CECW-ON

Pamphlet No.

200-2-3

Department of the Army

U.S. Army Corps of Engineers

Washington, DC 20314-1000

EP 200-2-3

30 Oct 96

Environmental Quality

ENVIRONMENTAL COMPLIANCE GUIDANCE

AND PROCEDURES

Distribution Restriction Statement

Approved for public release; distribution is unlimited.
i

DEPARTMENT OF THE ARMY EP 200-2-3

U.S. Army Corps of Engineers

CECW-OA Washington, D.C. 20314-1000

Pamphlet

No. 200-2-3 30 October 1996

Environmental Quality

ENVIRONMENTAL COMPLIANCE

 GUIDANCE AND PROCEDURES

TABLE OF CONTENTS

Paragraph Page

CHAPTER 1 INTRODUCTION

Purpose 1-1 1-1

Applicability 1-2 1-1

References 1-3 1-1

Glossary 1-4 1-3

CHAPTER 2 ENVIRONMENTAL COMPLIANCE COORDINATORS

Reserved.

CHAPTER 3 ENVIRONMENTAL COMPLIANCE ASSESSMENTS

Reserved.

CHAPTER 4 POLLUTION PREVENTION

Purpose 4-1 4-1

Applicability 4-2 4-1

Background 4-3 4-1

Guidance 4-4 4-2

Additional Definitions 4-5 4-3

CHAPTER 5 OIL AND HAZARDOUS SUBSTANCES SPILLS

Purpose 5-1 5-1

Applicability 5-2 5-1

Spill Plan Documents 5-3 5-1

CHAPTER 6 POLYCHLORINATED BIPHENYLS MANAGEMENT

Purpose 6-1 6-1

Applicability 6-2 6-1
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Paragraph Page

Guidance 6-3 6-1

Safety and Occupational Health 6-4 6-1

Records and Reporting 6-5 6-2

CHAPTER 7 OPERATING POTABLE WATER SYSTEMS AT USACE PROJECTS AND

FACILITIES

Reserved.

CHAPTER 8 ENVIRONMENTAL COMPLIANCE TRAINING REQUIRED BY STATUTE

AND IMPLEMENTING REGULATIONS

Reserved.

CHAPTER 9 FEDERAL FACILITY COMPLIANCE ACT (FFCA) OF 1992, FINES AND

PENALTIES

Reserved.

CHAPTER 10 MANAGING OZONE DEPLETING SUBSTANCES AT USACE PROJECTS

AND FACILITIES

Purpose 10-1 10-1

Applicability 10-2 10-1

Guidance 10-3 10-1

Yearly Updates 10-4 10-4

Resourcing ODC Elimination 10-5 10-4

CHAPTER 11 ENVIRONMENTAL MANAGEMENT PROGRAM PLANNING (FED PLAN)

Reserved.

CHAPTER 12 THE FEDERAL AGENCY HAZARDOUS WASTE COMPLIANCE DOCKET

Reserved.

CHAPTER 13 - HAZARDOUS WASTE MANAGEMENT

Purpose 13-1 13-1

Applicability 13-2 13-1

Guidance 13-3 13-1

Records and Reports 13-4 13-2

Good Management Practices 13-5 13-2

APPENDIX A REFERENCES A-1

APPENDIX B SPILL AND EMERGENCY PLAN REVIEW PROCESS B-1
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Paragraph Page

APPENDIX C RECOMMENDED ORGANIZATION OF A SPILL PREVENTION AND

RESPONSE PLAN (SPRP) C-1

APPENDIX D TRAINING REQUIREMENTS FOR SPILL RESPONSE D-1

APPENDIX E 40 CFR, PART 110, DISCHARGE OF OIL E-1

APPENDIX F 40 CFR, PART 355, EMERGENCY PLANNING AND NOTIFICATION F-1
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1-1

CHAPTER 1 - INTRODUCTION

1-1. Purpose. This pamphlet establishes guidance for the management of environmental

compliance-related operations and maintenance (O&M) activities at U.S. Army Corps of

Engineers (USACE) civil works and military projects and facilities and supplements Engineer

Regulation (ER) 200-2-3. The environmental compliance mission is to assure that all USACE

facilities and associated lands (including outgrants) meet all applicable and appropriate

environmental standards contained in relevant Federal, state and local laws and regulations. The

environmental compliance mission is also related to environmental stewardship. Therefore, this

pamphlet should be read in tandem with EP 1130-2-540, Environmental Stewardship Operations

and Maintenance Guidance and Procedures. Environmental compliance categories include, but

are not limited to:

a. Air emissions management

b. Cultural resources management

c. Hazardous materials management

d. Hazardous waste management

e. Natural resources management

f. Pesticides management

g. Petroleum, oil, and lubricant management

h. Solid waste management

i. Storage tank management

j. Toxic substances management

k. Wastewater management

1-2. Applicability. This pamphlet applies to all USACE commands having responsibility for civil

works functions and to military-funded projects and facilities.

