requirements for keeping logs and tracking records up-to-date. This
includes, for example, the frequency with which waste-monitoring records
should be updated.

•

The control requirements for procedure and other reference document
management. (A tie-in to other Facility document management or librarysystems should be considered.)•

Location of records and physical access controls.

•

Record retention requirements (as described by regulation or Corporate
directive).

Release of Information to Outside Parties
The Facility shall have written procedures related to release of records. These
procedures should require that original records not be released outside of the controlof the responsible person unless directed in writing. Copies should be provided
instead of originals whenever possible. Neither copies nor originals shall be
released outside of the Facility without Corporate, Legal Department and General
Manager approval. Nothing in this requirement is intended to interfere with timely
and cooperative disclosure of any data to governmental officials pursuant to asearch warrant, subpoena, or other legal enforcement mechanism. (Additional
discussions related to this topic are included at Appendix D regulatory inspections.)

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ENVIRONMENTAL MANAGEMENT SYSTEM MANUAL

9. Pollution Prevention Program
The Facility shall develop a Pollution Prevention Plan (“PPP”) that describes how that
Facility will encourage the prevention, reduction, recycling, reuse, and minimization ofwaste and emissions. Procedures that encourage the substitution to environmentally
preferable materials shall be included in the PPP. Proposed pollution prevention actions,
including the use of substitute materials, shall be documented, tracked, and evaluated for
efficacy by the Facility Environmental Manager or Facility Environmental Management
Team. The PPP may be integrated into PPPs (e.g. waste minimization, source reduction,etc.) required by government agencies.
10. Continuing Program Evaluation and Improvement
10.1 Periodic EMS Evaluations
The Facility EMS shall require, at least annually, an evaluation of the EMS byappropriate personnel including the Facility Environmental Manager and/or Facility
Environmental Management Team. This evaluation shall look for program
improvement opportunities. Viable program improvement opportunities shall beincorporated into the Facility EMS (subject, as necessary, to review and approval
by Operating Segment or Corporate senior management.) If needed, action plans
for the change(s) shall be developed. These changes to the EMS shall bedisseminated as required by Section 4 above. Action plans shall also becoordinated with and disseminated to affected personnel, including employees, onsite contractors, vendors and suppliers.
10.2 Facility Compliance Evaluations for EMS
Each Facility shall develop a program for periodic evaluation of Facility
compliance with environmental requirements. Facilities may also consider using anaudit program conducted by Corporate or Operating Segment environmental
personnel as a supplement to the internal evaluation. (Reviews conducted byoutside parties do not, however, eliminate the need for internal evaluations.)
Results of internal evaluations or of audits shall be reported to the General Manager
and the Operating Segment Environmental Manager/Corporate Environmental
Management Team who shall include the data in their report to upper management.
Required corrective actions should be established and monitored in accordance withrequirements outlined at Article IV, Section 5 above.
10.3 Facility Compliance Evaluations
Each Facility shall participate in environmental compliance reviews and audits
conducted by the Corporate Environmental Management Team pursuant to suchscope and procedures set forth by Senior Corporate Management.

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ENVIRONMENTAL MANAGEMENT SYSTEM MANUAL

10.4 Certification of Compliance
Within thirty (30) days of the end of each fiscal year, the General Manager andEnvironmental Manager for each Facility subject to the EMS shall certify to thebest of their knowledge, after due inquiry, that their Facility is in compliance withthe requirements of EMS and applicable environmental laws. The form ofcertification to be submitted to Senior Corporate Management is attached as
Appendix H to the EMS Manual.
In 2016, Teledyne published the Teledyne Health and Safety Management System(HSMS) Manual which required, among other things, an annual certification ofcompliance with the HSMS and applicable health and safety laws. In 2019, theenvironmental and health and safety certifications were combined into a single
certification.
11. Public Involvement/Community Outreach
Each Facility EMS shall consider fostering ongoing community education andinvolvement in the environmental aspects of the Facility’s operations. Generally, these
efforts would be applicable to Facilities with operations that could have a significant
environmental impact on the surrounding community, or when required by permit,
regulation or as a legally mandated remedy pursuant to an Notice of Violation or otherfinding. Any such activities or programs must be coordinated with the Corporate Legal
Department.
12. Other Topics
12.1

Communication with Regulatory Agencies
The Facility Environmental Manager or Facility Environmental Management
Team should communicate with local/state environmental personnel andagencies on technical matters, environmental requirements, submittals of
required data, etc., if appropriate.

12.2

Procurement
Outside vendors, consultants or other parties may be engaged to provide
environmental related services. These include such things as waste disposal ortreatment, installation and maintenance of control equipment, advice on EMS
development and regulatory compliance, and remediation. Procedures should be
implemented by the Facility to provide that:•

November 2019

The party should be adequately evaluated for its ability to perform. This
includes, but is not limited to, such steps as a review of financial fitness,
technical capabilities, and time and resources available to service Facility
needs. Due to the potential for long term liability, a site visit to waste

17

ENVIRONMENTAL MANAGEMENT SYSTEM MANUAL

treatment, storage and disposal facilities may also be warranted before
these entities are engaged.

12.3

•

Any consultant engaged to perform environmental-related services
normally performed by a Facility employee must be approved by the
Corporate Environmental Management Team. Such services are
generally defined as on-going EMS maintenance and include such things
as development and implementation of environmental controls, waste
stream identification, liaison with regulatory agencies, maintenance andrenewal of licenses and permits, and development and tracking ofcorrective actions. This approval is to ensure that such consultants areengaged only when it is not technically or economically feasible todevelop the required expertise in-house.

•

Adequate contractual terms and conditions should govern thetransaction. It is corporate policy that an attorney in the TDY Legal
Department review such contracts.

•

Though the Facility Environmental Manager or Facility Environmental
Management Team will be closely involved in vendor selection, theengagement should be coordinated by the Facility purchasing orcontracts department, or whatever department normally handles similar
outside procurements. This is to ensure that the Facility adheres tovarious Corporate and Facility requirements related to negotiations,purchasing documentation, source selection, and the like.

Real Property Acquisitions and Dispositions
Attached as Appendix F hereto are guidelines to be used when considering thepurchase or sale of any real estate. In addition, a Facility’s management
should consult the Corporate Legal Department in connection with suchtransactions.

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ENVIRONMENTAL MANAGEMENT SYSTEM MANUAL

Appendix A
Assessment Documentation Guidance
Section 4 of the EMS requires that each Facility assess periodically its operations, identify
applicable regulations, permits and other requirements, determine whether they are incompliance, and develop Compliance Mechanisms in areas where they are lacking. Thisappendix provides instructions for completing this process. It also identifies mandatory
documentation requirements, as well as suggested categories of additional documentation.
STEP 1 – Assessment of Operations
Each Facility shall assess its operations for compliance with applicable environmental
laws and corporate or Facility procedures consistent with the objectives of thisManual. This assessment shall include a review of those operations and waste steams
where equipment malfunctions, equipment deterioration, operator error, or unplanned
discharges or emissions could lead to:••••unauthorized releases of hazardous waste or pollutants to the environment;
substantial endangerment of the environment;
violations of environmental laws or regulations; orbreaches of contractual requirements (for example, a lease).

Minimum requirements for this assessment and supporting documentation are
included in Sections 1.1 through 1.3 of this Appendix A.
1.1 Waste streams
Each Facility shall develop a profile for all waste streams. Waste streams include
regulated and non-regulated air, liquid, and solid waste emissions. The profile shall
include sufficient information to allow a regulatory applicability determination to be
made. For each waste stream or emission source the following information must be
identified and documented:•

Name of waste stream.

•

Waste stream/regulatory status:i.
Federal hazardous wasteii.
Universal wasteiii.
State hazardous wasteiv.
Excluded waste stream, e.g. 40 CFR part 261.4 (a)v.
Solid non-hazardous waste
vi.
Regulated air discharge
vii.
Exempt air discharge
viii.
Regulated wastewater discharge

Appendix A
November 2019

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ENVIRONMENTAL MANAGEMENT SYSTEM MANUAL

ix.
x.
xi.
•

Exempt wastewater discharge
Regulated storm water discharge
Exempt storm water discharge

Waste Stream Characteristics (include sufficient information to document
your regulatory status determination made above in clause b).
For example, information regarding pH, flammability, metals content, etc.
may be sufficient to properly characterize a solid waste; information regarding
emission rates or type of pollutant may be sufficient to characterize an air
emission as exempt; information regarding outdoor activity may be sufficient
to characterize storm water as exempt.

•

The waste disposal method (e.g. discharge to air, discharge to pollution
control device, discharge to sewer, containerized and shipped off-site for
disposal or recycling, disposed of on-site, etc.).

•

The person responsible for maintaining waste stream profiles.

For ease of use and future maintenance, it is recommended that waste stream data be
accumulated in an electronic database.
1.2 Regulated Materials
Each Facility shall develop and maintain a list of regulated materials. At aminimum, the list should identify the following types of information:
•
•
•
•

•

Appendix A
November 2019

Manufacture’s name.
Product name.
Constituent chemical information including CAS number and fractional
content expressed as percent by weight or volume.
Maximum quantity on site at any given time during each calendar year for all
hazardous chemicals regulated under EPCRA Sections 302, 311, & 312, i.e.,
40 CFR Part 355 and 370 (EHS notification and Tier II Report), but only if
maximum inventory quantity exceeds 50% of the regulatory reporting
threshold. Note for California facilities - the inventory reporting thresholds forhazardous materials are 55 gallons, 500 lbs., or 200 cu. ft. for compressed
gases.
Annual site usage for all materials regulated under EPCRA Section 313, i.e.,
40 CFR Part 372 (Form R report), but only if maximum annual usage exceeds
50% of the applicable reporting threshold.

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ENVIRONMENTAL MANAGEMENT SYSTEM MANUAL

Identification of person(s) responsible for maintaining regulated material list.
Reference may be made to Material Safety Data Sheet (MSDS) databases or
abstracts, but the Facility-specific information must be included.

•

1.3 Regulated Equipment and Processes
Each Facility must develop a list of equipment and processes that are subject
to environmental regulations, (e.g., pollution control equipment, halogenatedsolvent degreasers, refrigeration equipment, radiation-emitting equipment,
waste water treatment systems, etc.) These lists should contain the following
types of information:••••

Name of equipment.
Identification of authorized operators.
Location of equipment.
Person responsible for maintaining regulated equipment.

STEP 2 - Requirements Evaluation
This step requires facilities to identify systematically all applicable environmental
requirements.
The environmental requirements that a Facility must meet are contained in: 1) the bodyof federal, state and local regulations; 2) the environmental permits in force; and 3) otherrequirements (e.g., Administrative Consent Orders, Unilateral Orders, investigation/remediation requirements, agreements with agencies). Additional requirements may arise
from specific corporate or Facility procedures or practices. Appendix I provides a list offederal regulations that may affect TDY Facilities. Local and State regulations are notincluded in this list but must be included as part of the environmental requirements
evaluation. Facilities located in the same state or county are encouraged to shareacquired information, but the regulatory review must be specific to a Facility.
The Corporate Environmental Management Team utilizes a commercial software
program to assist with environmental compliance evaluations. This tool will be madeavailable upon request to each facility.
Questions regarding regulatory interpretation that cannot be answered by Facility
personnel shall be directed to the Corporate Environmental Management Team. This
includes situations where outside parties such as government officials, consultants, ortraining and seminar leaders provide guidance that may be at variance with current
practice or contrary to other current regulatory interpretations. Examples would be
advice that a permit currently in place was no longer required, or that compliance with aregulation could be waived. In all such situations, the concurrence of the Corporate
Environmental Management Team must be obtained. This is particularly important in
the case of verbal representations by regulators allowing deviations from requirements.
Appendix A
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ENVIRONMENTAL MANAGEMENT SYSTEM MANUAL

Where possible, the Facility should ask for written confirmation from the regulators. To
avoid future misunderstandings, all such representations must be evaluated by the
Corporate Environmental Management Team before any changes to existing compliancesystems are implemented.
Once all applicable regulations are identified, electronic or hardcopy versions must be
available at the facility. The actual documentation used will depend on the complianceassessment method developed pursuant to STEP 3 requirements below.
Permits:
Special documentation requirements exist for permits. Each Facility shall develop alist of all environmental related permits (e.g. air, water, industrial waste water
discharge, National Pollutant Discharge Elimination System (NPDES), hazardous
waste, storm water, hazardous material, radioactive material or equipment, boiler,pressure vessel, etc.) At a minimum, these lists should identify the following types of
information:
•
•
•
•
•
•
•

Permit name and description.
Permit identification number.
Issuing agency.
Renewal or reapplication date.
Expiration date.
Identification of person responsible for maintaining/revising/updating/renewing
permit.
Location of permits.

Facility personnel may find that this process requires multiple iterations of STEPS 1 and2. For example, the initial identification of regulated processes may have to beaugmented if a review of the regulations indicates some applicability not previously
recognized.
STEP 3 – Assessment of Facility Compliance
After determining the applicable requirements, the reviewer must identify a responsible
person or team and identify a Compliance Mechanism for each requirement. This is toassure that each Facility meets its compliance requirements on a continuous basis.
Contractors or service providers may also be identified as responsible persons. As
required, the Facility shall develop new procedures or establish new Compliance
Mechanisms. The detailed process essentially associates each identified requirementwith related compliance information as follows:

Appendix A
November 2019

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ENVIRONMENTAL MANAGEMENT SYSTEM MANUAL

The applicable regulatory provision, permit provision, or other requirement is listed. For
each listed item the following information is developed and posted to the
documentation:•

Is the Facility in compliance? To answer this “yes” or “no”’ requires an evaluationof existing controls and a determination whether those controls in place are adequate
and operating as designed. Whenever a determination is made that the Facility may
not be in compliance with a regulatory requirement, reporting should follow theprocesses outlined in Article IV, §5.1 of the EMS Manual.

•

What is the method of compliance? In most cases, the documentation shouldreference some internal facility written procedure. Acceptable methods ofcompliance might also include calendars (to advise of required reporting due dates),
training (job instructions and training in some rudimentary control environments
might be a sufficient alternative to written procedures) and engineering controls (e.g.
a mechanical valve that would shut off outflow if pH limit exceedances weredetected). There may be other means of compliance identified, but each method
must be evaluated sufficiently to determine that it is effective.

•

Is a written procedure required? Each Facility shall review its assessment anddetermine those operations and activities that require written Standard Operating
Procedures (SOPs). These procedures should be developed to reduce the risk ofunauthorized environmental releases or regulatory violations. Subject operations
could include, for example:• Complex operations;• Areas where backup or alternate personnel may not be fully cross-trained;• Areas with high turnover in personnel;• Areas requiring training;• Activities that require record keeping, monitoring, inspection, reporting etc.;
and• Activities that require equipment maintenance, testing, monitoring,etc., pursuant to regulatory or permit requirements.

•

Who is responsible for compliance? The documentation should reflect either aperson or entity that will be accountable for ensuring that the method of complianceis properly functioning. This should be a person or organization with sufficientcognizance of and “hands-on” proximity to the process.

To properly document this information, the Corporate Environmental Management
Team suggests that a spreadsheet type matrix be developed that lists the requirement in
the left column, with the other data posted to the right. Another practicable alternative is
to make copies of actual regulations on wide paper, highlight the applicable sections,and, post the compliance information to the right. Any approach is acceptable that
effectively captures the required information and is capable of being updated.
Appendix A
November 2019

A-5

ENVIRONMENTAL MANAGEMENT SYSTEM MANUALSTEP 4 – Develop and Document Methods of Compliance
When the assessment indicates that the Facility is not in compliance with all applicablerequirements, or when methods of compliance are not adequate to ensure continued
compliance, those methods must be developed. This will necessitate task assignments,
establishment of target completion dates, final reviews and other project management
tools to ensure that the controls are successfully implemented.
As discussed in STEP 3 above, the method of compliance will often need to be
documented in a written procedure. In addition to assignment of responsibilities,
detailed instructions, and other standard contents, written procedures should also include
provisions for self-inspections, peer reviews, or other techniques to ensure that thecontrols retain their effectiveness. For example, a requirement to prepare a log should
also include a provision requiring a supervisor periodically to review for completenessthe log.
Each Facility should also have a uniform process for documenting, reviewing,
approving, releasing and maintaining written EMS related procedures. Environmental
personnel must be included in the approval process if they are not directly involved in
the preparation of the procedures. It is recommended that this process be integrated into
any existing document control or library systems already in place.
STEP 5 - Communication and Training
Once methods of compliance have been developed, and supporting procedures
written, they must be communicated to responsible employees. This should usually
be accomplished by formal training, either in a group or one-on-one environment.
Coincident with this training, employees should be made aware of the physical or online location of written procedures, and/or provided with those procedures. To beeffective, training should also include some method, such as testing or otherfeedback, to ensure that the information is properly understood by the targeted
employee or group. Generally, the posting of new information without targeting
specific employees or groups, and without some feedback or acknowledgement, is not
acceptable.
Contractors or service providers who are also identified as being responsible forcompliance must enter into appropriate written agreements that define their
responsibilities in accordance with TDY’s environmental policy and the EMS
Manual. See related guidance at Article IV, §12.2 of the EMS Manual.
ADDITIONAL MANDATORY DOCUMENTATION
To support the compliance process, maintenance of the following documentation is also
mandatory.
Inspections and Monitoring Schedules
Appendix A
November 2019

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ENVIRONMENTAL MANAGEMENT SYSTEM MANUAL

Each Facility shall develop a list of all environmental-related inspections, audits,reviews, surveys, tests, monitoring (emission or exposure), qualifying exams, medical
tests, etc., that require initial and/or periodic performance. These lists shall identify thefollowing types of information:
•
•
•
•
•
•
•

Description of inspection, monitoring, review, etc.
Regulatory citation or permit requirement.
Frequency of inspection/monitoring/review, etc.
Person responsible for conducting inspection/monitoring.
Person responsible for notification or report submittal if inspection/monitoring/
review, etc. requires reporting.
Location of inspection/monitoring/ review, etc., records.
A cross-reference to any control procedures related to inspection and monitoring.

Plans and Reports
Each Facility shall develop a list of all environmental related reports, plans, tax returns,
notices, warnings, postings, etc. that require periodic submittal to government agencies,
employees, the public, customers, vendors, contractors, or other interested parties.
Plans and reports that do not require initial or periodic submittal but must be
maintained pursuant to regulatory or permit requirement (e.g. contingency plans, spill
prevention control and countermeasure plans, storm water pollution prevention plans,source reduction evaluation review and plans, etc.) are also included in this category
These lists shall contain the following types of information:
•
•
•
•
•
•

Plan or report description including regulatory citation.
Frequency of submission or update.
Due date or review date.
Agency or person to whom the submittal is made.
Employee responsible for report submittal or plan maintenance.
Location of copies of submitted reports, records, and/or plans.

Appendix A
November 2019

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ENVIRONMENTAL MANAGEMENT SYSTEM MANUALSUGGESTED ADDITIONAL DOCUMENTATION
Programs and Policies
Each Facility should consider developing a list of environmental related, programs, plans,
policies, practices, procedures, manuals, guidebooks, etc., that are maintained by the
Facility but are not otherwise required by regulatory or permit requirement. These lists
might identify the following types of information:•••

Document description.
Employee responsible for maintaining/revising/updating the document (includingreference to any configuration or library systems used to control issuance of the
document).
Location of the document.

Site Location Maps and Drawings
Site Location Maps
Each Facility should consider developing expanded site maps that indicate bylocation the following types of physical features:
•
•
•
•
•
•
•

Floor drains.
Smokestacks and air emission points.
Wastewater treatment facilities.
Hazardous and non-hazardous waste storage locations, including satellite
storage and waste hauler pickup points.
Municipal sewer lines.
Bag houses, scrubbers, or other pollution control equipment.
Processes with significant hazardous material use (e.g. plating, degreasing).

Drawings
Each Facility should consider developing drawings that illustrate the following
information:••••

Appendix A
November 2019

Process flow diagrams.
Piping and instrumentation diagrams (P&ID) for wastewater treatment
facilities.
Sanitary plumbing diagrams
Industrial waste plumbing diagrams

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ENVIRONMENTAL MANAGEMENT SYSTEM MANUAL

Appendix B
Management of Change (MOC) Triggers Guidelines
Examples of change criteria (i.e., MOC triggers) that trigger environmental reviews include,
but are not limited to, the following.
1. Raw Materials
•
•
•
•
•

Request for a new material;
Request for a new use for an existing material;
Significant change in the quantity used of an existing material;
Materials that are purchased or received free as samples or for use on a trial basis, orused by an outside contractor, or materials bought on one-time basis; orDeletion of a material from inventory.

2. Products••

The addition or deletion of a product line; or
A change in the customer’s end use of a product.

3. Processes•••

Request for addition, deletion or change to an existing process including changes tooperating parameters (e.g. ranges of temperatures, pressure, hours of operation, etc.);
Request for a new use of an existing material or an equipment; orWaste stream emission flow rates or character.

4. Facilities (including equipment and maintenance activities)
Changes that will add, delete, relocate or modify any of the following:
•
•
•
•
•
•
•

Drains, stacks, or vents;
Hoods or ventilators;
Regulated Equipment;
Furnaces;
Monitoring equipment;
Hazardous material storage; or
Pollution control equipment.

Appendix B
November 2019

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ENVIRONMENTAL MANAGEMENT SYSTEM MANUAL

4. Personnel•••

New hires;
Termination of an employee; orTransfer of an employee from/to a different position.

6. Corporate or Operating Segment Requirements••

Issuance of a new policy or procedure; orDeletion of an existing policy or procedure.

7. Federal, State, and Local Regulations•

Deletion, issuance, or changes to applicable federal, state, or local regulations.

8. Permits•

Application or receipt of any new or modified permit.
It is recommended that facilities identify existing change documents (e.g. engineeringchange orders and directives, purchase requisitions, bid decisions and proposals,
design documents, Facility work orders, maintenance requests, employee transfer
requests, new employee requisition forms, etc.,) and incorporate environmental
review into the change approval process. For example, a Facility work order could
have a check box to indicate that an environmental review was performed, and therequested work has received the Facility Environmental Manager or Team’s approval.

Appendix B
November 2019

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ENVIRONMENTAL MANAGEMENT SYSTEM MANUAL

Appendix C
Environmental Incident and Noncompliance Investigation andCorrective Action Procedure
NOTE: This sample procedure should be used only as a model. Each Operating Segment orFacility must modify it appropriately to correspond to position titles, and other organizational
elements unique to the Facility. One key objective is that there are no delays in reporting an
incident. This applies to internal reporting, as well as any type of reporting to regulatory
agencies. Another key objective is that corrective actions are initiated, their implementation
monitored, and their effectiveness verified.
TELEDYNE OPERATING SEGMENT/FACILITY
Environmental Incident Reporting
Purpose:This practice describes the internal and external Environmental Incident reporting
procedure used at (insert name of Teledyne Facility). Environmental Incidents aredefined in section III of the EMS.
Legal Privilege:
Where applicable reporting of Environmental Incidents shall be conducted inaccordance with Appendix E – Attorney Client Privilege.
References:
Teledyne Environmental Management System Manual, November 2019.
Forms Used:
Environmental Incident Report, shown as Figure 1.
Practice:
Employees must report all Environmental Incidents they observe to the Facility
Environmental Manager, or member of the Facility Environmental Management Team.
If none of these employees are available, the incident must be reported to senior
management at the Facility. Initial contact must be made orally. This is to avoid therisk that critical situations are not addressed due to unanswered e-mail or voice-mailmessages, or due to submitted hardcopy reports being overlooked.

Appendix C
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ENVIRONMENTAL MANAGEMENT SYSTEM MANUAL

Environmental Observations may be reported to the Facility Environmental Manager orFacility Environmental Management Team, however, corporate reporting is not
required. Environmental Observations are defined in Article III of the EMS Manual.
In situations where there is no present or incipient risk to employee, public, or
environmental welfare (such as when the concern relates to the performance of a
specific employee, to aspects of general Facility Operating Segment or Corporate policy,or the like), the report may be submitted anonymously. This should be done only in rarecases, as it inhibits the ability to thoroughly investigate allegations, and to "close theloop" with employees who voice concerns. Likewise, an employee request to handle areport or discussion anonymously after the report is made, or the discussion occurs, will
be considered, but legal necessities may preclude honoring such requests.
After reporting the Environmental Incident, the observer may be requested tocomplete the Environmental Incident Report (see Figure 1) or this form may becompleted by the Environmental Manager. In either case, it will be the responsibilityof the Environmental Manager to ensure that the form has been properly completed.
All Environmental Incidents must be reported to senior Operating Segment
management and the Corporate Legal Department. It is the responsibility of Facility
environmental management to make this report. It will be the responsibility of the
Facility environmental management working with the Corporate Legal Department,
to determine if regulatory entities must be contacted. In all cases, the Facility
Environmental Manager or a specially-designated member of the Facility
Environmental Management Team will maintain an Environmental Incident log.
The decision to report immediately an issue to a regulatory entity, before consultation
with senior management and the Corporate Legal Department, is at the discretion of
the Environmental Manager, if the event is of sufficient severity to require immediate
regulatory agency notification. In all cases, however, the Environmental Manager will
maintain an Environmental Incident log.
Department supervisors, or others directly responsible for operations where spills or
releases may require agency notification will be trained in recognizing these types of
events and are directed to contact either Facility or Operating Segment management or
the Corporate Legal Department in the case that Facility environmental management isunreachable. Unless directed otherwise by Corporate Legal Department, the incident
should be addressed by the Environmental Manager and/or Facility Environmental
Management Team as follows:1.

Investigate the incident.

2.

Determine root causes.

3.

Assess the potential severity.

Appendix C
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ENVIRONMENTAL MANAGEMENT SYSTEM MANUAL

4. Working with the appropriate line and support personnel to develop the needed
preventive or corrective actions.
5.
Document decisions, actions, and accomplishments on the Environmental
Incident Report form (see Figure 1) or in report-referenced attachments.
After appropriate corrective actions have been determined, the Facility and/or Operating
Segment Environmental Manager must report the disposition of the matter to theemployee who originally reported the incident. This report must, at a minimum, be inwriting. Scope of the response to the employee may be restricted by the Corporate Legal
Department in certain cases.
The Facility Environmental Manager or a specially designated member of the Facility
Environmental Management Team will also be responsible for the completion andretention of all incident reporting documentation and will be accountable for any
follow-up to ensure that corrective actions are in place and operating. This follow-up
must occur as soon as possible after the completion of the corrective actions and must
be documented. The Facility Environmental Manager or a specially designatedmember of the Facility Environmental Management Team will also be responsible forreporting any defects in the implementation of the corrective actions to appropriate
Facility and/or Operating Segment management until all items are properly resolved.

Appendix C
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ENVIRONMENTAL MANAGEMENT SYSTEM MANUAL

Figure 1
Environmental Incident Reporting Form
Report Number:
Report Date:
Facility Name:
Facility Address:
Environmental Incident Observed By:
Observer’s Phone Number:
Description of Incident: (report only the facts. Do not engage in speculation or hyperbole.)••••

Where did the incident occur?
Who was involved?
What happened?
When did it happen?

Investigative and Corrective Actions: (define the cause of the incident and identify thecorrective measures implemented to prevent future occurrence)•

The incident was caused by:•

The corrective measures to prevent future occurrence are:•

Corrective Action Assigned to:

•

Date:

Resolution:•

Issue resolved:

•

Date:

Appendix C
November 2019(signed) Environmental Manager

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ENVIRONMENTAL MANAGEMENT SYSTEM MANUAL

Appendix D
Regulatory Inspection – Surprise or Scheduled
1. Introduction
When representatives of an environmental regulatory agency arrive at your Facility to
conduct an unanticipated inspection or audit of the Facility’s production processes and waste
management practices or to investigate a death, serious injury or environmental mishap, youneed a responsive plan of action. This Appendix sets forth a model response plan.
In general, most major federal environmental laws specifically provide federal inspectors theauthority to enter facilities, review records and collect samples. State, county or city laws
and regulations similarly authorize inspections by state and local inspectors.
The bywords in any inspection are "COOPERATION" and "BE POLITE." If Facility
personnel attempt to deny access to an inspector or allow a visit to become adversarial orantagonistic causing the inspectors to leave the site, the inspection may continue later underauthority of a search warrant. If Facility personnel are adversarial or evasive, the inspectors’
curiosity will be aroused. As a result, the inspectors may spend more time at the Facility,
investigate Facility operations more closely, and be more likely to issue a violation for
marginal non-compliance. A cooperative working relationship between the inspectors andFacility personnel will simplify any investigation and contribute to development of apositive working relationship.
2. Death, Serious Injury or Serious Environmental Mishap
It is important to note that, in the case of potential criminal liability, while maintaining acooperative attitude, you are not required to respond to questions without the advice ofcounsel. Therefore, it is imperative that, IN THE CASE OF DEATH, SERIOUS
INJURY OR SERIOUS ENVIRONMENTAL MISHAP, you notify the Corporate Legal
Department immediately. You should request that counsel be present, and Counsel
should be present during the inspection.
It is TDY’s policy to cooperate with regulatory and law enforcement authorities in thecourse of investigations. However, in situations involving potential criminal liability,
individuals have Constitutional rights and TDY in no way intends for its cooperation tointerfere with the rights of its employees.
If an employee is contacted at home or at work by federal, state, provincial, local, etc. law
enforcement agents, (either domestic or international), the employee has the right (1) tochoose whether he or she wishes to be interviewed, (2) to request at any time that theinterview be terminated, (3) to request that the interview be held at a different time or
location. The employee also has the right to consult with either Corporate Legal
Department attorney or his or her own attorney before an interview and may insist that an
attorney be present during any interview. In all cases, the agent must honor the employee’s
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ENVIRONMENTAL MANAGEMENT SYSTEM MANUAL

request. If an employee is interviewed, the employee must tell the truth to the best of his or
her recollection.
If agents are seeking to execute a properly issued search warrant, the Facility and its
employees must furnish the materials requested in the search warrant. The Corporate Legal
Department should be contacted, and counsel should be present.
3. Model Response Plan for Regulatory Inspection
This section sets forth a model for a responsive plan of action. Note that this model
approach works equally well for scheduled or surprise inspections. The model can becustomized for a Facility’s individual circumstance. However, any customized response
plan should be discussed with the Corporate Legal Department prior to its implementation.
3.1

Inspection Response Team. Each Facility should designate an Inspection Response
Team ("IRT") to respond to surprise or scheduled inspections at the Facility. The IRT
should consist of at least two supervisory level employees familiar with the Facility’s
production processes and waste management practices. When responding to an
inspection, the IRT members should each have in their possession the following items:••••

A note pad;A hand-held tape recorder;
A camera with flash attachment; andA solid/liquid material sample collection kit.

3.2

Signing In. The Facility’s security guard or receptionist should have each regulatory
agency inspector present his or her credentials and sign the visitors’ log with his or her
full name, title, date of arrival and time of arrival. In the event the Facility has
national security information, or is otherwise restricted or classified for security
purposes, the investigator should be required to provide proof of appropriate security
clearance before being allowed to enter restricted or classified areas. During the signin, the guard or receptionist should alert the IRT. The guard or receptionist should
advise the inspectors that appropriate Facility representatives will meet them at thegate (or in the lobby) momentarily.

3.3

Meeting the Inspectors. The IRT should greet the inspectors at the gate (or in thelobby). Upon greeting the inspectors, the IRT should politely ask:
•
•
•
•
•

What the purpose of the inspection is;
What the authority for the inspection is;
What the Facility’s rights are;
Whether the Facility or any employee at the Facility should have Corporate
Legal Counsel present;
What portions of the Facility they would like to visit;

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ENVIRONMENTAL MANAGEMENT SYSTEM MANUAL•••

Whether they intend to take photographs, collect samples, copy documents
and/or interview employees;
Whether the IRT may have "splits" of any samples collected by the inspectors;
andIN THE CASE OF DEATH, SERIOUS INJURY OR SERIOUS
ENVIRONMENTAL MISHAP, whether they will delay the commencementof the inspection for a reasonable time to allow for the arrival of the Facility’s
Corporate or retained legal counsel.

Preferably, the IRT will tape record these questions and answers. At a minimum, theIRT will take extensive notes.
3.4

Press and Media Inquiries. The IRT will politely refuse access to any media
representatives who wish to accompany the inspectors and, at the first opportunity,
should advise the Corporate Media Contact of the situation. All requests for
information from the media should be referred to the Corporate Media Contact.

3.5

Keeping Together. As the inspection begins, the IRT will ask the inspectors to stay
together. If the inspectors do so, one member of the IRT will lead the inspectors
through the requested portions of the Facility, while the other IRT member notifies
the Corporate Legal Department. If the inspectors refuse to stay together, the IRT
should temporarily delay notifying counsel until additional properly equipped
Facility personnel can be located to accompany each independent inspector orgroup of inspectors.

3.6. During the Inspection. During the course of the inspection, the IRT should ask totape record all conversations involving the inspectors – or, at a minimum, takeextensive notes. Only the most innocuous questions should be answered on the
spot. All other questions should be deferred until the end of the inspection visit sothat answers may be discussed in advance with an attorney in the TDY Legal
Department. During the course of the inspection, the IRT should:
•
•
•
•
3.7

Photograph everything photographed by the inspectors;
Duplicate sample everything sampled by the inspectors;
Duplicate copy every document copied by the inspectors; andMake careful notes concerning those portions of the Facility seen by theinspectors

Documents. The IRT should number all documents reviewed by the inspectors.
Attorney-Client privileged documents should never be produced under any
circumstances. (See Appendix E for a discussion of the Attorney-Client Privilege.)
The IRT should refuse to produce any arguable privileged document to theinspectors until that document has first been reviewed by counsel. In addition, trade
secret documents should not be produced unless and until counsel has negotiated an

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ENVIRONMENTAL MANAGEMENT SYSTEM MANUAL

appropriate protective agreement with the inspectors.
3.8

Employee Interviews. An IRT member should be present whenever an inspector
interviews any Facility employee. If, for any reason, this is not possible, an IRT
member should de-brief interviewed Facility employees immediately after
completion of the inspection.

3.9

Signing Out. Upon the conclusion of the inspection, the IRT should accompany theinspector to the gate or lobby where they entered the Facility. The IRT should ask
the inspectors:
•
•
•
•
•
•
•

What they found during the inspection?
What significance they attach to their findings?
What plan of action they intend to pursue?
What laboratory they are taking any solid or liquid samples to for analysis?
Whether they would give the IRT a copy of their inspection notes?
Whether they would send the IRT a copy of the laboratory analysis report
and/or their final inspection report?
The IRT should then have the inspectors sign out at the visitors’ log.

3.10 After the Inspection. Following the inspection, the IRT should immediately review
the inspection with counsel. The IRT should follow counsel’s advice concerning
the separate storage and preservation of the notes, photographs, samples and tapes
generated during the inspection.
4. Checklist for Regulatory Inspections
4.1

Before the Inspection•

Be polite at all times;•

Have the inspectors present their credentials, and sign-in;•

Ask what the authority for the inspection is;•

Ask what the purpose of the inspection is; and•IN THE CASE OF DEATH, SERIOUS INJURY OR SERIOUS
ENVIRONMENTAL MISHAP, notify the Corporate Legal Department
immediately. In-house or retained counsel should be present during the visit.

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ENVIRONMENTAL MANAGEMENT SYSTEM MANUAL

4.2

During the Inspection•

The IRT should make every effort possible to have at least two people
accompany the inspectors at all times – one to act as scribe-recording allquestions asked and all responses. If the inspectors are interviewing an employee,
have an attorney or an Operating Segment representative present. Alternatively,interview the employee after the government inspector is done with the employee,
including any people previously interviewed prior to the inspections (e.g., at theirhomes after working hours);•

Check documents for attorney-client privileged communications and for trade
secrets/business confidentiality;•

Number every document the inspectors review;•

Be cooperative and polite but know that you do not have to say anything;•

If the inspectors ask you questions you can refer them to the relevant documents
and ask that they hold their questions until the end of the day;•

It is best not to answer any "why" questions:
•
•

4.3

4.4

Ask the inspectors to submit those in writing; orAsk them to save any "why" questions to be asked at the end of theinspections. Record all "why" questions and discuss answers with counsel
before responding, if possible.

Before the Inspectors Leave•

Ask the inspectors for all split samples, photos, copies of notes and othermaterials generated during the inspection;•

Ask for a copy of any reports they are preparing for internal or external use and a
copy of any data, lab results, etc.; and•Try to get as much information from them as possible to identify areas ofpotential violation.
After the Inspectors Leave•

Immediately review the inspection with counsel;•

Follow information retention guidelines given to you by counsel.

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ENVIRONMENTAL MANAGEMENT SYSTEM MANUAL

Appendix E
Attorney-Client Privilege
andAttorney Work Product Privilege
Confidentiality
The need for confidentiality when working in the environmental area is paramount.
Obviously, there are many things, which must be written down in order to do your job.
But, every effort should be made to communicate information verbally where possible andavoid committing to writing unnecessary or sensitive information regarding your Facility
and its operation. When you must write information, limit your writing to facts. Avoid
transmitting unnecessary or sensitive written information to outside consultants. If, after
consultation with the Corporate Legal Department, it is determined that such informationmust be transmitted to a consultant, oral communications with consultants are preferable.
In many environmental matters, you will want to have counsel retain outside consultants.
If you become aware of adverse information, do not discuss the information with personnel
at your Facility. Take any necessary emergency action to prevent harm to employees, thepublic, or the environment, then immediately call the Corporate Legal Department anddiscuss the information with an attorney. Your communication with counsel, if conducted
properly, will protect the communication from disclosure in any adversarial situation. As
discussed in greater detail below, the attorney-client privilege and the attorney work
product doctrine are useful in protecting you and the people for whom or with whom you
work.
AuditsAudits of your Facility or other environmental investigations of your Facility need to be
conducted in a highly confidential manner under the direction of counsel. If you wish tohave a Facility audit or investigation to assess your level of compliance withenvironmental requirements or in connection with a real property transaction, as
discussed in Appendix F, contact the Corporate Legal Department in order to arrange foran audit.
What is a Privileged Communication?
Unlike other communications, a privileged communication is a communication between
an attorney and usually his or her client that is protected from disclosure in adversarial
situations, including litigation. In other words, the content of the communication will be
kept confidential.

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ENVIRONMENTAL MANAGEMENT SYSTEM MANUAL

What Does the Attorney-Client Privilege Cover?
The attorney-client privilege covers confidential oral and written communications
between attorney and client, which relate to the legal advice being sought. Thus, any
lawyer-client communications that are outside the scope of legal advice are notprotected.
Who Holds the Privilege – The Client or the Lawyer?
The privilege belongs to the client, who may refuse to reveal, or prevent another fromrevealing, the confidential communication. Absent directions from the client to waive
the privilege, an attorney generally must assert the privilege on behalf of the client. You
should be aware that you can intentionally or unintentionally waive the privilege by
failing to observe the formalities of maintaining the privilege. One way to waive theprivilege is if the client does not keep their communications confidential.
Why Was the Attorney-Client Privilege Created?
The privilege promotes full and open communication between lawyer and client without
apprehension that later disclosure can be compelled without the client’s consent.
Without full discussion with the client, the lawyer cannot give reliable of effective legal
advice.
What Does the Attorney Work Product Doctrine Protect?
The attorney work product doctrine creates a qualified (i.e., not absolute) privilege forthe work papers, notes, memoranda, and reports gathered or prepared by or for counsel
or their agents in anticipation of litigation.
What Does the Attorney Work Product Doctrine Not Protect?
Any material that is considered to be part of the underlying facts or evidence may not be
deemed work product. This material includes, for example, the identity or location ofevidence, and material objects that can be used as evidence.
Does the Attorney Work Product Doctrine Apply to Documents Prepared Before
Litigation Is Threatened?
Yes. If documents are prepared because of a concern about the potential for litigation,even if they were prepared before litigation first was threatened, the privilege would
apply. Thus, the work product doctrine can be a particularly effective tool inmaintaining the confidentiality of internal corporate investigatory reports.
Documents and materials gathered in the course of an internal corporate
investigation, before litigation is actually threatened, may be considered to havebeen prepared in anticipation of litigation.

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ENVIRONMENTAL MANAGEMENT SYSTEM MANUAL

Why Was the Attorney Work Product Doctrine Created?
Courts have recognized that an attorney’s or consultant’s preparation in anticipation of
litigation or for trial should be protected to encourage pretrial investigation and analysis
of facts without fear that the information obtained or theories developed could be used tohelp an adversary’s position.
Who Decides if the Privileges Apply in a Particular Case?
As a question of law, the court ultimately determines whether the privileges apply.
May the Attorney-Client and Attorney Work Product Privileges Be Waived?
Yes. The privileges may be waived through authorized or unintentional disclosure tocertain third parties either orally or through circulation of written materials.
Unauthorized disclosure, such as when documents are stolen or misappropriated, does
not waive the privileges.
In the case of the attorney-client privilege, the essential element of confidentiality may
be lost if the communication occurs in the presence of third parties who have nolegitimate reason for being there. Such third parties would not include your secretary or
clerk, or a consultant retained to assist the lawyer in advising his client but would
include parties copied on an otherwise privileged communication with counsel.
May Communications with a Consultant Usually Be Protected from Disclosure?
Yes, generally not by the attorney-client privilege; instead, such communications may
be protected by the attorney work product doctrine.
The federal work product doctrine protects materials compiled, prepared or analyzed
both by lawyers and non-lawyers, including consultants. It is not required that the
documents be prepared under the direction of an attorney in order to be privileged;
however, if materials are prepared by a consultant who is not working under an
attorney’s supervision, there is a risk that the documents will be found to have been
prepared in the ordinary course of business and not in anticipation of litigation.
Does the Attorney Work Product Doctrine Apply If the Consultant Becomes a Witness?
No. Any consultant who is slated to testify at trial may be deposed and thus asked about
any opinions offered and the bases for those opinions. On the other hand, any facts
known or opinions held by a consultant who has been retained by a party in anticipationof litigation, but who will not be called to testify at trial, constitute protected work
product. Therefore, if it is anticipated that a consultant may be needed to testify as anexpert witness, it may be desirable to hire two consultants: one to use generally and one
for the limited purpose of expert testimony.

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ENVIRONMENTAL MANAGEMENT SYSTEM MANUAL

What Are the Rules for Maintaining the Attorney-Client Privilege?
Communicate information only to counsel. If communicated orally, other supervisorypersonnel may be present. If communicated in writing (including via e-mail), NO
OTHER PARTY MAY BE COPIED.
If communicated in writing (including via e-mail), the following must appear on pageone:
CONFIDENTIAL AND PRIVILEGED ATTORNEY-CLIENTCOMMUNICATION; or
CONFIDENTIAL; LEGALLY PRIVILEGED
The body of the writing should begin with substantially these words:"The following information is being provided to you in order to enable you torender legal advice in connection with this matter."Appendix E
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ENVIRONMENTAL MANAGEMENT SYSTEM MANUAL

Appendix F
Real Property
1.

Introduction
Buying or selling interests in real property can trigger a host of environmental concerns.
When acquiring an interest in real estate, it is important that appropriate "due diligence"
into the use or condition of the property be undertaken to avoid inheriting environmental
problems caused by the previous owners or occupants. Disposing of real estate canlikewise trigger environmental concerns. Many states require that advance notice be given
to environmental authorities before a Facility can be closed, leased or sold. This
Appendix sets forth guidelines for handling environmental issues in mergers, acquisitions,dispositions and other transactions involving real estate.

2.

Property Acquisitions
Contact the Corporate Legal Department if you are planning on acquiring any interest inreal estate, including any of the following transactions:
a.
b.
c.
d.
e.

Buy real estate;
Buy all or substantially all of the assets of another Facility;
Enter into a new lease;
Renew a lease; orExercise an option to lease or purchase.

The Corporate Environmental Management Team will advise you of the actions thatshould be taken before entering into any of the foregoing transactions. This may include
undertaking an environmental investigation of the property by a trained consultant.
With respect to any capital project request relating to:a. Purchase of real property;
b. Commencement or renewal of a lease; orc. Exercise of an option to lease or purchase.
3.

Property Dispositions
Contact the Corporate Environmental Management Team if you are planning on
disposing of any interest in real estate, including any of the following transactions:
a.
b.
c.
d.
e.

Sell real estate;
Sell all or substantially all of the assets at your Facility;
Lease or sublease property to a tenant;Terminate a lease; orAbandon or cease an operation, which will result in closing all or a portion of your
Facility.

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F-1

ENVIRONMENTAL MANAGEMENT SYSTEM MANUALThe Corporate Environmental Management Team will advise you of the actions thatshould be taken before entering into any of the foregoing transactions.
During the negotiation period, the prospective tenant or buyer may undertake its own
inquiry into the use and condition of the property. All inquiries from a prospective
tenant or buyer should be referred to the Corporate Environmental Management
Team and Corporate Legal Department and the following guidelines should beobserved:
a. Only environmental permits and Material Safety Data Sheets will be made available
to the buyer or tenant by facilities’ personnel. All other environmental documents
related to the Facility being sold will be made available to the prospective buyer or
tenant through the Corporate Legal Department;b. Contact the Corporate Environmental Management Team immediately if you
have information regarding any of the following: (1) major spills that occurred at
the Facility; (2) notices of violation or notices to comply issued to the Facility;(3) notices of potential liability from EPA or other government agencies; or(4) complaints from neighbors or others with respect to the Facility; andc. Refer all questions on the environmental condition of the Facility to the Corporate
Legal Department.
Prospective buyers and representatives of prospective buyers must not tour or inspect
the Facility unless accompanied by a member of the Corporate Environmental
Management Team or its designee. Invasive testing (e.g., soil or groundwater
sampling) should not be permitted without approval of and coordination with the
Corporate Legal Department.

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ENVIRONMENTAL MANAGEMENT SYSTEM MANUAL

Appendix G
Environmental Reserves and Report
This is the quarterly report that is required of all Operating Segments. Final reports are due
no later than ten (10) days after the end of each calendar quarter and should be submitted to
the TDY Corporate Legal Department as an attorney-client privileged document. The report
should be responsive to the questions set forth in the following illustrative memorandum
attached hereto. The TDY Corporate Legal Department will host a conference call or
meeting with representatives of each Operating Segment to discuss its responses. TDY’s
Chief Financial Officer and TDY’s Controller or their respective designees shall participate
in such call or meeting.

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ENVIRONMENTAL MANAGEMENT SYSTEM MANUAL

Example of Quarterly Environmental Reserves Memorandum[Date]TO:[Controllers and Facility Environmental Managers]

cc:[TDY CFO, TDY Controller, General Counsel, Facility Managers]

FROM:[TDY Counsel Responsible for Environmental Matters]

RE:[First, Second, Third or Fourth, as Applicable] Quarter 20[XX]
Environmental Reserves and Report
CONFIDENTIAL; ATTORNEY WORK PRODUCT;ATTORNEY-CLIENT PRIVILEGED DOCUMENT
In order to determine whether adequate reserves have been set for environmental
matters and to assist Teledyne Technologies in complying with certain U.S.
Securities Exchange Commission requirements, please respond to the following
questionnaire on behalf of each facility for which your company is responsible.
Your responses should cover both on-site and off-site matters. As stated below,
your response is requested by_______, _________, 20[XX] to [TDY Counsel
responsible for environmental matters]. In early_______, we will arrange
conference calls with you to discuss your responses.
A.

During the [First, Second, Third or Fourth, as applicable] Quarter of
20[XX], has your company been involved in any administrative or legal
actions or proceedings involving local, state or federal environmental
regulations? This includes receiving or responding to:1.

Notices to comply;

2.

Administrative citations, orders or actions;3.

Notices of violation;

4.

Written or oral requests for information from either local, state orfederal authorities with environmental responsibility concerning
any past or present activity at or related to your company; and5.

Any complaint, claim or demand.

If you have answered “Yes” to A, please set forth the nature of the action,
proceeding or information request that commenced in the [First, Second, Third or
Fourth, as applicable] Quarter of 20[XX] and a status update for matters
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ENVIRONMENTAL MANAGEMENT SYSTEM MANUAL

previously reported.
B.

Do any of the actions or proceedings identified in A above involve capitalor operational expenditures (present or potential) or damage claims inexcess of $100,000? If so, please identify.

C.

Please identify whether the actions or proceedings specified in A above
involve (i) a governmental entity, (ii) a private party or (iii) anotherorganization.

D.

If a governmental entity is involved, have any monetary sanctions been
demanded or is there a potential for such sanctions? If so, please provide
the likely amount of the demanded or potential sanctions, damages, or
expenditures.

E.

With respect to any matter related to the environment, has your company
received or otherwise been involved in any of the following since [insert
prior year end] (your response should include both matters thatcommenced in the [First, Second, Third or Fourth, as applicable] Quarterof 20[XX] and a status update for matters previously reported toAllegheny Teledyne Incorporated and which remain active or of which
there has been no final resolution):1.

ADMINISTRATIVE ORDERS OR REGULATORYREQUIREMENTS:
Any document which directs your company to take action or any
circumstance that triggers regulatory requirements to undertake
investigations or remedial action which, in either case, is likely toresult in expenditures in excess of $50,000 per year for two years
or more than $100,000 for any single year?

2.

AGREEMENTS:
Any Agreement, contract or settlement agreement with any local,
state or federal governmental agency, PRP group, or other personor entity which commits your company to expend funds relating toan environmental matter regardless of the amount involved.

3.

FINES, PENALTIES, JUDGMENTS:
The demand, assessment or payment of any fines, penalties, or
judgments associated with administrative or judicial actions.

4.

ANY LAWSUIT.

DO NOT INCLUDE THE FOLLOWING: Normal operating expenses
and capital improvements (e.g., installation of stack scrubbers,
underground tank removal, waste water treatment plant upgrades); Form R
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ENVIRONMENTAL MANAGEMENT SYSTEM MANUAL

compliance; normal permit applications, monitoring, reporting for sewer,
air, water or hazardous waste permits; hazardous waste and facility fees
under RCRA; or routine inquiries, surveys, and questionnaires.
If you have answered “Yes” to 1, 2, 3, or 4 above, please provide a description of
the matter, the facility involved and a status update for ongoing matters.
F.

Have you set reserves on your books or made any adjustment to reserves
previously set on your books with respect to any matter relating to theenvironment? If so, please prepare a schedule in the format of Schedule I
attached, in accordance with the following instructions. Use additional
sheets for explanations, if necessary. To assist you in your response tothis item, attached as Annex A is a summary of certain accounting
guidelines for setting and reevaluating environmental reserves. Pleasefamiliarize yourself with these guidelines prior to completing theschedules. You will note that the Annex discusses the types of legal
costs that should be included in your company’s reserves. If
necessary, the Law Department will assist you in collecting thisinformation and adjusting your reserves as appropriate in the [First,
Second, Third or Fourth, as applicable] Quarter of 20[XX].

G.

Please list the name and address of each facility for which your company
is responsible. If your response does not cover any of these facilities,
please explain.

INSTRUCTIONS – SCHEDULE I(1)

MATTER: Where a reserve covers more than one environmental matter,
list each matter separately. For matters involving on or off-site
investigation and remediation, segregate the matter into projects orsegments (e.g., groundwater investigation, soil investigation, groundwater
remediation, soil excavation, soil vapor extraction, remedy planning, or
selection).

(2)

INCREASE/DECREASE: Amounts in this column have an income
statement effect.

(3)

REASON: For each increase/decrease to the reserve, enter the code fromthe following list:(A)

Changed Circumstances(i)
Resolution of negotiations with agencies(ii)

Appendix G
November 2019

Resolution of technical issues

G-4

ENVIRONMENTAL MANAGEMENT SYSTEM MANUAL(iii)

Obtain results of investigations(iv)

Change in regulatory requirements(v)

Other (Explain)(B)

Entering new stage of investigation or remediation(C)

Correction of an error (Explain)(D)

Legal Costs(E)

Other (Explain)

Identify the basis for each increase/decrease to the reserve. For example –revised estimate from consultant; demand received; etc. Identify the
person(s) at the Company responsible for estimating the reserve.
If you have any questions or comments about this report, please call me at [insert
phone number of applicable TDY Counsel].

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ENVIRONMENTAL MANAGEMENT SYSTEM MANUAL
ANNEX AAICPA Statement of Position 96-1, Environmental Remediation Liabilities (the
“SOP”) established accounting standards for recognition of environmental costs.
This SOP is now embedded under ASC Topic 410, Subtopic 30. Basically,
losses should be accrued if they are both probable and reasonably estimable.
Summarized below are several key points that you should consider as you set
and periodically reevaluate your company’s environmental reserves.
•

An accrual is required even where no single amount of loss can be estimated.
Where there is a range of estimated loss, and no amount within the range is abetter estimate, the low end of the range should be accrued. If the reserve
your company has set for any particular matter represents the low endof a range of probable costs, please note this in the “Comments”
section of Schedule I and describe the range.

•

If particular components of the overall liability for a site are not reasonably
estimable at the early states of the remediation process, the sum of thecomponents that can be reasonably estimated at that time (e.g., investigation
costs) should be treated as the minimum in the range of the overall liability
and should be booked.

•

The recognition of a remediation liability for a site in most cases should not
be delayed beyond the point at which the company has completed afeasibility study or similar report for a site or recommended a proposedcourse of action to the EPA or other governmental body.

•Accruals should be reevaluated at each stage of the investigation andremediation process including preliminary investigation, remedy planning,
remedy implementation. Accruals are to include estimates for on-going
operation and maintenance of remediation systems over the life of the
project.

•

It is inappropriate to net probable recoveries for insurance or indemnification
against the loss. Rather, the two are to be separately evaluated and booked
if appropriate.

•

The costs of legal work related to the remediation effort should be included in
the measurement of a remediation liability (e.g., legal advice concerning
remediation standards or obligations.) This does not include legal costs
related to routine environmental compliance matters, litigation costs related topotential recoveries or legal defense costs related to remediation. If yourcompany’s reserves do not include appropriate legal costs, pleaseindicate these in the “Comments” section of Schedule I.

•

ASC Topic 410, Subtopic 30 and other accounting literature contain very
specific guidelines regarding when it is appropriate to discount environmental
liabilities and when inflation-adjusted cost estimates should be used. The
reserves listed on Schedule I should reflect undiscounted, current costestimates. If you have any questions regarding the appropriate use ofAppendix G
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ENVIRONMENTAL MANAGEMENT SYSTEM MANUAL
discounting or inflation adjustments, please consult Teledyne’s Chief
Financial Officer.

Appendix G
November 2019

G-7

ENVIRONMENTAL MANAGEMENT SYSTEM MANUALTELEDYNE TECHNOLOGIES INCORPORATEDRESERVES REPORTSCHEDULE I[FIRST, SECOND, THIRD OR FOURTH] QUARTER 20[XX]
CONFIDENTIALATTORNEY WORK PRODUCT; ATTORNEY-CLIENT PRIVILEGED DOCUMENT
COMPANY NAME ______________________DATE PREPARED______________________

Matter
(1)
Project/
Segment

Reserve
Balance[PriorQuarter]

Reserve
Balance[PriorQuarter]

Reserve
Balance[PriorQuarter]

Reserve
Balance[PriorQuarter]

Reserve
Balance[Current
Quarter
End]]

TOTAL

Appendix G
November 2019

G-8

Analysis of [1ST, 2ND, 3RD or 4th] Quarter 20[XX]
Reserve

Increase/Decrease
Reserve
DR (CR)
RES(2)

Reason(3)

Decrease
Reserve
For
Payments
DR

ReserveBalance[Current
QuarterEnd]

Estimated
Payments
Next
TwelveMonthsENVIRONMENTAL MANAGEMENT SYSTEM MANUAL

Appendix H
Form of Compliance Certification
20[XX] Annual Environmental, Health and Safety Compliance Certification
Teledyne Technologies Incorporated
Name and Location of Facility: ____________________________________________Name of General Manager: _______________________________________________Name of Environmental Manager: _________________________________________Name of Health and Safety Manager: ______________________________________
Section I – Environmental Compliance Certification
We, the general manager and the environmental manager of the above-named facility(the “Facility”), hereby certify to the each of [TDY’s Chief Executive Officer] and [TDY’s Chief
Financial Officer], of Teledyne Technologies Incorporated (“Teledyne”), to the best of ourknowledge and belief, except as expressly set forth on Attachment A, as follows:
1) For Domestic Operations (to be completed by facilities located within the United States.
International operations skip question 1 and go to question 2.)a) We have reviewed Teledyne’s Environmental Management System (“EMS”) manualand the Facility EMS and are familiar with Teledyne’s environmental policy.
 Check box if any exception is being reported.
b) We have responsibility for carrying out the Facility EMS.
 Check box if exception to be reported.
c) The Facility is in compliance in all material respects with Teledyne's EMS manual, theFacility EMS and with applicable environmental laws.
Check box if any exception is being reported.

d) The Facility’s internal controls relating to its EMS are reasonable and satisfactory andwe consider the Facility’s EMS adequate to ensure that material information relating tononcompliance with environmental laws and regulations is made known to us.
Check box if any exception is being reported.

2) For International Operations (facilities located outside of the United States)
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ENVIRONMENTAL MANAGEMENT SYSTEM MANUALa) We have responsibility for managing the Facility’s environmental compliance.
 Check box if exception to be reported.
b) The Facility is in compliance in all material respects with applicable environmental
laws and regulations.


Check box if any exception is being reported.

c) The Facility’s internal controls relating to its environmental programs are reasonable
and satisfactory and we consider the Facility’s environmental programs adequate toensure that material information relating to noncompliance with environmental laws andregulations is made known to us.
Check box if any exception is being reported.

3) There were no Environmental Incidents reported or required to be reported during the fiscal
year 20[XX].
 Check box if any Environmental Incident is being reported [This box should be checked
if any Environmental Incident occurred during the year and such Environmental Incident
should be briefly described on Attachment A.]
 Check this box if any and all Environmental Incidents have been or are
being resolved in accordance with their corrective action plans.
 Check this box if any Environmental Incident has not been timely corrected
and please describe status on Attachment A.
4) There were no inspections or visits (scheduled or surprise) by governmental environmental
regulatory agencies of the Facility during the fiscal year 20[XX]. All findings made by theinspector have been or are being resolved.
 Check box if any inspection is being reported [This box should be checked if any
inspection occurred during the year and briefly describe such inspection on Attachment A.]
 Check this box if any and all inspection findings Incidents have been or are
being resolved in accordance with their corrective action plans.
 Check this box if any inspection finding has not been timely corrected andplease describe status on Attachment A.
5) During the fiscal year 20[XX]., the Facility was not made a party, or threatened to be madea party, to any administrative or judicial proceeding arising out of any environmental law or
regulation.
 Check box if any proceeding is being reported. [This box should be checked if any
proceeding existed (including ongoing proceeding from prior year(s)) or was threatened
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during the year and briefly describe such matter on Attachment A.]
6) During the fiscal year 20[XX]., no monetary sanction, penalty, assessment or demand was
paid to, or threatened by, any governmental authority relating to environmental complianceor non-compliance of the Facility.
 Check box if any exception is being reported. [This box should be checked if any
amount was paid or demanded during the year and briefly describe such status on
Attachment A.]
7) No disciplinary actions on any of the Facility’s employees for environmental-related
violations or matters were required during the fiscal year ended 20[XX].
 Check box if any exception is being reported. [This box should be checked if any
employee environmental compliance-related disciplinary action occurred during the year
and briefly describe such action on Attachment A.]8) The Facility’s employees have received a level of training relating to environmental mattersand compliance appropriate to their job responsibilities.
 Check box if any exception is being reported. [This box should be checked if any
required training was not done in fiscal 20[XX]. and briefly describe such outstanding
training and training schedule for 20[XX]. on Attachment A.]9) We do not know of any facts or circumstances relating to Teledyne and its subsidiaries that
could constitute fraud (i.e. bribery and corruption, financial statement fraud or asset
misappropriation) or otherwise give rise to a breach of the Teledyne’s Global Code of
Ethical Conduct.
 Check box if any exception is being reported and separately and promptly contact[Teledyne’s General Counsel or Associate General Counsel.]10) We have developed and maintain a system, e.g. an EHS Program Calendar, that identifies
required environmental reports, plans, notices, inspections, monitoring, training, etc., andapplicable regulatory requirements, e.g. frequency of submission/inspection, due date,
responsible person, record location, etc.
 Check box if any exception is being reported.

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Section II – Health and Safety Compliance Certification:
We, the general manager and the health and safety manager of the above-named facility (the“Facility”), hereby certify to the each of [TDY’s Chief Executive Officer] and [TDY’s Chief
Financial Officer], of Teledyne Technologies Incorporated (“Teledyne”), to the best of ourknowledge and belief, except as expressly set forth on Attachment A, as follows:
1. We have reviewed Teledyne’s Health and Safety Management System (“HSMS”) manualand are familiar with Teledyne’s health and safety policy.
 Check box if any exception is being reported.
2. We have responsibility for carrying out the Facility HSMS.
 Check box if any exception is being reported.
3. The Facility is in compliance in all material respects with Teledyne’s HSMS manual andwith applicable health and safety laws.
 Check box if any exception is being reported.
4. The Facility’s internal controls relating to its HSMS are reasonable and satisfactory and we
consider the Facility’s HSMS adequate to ensure that material information relating tononcompliance with health and safety laws and regulations is made known to us.
 Check box if any exception is being reported.
5. There were no work-related injuries, illnesses, or incidents reported or required to bereported during the fiscal year 20[XX].
 Check box if any work-related injuries, illnesses, or incidents were reported during
the fiscal year 20[XX] and check appropriate box below.
 All work-related injuries, illnesses, and incidents have been resolved inaccordance with the Facility’s Incident, Response, Investigation and Reporting
procedure.
 Check this box if any work-related injury, illness or incident has not beentimely corrected and please describe status on Attachment A.
6. There were no inspections or visits (scheduled or surprise) by governmental health andsafety regulatory agencies of the Facility during the fiscal year 20[XX].
 Check box if any inspection is being reported [This box should be checked if any
inspection occurred during the year and briefly describe such inspection on Attachment A.]

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ENVIRONMENTAL MANAGEMENT SYSTEM MANUAL Check this box if any and all inspection findings Incidents have been or are
being resolved in accordance with their corrective action plans.
 Check this box if any inspection finding has not been timely corrected andplease describe status on Attachment A.
7. During the fiscal year 20[XX], the Facility was not made a party, or threatened to be made aparty, to any administrative or judicial proceeding arising out of any health and safety law
or regulation.
 Check box if any exception is being reported.
8. During the fiscal year 20[XX], no monetary sanction, penalty, assessment or demand was
paid to, or threatened by, any governmental authority relating to health and safetycompliance or non-compliance of the Facility.
 Check box if any exception is being reported.
9. No disciplinary actions on any of the Facility’s employees for health and safety-related
violations or matters were required during the fiscal year ended 20[XX].
 Check box if any exception is being reported.
10. The Facility’s employees have received a level of training relating to health and safety
matters and compliance appropriate to their job responsibilities.
 Check box if any exception is being reported. [This box should be checked if any
required training was not done in fiscal 20[XX] and briefly describe such outstanding
training and training schedule for 20[XX] on Attachment A.]
11. We do not know of any facts or circumstances relating to Teledyne and its subsidiaries that
could constitute fraud (i.e. bribery and corruption, financial statement fraud or asset
misappropriation) or otherwise give rise to a breach of the Teledyne’s Global Code of
Ethical Conduct.
 Check box if any exception is being reported and separately and promptly contact[Teledyne’s General Counsel or Associate General Counsel].
12. While not deemphasizing other important H&S compliance programs, all facility
machinery and equipment is appropriately guarded and the facility has established a
program and utilizes procedures for affixing appropriate lockout devices or tagout devices
to energy isolating devices, and to otherwise disable machines or equipment to prevent
unexpected energization, start up or release of stored energy in order to prevent injury toemployees.
 Check box if any exception is being reported.

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13. We have developed and maintain a system, e.g. an EHS Program Calendar, that identifies
required health and safety reports, plans, notices, inspections, monitoring, training, etc., andapplicable regulatory requirements, e.g. frequency of submission/inspection, due date,
responsible person, record location, etc.
 Check box if any exception is being reported.
14. We have identified all employees who operate company vehicles, rental vehicles or
personal vehicles in connection with company business and verify, on an annual basis, thatthese employees have a valid driver license and maintain a good driving record.
 Check box if any exception is being reported.

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20[XX] Annual Environment, Health and Safety Compliance Certification
We understand that if we become aware of any misstatement or inaccuracy in thiscertification after the date hereof, we will contact [Teledyne General Counsel or Associate
General Counsel.]
WITNESS the due execution as of January___, 20[XX].

(signed) General Manager
Signing only with respect to the environmental requirements and matters addressed bythis Certificate.

(signed) Environmental Manager
Signing only with respect to the health and safety requirements and matters addressed bythis Certificate.

(signed) Health and Safety Manager

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Attachment A to Annual Environmental, Health and Safety Compliance Certification
Facility Name: ________________________________
Check applicable box:
No exceptions to report.

 The following exceptions to the certification are reported: [cross reference to specificsection and item and provide reasonable summary]
Section I Environmental Certification Exceptions:
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
Section II – Health and Safety Certification Exceptions:
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.

Number ofPages Attached ___________

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Appendix I
Brief Summary of Major U.S. Federal Environmental Statutes andU.S. Federal Regulatory Citations for Environmental Regulations
MAJOR FEDERAL ENVIRONMENTAL STATUTESCERCLA
SARA
Clean Air Act
Clean Water Act
Emergency Planning & Community Right to Know Act
Oil Pollution Act
Pollution Prevention Act
Resource Conservation and Recovery Act (Solid Waste Disposal Act)
Toxic Substance Control Act
Safe Drinking Water Act
Endangered Species Act
Noise Control Act of 1972
Hazardous Materials Transportation Act
Title 40 Code of Federal Regulations – Protection of the Environment
Chapter 1 Environmental Protection Agency
1. Comprehensive Environmental Response Compensation and Liability Act (CERCLA)
Statute: 42 U.S.C. Sec 9601 et seq (1980), as amended.
Regulations: Various (see 40 CFR §§300-311)
Administering Agency: Environmental Protection Agency
CERCLA, commonly known as Superfund, was enacted by Congress on December 11, 1980.
This law created a tax on the chemical and petroleum industries and provided broad Federal
authority to respond directly to releases or threatened releases of hazardous substances that may
endanger public health or the environment. In general, CERCLA•••

established prohibitions and requirements concerning closed and abandoned hazardous
waste sites;
provided for liability of persons responsible for releases of hazardous waste at thesesites; andestablished a trust fund to provide for cleanup when no responsible party could be
identified.

The law authorizes two kinds of response actions:••Short-term removals, where actions may be taken to address releases or threatened
releases requiring prompt response.
Long-term remedial response actions, that permanently and significantly reduce thedangers associated with releases or threats of releases of hazardous substances that are

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serious, but not immediately life threatening. These actions can be conducted only atsites listed on EPA's National Priorities List (NPL).
2. The Superfund Amendments and Reauthorization Act (SARA)
SARA amended CERCLA on October 17, 1986. SARA reflected EPA's experience inadministering the complex Superfund program during its first six years and made several
important changes and additions to the program. SARA:
•
•
•
•
•
•

stressed the importance of permanent remedies and innovative treatment technologies incleaning up hazardous waste sites;
required Superfund actions to consider the standards and requirements found in otherState and Federal environmental laws and regulations;provided new enforcement authorities and settlement tools;
increased State involvement in every phase of the Superfund program;increased the focus on human health problems posed by hazardous waste sites;
encouraged greater citizen participation in making decisions on how sites should becleaned up; andSARA also required EPA to revise the Hazard Ranking System (HRS) to ensure that it
accurately assessed the relative degree of risk to human health and the environment posed byuncontrolled hazardous waste sites that may be placed on the National Priorities List (NPL).
3. Clean Air Act
Statute: 42 U.S.C. s/s 7401 et seq. (1970)
Regulations: 40 CFR §§50-97
Administering Agency: Environmental Protection Agency
The Clean Air Act is the comprehensive Federal law that regulates air emissions from area,
stationary, and mobile sources. This law authorizes the U.S. Environmental Protection Agency
to establish National Ambient Air Quality Standards (NAAQS) to protect public health and theenvironment.
The goal of the Act was to set and achieve NAAQS in every state by 1975. The setting of
maximum pollutant standards was coupled with directing the states to develop state
implementation plans (SIP's) applicable to appropriate industrial sources in the state.
The Act was amended in 1977 primarily to set new goals (dates) for achieving attainment of
NAAQS since many areas of the country had failed to meet the deadlines. The 1990
amendments to the Clean Air Act in large part were intended to meet unaddressed or
insufficiently addressed problems such as acid rain, ground-level ozone, stratospheric ozone
depletion, and air toxics.
4. Clean Water Act (Federal Water Pollution Control Act) (1972)
Statute: 33 U.S.C. Sec 1251 et seq
Regulations: 40 CFR §§104-159, 400-471
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Administering Agency: Environmental Protection Agency
Growing public awareness and concern for controlling water pollution led to enactment of theFederal Water Pollution Control Act Amendments of 1972. As amended in 1977, this law
became commonly known as the Clean Water Act. The Act established the basic structure forregulating discharges of pollutants into the waters of the United States. It gave EPA theauthority to implement pollution control programs such as setting wastewater standards forindustry. The Clean Water Act also continued requirements to set water quality standards for
all contaminants in surface waters. The Act made it unlawful for any person to discharge any
pollutant from a point source into navigable waters, unless a permit was obtained under its
provisions. It also funded the construction of sewage treatment plants under the construction
grants program and recognized the need for planning to address the critical problems posed by
nonpoint source pollution.
Subsequent enactments modified some of the earlier Clean Water Act provisions. Revisions in
1981 streamlined the municipal construction grants process, improving the capabilities oftreatment plants built under the program. Changes in 1987 phased out the construction grants
program, replacing it with the State Water Pollution Control Revolving Fund, more commonly
known as the Clean Water State Revolving Fund. This new funding strategy addressed water
quality needs by building on EPA-State partnerships.
The law is codified in 33 U.S.C. Chapter 26, which is available online through a number ofsources.
5. Emergency Planning & Community Right to Know Act (EPCRA)
Statute: 42 U.S.C. 11001 et seq. (1986)
Regulations: 40 CFR §§350-372
Administering Agency: Environmental Protection Agency
Also known as Title III of SARA, EPCRA was enacted by Congress as the national legislationon community safety. This law was designated to help local communities protect public health,safety, and the environment from chemical hazards.
To implement EPCRA, Congress required each state to appoint a State Emergency Response
Commission (SERC). The SERC's were required to divide their states into Emergency Planning
Districts and to name a Local Emergency Planning Committee (LEPC) for each district.
Broad representation by fire fighters, health officials, government and media representatives,
community groups, industrial facilities, and emergency managers ensures that all necessary
elements of the planning process are represented.
6. Oil Pollution Act
Statute: 33 U.S.C. 2702 et seq
Regulations: 33 CFR §§135
Administering Agency: United States Coast Guard
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ENVIRONMENTAL MANAGEMENT SYSTEM MANUALThe Oil Pollution Act (OPA) of 1990 streamlined and strengthened EPA’s ability to preventand respond to catastrophic oil spills. A trust fund financed by a tax on oil is available to clean
up spills when the responsible party is incapable or unwilling to do so. The OPA requires oil
storage facilities and vessels to submit to the Federal government plans detailing how they will
respond to large discharges. EPA has published regulations for aboveground storage facilities;
the Coast Guard done so for oil tankers. The OPA also requires the development of Area
Contingency Plans to prepare and plan for oil spill response on a regional scale.
7. Pollution Prevention Act
Statute: 42 U.S.C. 13101 and 13102, sections et seq. (1990)
Regulations: various
Administering Agency: Environmental Protection Agency
The Pollution Prevention Act focused industry, government, and public attention on reducing
the amount of pollution through cost-effective changes in production, operation, and raw
materials use. Opportunities for source reduction are often not realized because of existing
regulations, and the industrial resources required for compliance, focus on treatment anddisposal. Source reduction is fundamentally different and more desirable than waste
management or pollution control.
Pollution prevention also includes other practices that increase efficiency in the use of energy,
water, or other natural resources, and protect our resource base through conservation. Practices
include recycling, source reduction, and sustainable agriculture.
8. Resource Conservation and Recovery Act (Solid Waste Disposal Act) (RCRA)
Statute: 42 U.S.C. Sec 6901 et seq. (1976)
Regulations: 40 CFR §§ 239-282
Administering Agency: Environmental Protection Agency
RCRA (pronounced "rick-rah") gave EPA the authority to control hazardous waste from the"cradle-to-grave." This includes the generation, transportation, treatment, storage, and disposalof hazardous waste. RCRA also set forth a framework for the management of non-hazardous
wastes.
The 1986 amendments to RCRA enabled EPA to address environmental problems that could
result from underground tanks storing petroleum and other hazardous substances. RCRA
focuses only on active and future facilities and does not address abandoned or historical sites(see CERCLA).
HSWA (pronounced "hiss-wa")—The Federal Hazardous and Solid Waste Amendments are the1984 amendments to RCRA that required phasing out land disposal of hazardous waste. Someof the other mandates of this strict law include increased enforcement authority for EPA, more
stringent hazardous waste management standards, and a comprehensive underground storagetank program.
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9. Toxic Substances Control Act
Statute: 15 U.S.C. Sec 2601 et seq. (1976)
Regulations: 40 CFR §§700-790
Administering Agency: Environmental Protection Agency
The Toxic Substances Control Act (TSCA) of 1976 was enacted by Congress to give EPA theability to track the 75,000 industrial chemicals currently produced or imported into the UnitedStates. EPA repeatedly screens these chemicals and can require reporting or testing of thosethat may pose an environmental or human-health hazard. EPA can ban the manufacture andimport of those chemicals that pose an unreasonable risk.
Also, EPA has mechanisms in place to track the thousands of new chemicals that industry
develops each year with either unknown or dangerous characteristics. EPA then can control
these chemicals as necessary to protect human health and the environment. TSCA supplements
other Federal statutes, including the Clean Air Act and the Toxic Release Inventory under
EPCRA
10. Safe Drinking Water Act
Statute: 42 U.S.C. 300f et seq. (1974)
Regulations: 40 CFR §§141-142
Administering Agency: Environmental Protection Agency
The Safe Drinking Water Act was established to protect the quality of drinking water in the
U.S. This law focuses on all waters actually or potentially designed for drinking use, whether
from above ground or underground sources.
The Act authorized EPA to establish safe standards of purity and required all owners or
operators of public water systems to comply with primary (health-related) standards. State
governments, which assume this power from EPA, also encourage attainment of secondary
standards (nuisance-related).
11. Endangered Species Act
Statute: 7 U.S.C. 136; 16 U.S.C. 460 et seq. (1973)
Regulations: Various
Administering Agency: Department of Interior / Environmental Protection Agency
The Endangered Species Act provides a program for the conservation of threatened andendangered plants and animals and the habitats in which they are found. The U.S. Fish andWildlife Service of the Department of the Interior maintains the list of 632 endangered species(326 are plants) and 190 threatened species (78 are plants).
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Species include birds, insects, fish, reptiles, mammals, crustaceans, flowers, grasses, and trees.
Anyone can petition FWS to include a species on this list. The law prohibits any action,
administrative or real, that results in a "taking" of a listed species, or adversely affects habitat.
Likewise, import, export, interstate, and foreign commerce of listed species are all prohibited.
EPA's decision to register a pesticide is based in part on the risk of adverse effects on
endangered species as well as environmental fate (how a pesticide will affect habitat). Under
FIFRA, EPA can issue emergency suspensions of certain pesticides to cancel or restrict theiruse if an endangered species will be adversely affected. Under a new program, EPA, FWS, and
USDA are distributing hundreds of county bulletins that include habitat maps, pesticide use
eliminations, and other actions required to protect listed species.
12. Noise Control Act of 1972
Statute: 42 U.S.C. 4901 et seq
Regulations: 40 CFR §§204-205
Administering Agency: Environmental Protection Agency
SEC. 2 [42 U.S.C. 4901] Findings and Policy.
(a) The Congress finds-(1) that inadequately controlled noise presents a growing danger to the health and welfare of
the Nation's population, particularly in urban areas;(2) that the major sources of noise include transportation vehicles and equipment, machinery,
appliances, and other products in commerce; and(3) that, while primary responsibility for control of noise rests with State and local
governments, Federal action is essential to deal with major noise sources in commerce control
of which require national uniformity of treatment.
(b) The Congress declares that it is the policy of the United States to promote an environment
for all Americans free from noise that jeopardizes their health or welfare. To that end, it is the
purpose of this Act to establish a means for effective coordination of Federal research andactivities in noise control, to authorize the establishment of Federal noise emission standards
for products distributed in commerce, and to provide information to the public respecting thenoise emission and noise reduction characteristics of such products.
13.

Hazardous Materials Transportation Act (HMTA)
as amended by theHazardous Materials Transportation Uniform Safety Act of 1990, PL 101-615
Statute: 49 U.S.C. § 1801-1819
Regulations: 49 CFR § 106-180
Administering Agency: U.S. Department of Transportation
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General Description: The Hazardous Materials Transportation Act (HMTA) empowers the U.S.
Department of Transportation to regulate the transportation of hazardous materials by rail, aircraft,
vessel, and public highway. HMTA was amended in 1976 and 1990. These amendments substantiallyrevised existing provisions and added new requirements. Hazardous materials are defined as thosechemicals that the Department of Transportation has determined pose unreasonable risks to health,safety, and property during transport activities (see 49 CFR § 172.101). The statute and its regulations
address issues such as shipping papers to identify and track hazardous materials, packaging andcontainer design, marking, labeling, and performance standards, and employee and public training
programs. The regulations also contain specific requirements relating to the type of shipment being
used (i.e., rail, aircraft, vessel, and public highway).
Major Statutory and Regulatory Provisions:
Directs the Secretary of Transportation to issue regulations addressing the designation, description, andclassification of hazardous materials; packaging, labeling, and marking requirements applicable tohazardous materials; and the design, manufacturing, testing, and maintenance of packages orcontainers used in hazardous material transportation (49 U.S.C. § 1804; 49 CFR 171, 173-177)
Directs each state to designate and enforce specific highway routes that may be used for hazardous
materials transportation and to establish limitations and conditions on the use of those approved routes(49 U.S.C. § 1804; 49 CFR 171, 173-177)
Requires the Secretary of Transportation to issue regulations addressing safety training for all
employees involved with the handling, storing, management, and transportation of hazardous materials(49 U.S.C. 1805; 49 CFR 172, Subpart H)
Requires the Secretary of Transportation to promulgate rules addressing emergency preparedness forresponding to accidents or incidents relating to hazardous materials transportation (49 U.S.C. § 1805;
49 CFR 172, Subpart G)
Requires all persons who offer any regulated hazardous material for transport to describe the material
appropriately in the accompanying shipping papers (49 U.S.C. § 1804; 49 CFR 172, Subpart C)
Requires that persons who offer regulated hazardous materials for transportation mark each package orcontainer to identify the hazardous materials according to approved methods as specified in theregulations (49 U.S.C. § 1804; 49 CFR 172, Subpart D)
Requires that persons offering hazardous materials for transportation properly label or placeappropriate placards on the package or container used in the transport activity (49 U.S.C. § 1804; 49
CFR 172, Subparts E, F)
Establishes a grant program for states to establish hazardous material training programs for the public
sector (49 U.S.C. § 1815; 49 CFR 110)
Establishes a comprehensive set of general requirements for shipments and packaging of hazardous
materials, addressing the proper preparation (e.g., correct package selection and quantity limits) for
transportation, classification of hazardous materials, and the specific types of containers and packages
that can be used to transport materials in each classification (49 U.S.C. § 1804-1805; 49 CFR 173)
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Provides additional handling, operating, loading, and management requirements for the shipment of
hazardous materials by each of the following transportation modes: rail, aircraft, vessel, and public
highway (49 U.S.C. § 1804-1805; 49 CFR 174-177)
Sets out technical design, manufacturing, and performance standards for the various packages andcontainers used in hazardous material transportation (49 U.S.C. § 1804-1805; 49 CFR 178)
Provides technical design, manufacturing, and performance standards for rail cars used in hazardous
materials transportation (40 U.S.C. § 1804-1805; 49 CFR 179)
Applies to or Affects: Handling, storage, management, and transportation of hazardous materials andlabeling, packing, and shipping of hazardous materials.

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Title 40--Protection of Environment
CHAPTER I--ENVIRONMENTAL PROTECTION AGENCY
See link to electronic code of federal regulations, Title 40 Code of Federal Regulations –Protection of the Environmental, Chapter 1 – Environmental Protection Agency:
https://www.ecfr.gov/cgi-bin/textidx?SID=819c51846650c39595d77881bcf7ea9e&mc=true&tpl=/ecfrbrowse/Title40/40chapterI.tpl

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