1-3. References. See Appendix A. 

1-4. Glossary.

a. Cleanup Operation. A non-emergency operation where hazardous substances or oil are

removed, contained, incinerated, neutralized, stabilized, cleared up, or in any other manner

processed or handled with the ultimate goal of making the site safer for people or the

environment. A clean up operation may be a post-emergency spill response or may be a clean up

action without being preceded by an emergency phase. 
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b. Commander/Director. The organizational leader, such as the District Commander,

Laboratory Director, FOA Director, etc.

c. Discharge. Including, but not limited to, any spilling, leaking, pumping, pouring,

emitting, emptying, or dumping. "Discharge" shall not include any discharge authorized by a legal

permit.

d. Emergency Spill Response. The response to a spill of oil or a hazardous substance that

poses an immediate or potentially immediate threat to persons, property or the environment. The

purpose of the response is to prevent the spill from entering or continuing to enter the

environment. Once under control where the oil or substance is no longer an immediate threat to

persons, property or the environment, the spill response becomes a non-emergency spill clean up.

e. Extremely Hazardous Substance. A substance listed as an "extremely hazardous

substance" in Appendices A and B of 40 CFR Part 355.

f. First Responder. An emergency spill responder as defined in 29 CFR 1910.120(q) who

works at either of the lowest two levels of response: First Responder, Awareness Level or First

Responder, Operational Level.

g. Hazardous Material. Any material designated as a "hazardous material" pursuant to 49

CFR 172. All hazardous materials are hazardous substances, except oil.

h. Hazardous Materials Technician or Specialist. An emergency spill responder as

defined in 29 CFR 1910.120(q) who has at least 24 hours of specialized training and works at the

third or fourth highest levels (of five levels): Hazardous Materials Technician (third highest level)

or Hazardous Materials Specialist (second highest level.) For further definition, see 

Chapters 4 and 5.

i. Hazardous Materials Response Team (or HazMat Team). An organized group of

responders who handle or control spills of oil or hazardous substances requiring possible close

approach to the substance. The purpose of their response is to control and stabilize the incident. 

Note: First Responders are not part of the HazMat team. 

j. Hazardous Substance. Any substance designated as a "hazardous substance" pursuant

to 40 CFR Part 302. For the purposes of this guidance, references to "hazardous substance"

include any hazardous chemical and extremely hazardous substance. 

k. Hazardous Waste. Any waste designated as a "hazardous waste" pursuant to 40 CFR

260-261. All hazardous wastes are hazardous materials, and therefore hazardous substances.

l. Hazardous Waste Site Worker. A non-emergency worker at a hazardous waste clean

up site as defined in 29 CFR 1910.120(e) who usually has at least 40 hours of specialized training

to work at hazardous waste clean-up sites. 

m. Incident Command System (ICS). A formal system a HazMat team uses to manage

the site of an emergency spill response. The system typically includes a designated incident

commander, safety officer, and a logistics officer. (Note: For small scale emergency spill

responses, these duties may all be performed by the same one or two individual(s).) 
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n. Incident Commander. See "On Scene Commander."

o. Oil. Oil of any kind or in any form, including, but not limited to, petroleum, fuel oil,

sludge, oil refuse and oil mixed with waste other than dredged disposal material.

p. On Scene Commander. An emergency spill responder as defined in 29 CFR

1910.120(q) who has at least 6 hours of specialized training in incident Responder, Awareness

Level (lowest level) or First Responder, Operations Level (second lowest level) and who is

designated to control and coordinate an emergency spill response at the scene of an oil or

hazardous substance spill, the highest of five levels of emergency spill response. For further

definition, see Appendix 5-C.

q. Release. Any spilling, leaking, pouring, emitting, emptying, discharging, injecting,

escaping, leaching, dumping, or disposing into the environment of any hazardous chemical,

extremely hazardous substance, or CERCLA hazardous substances.

r. Reportable Quantity. The quantity of a spilled hazardous substance specified in 40

CFR 302 at which the facility spilling that substance becomes subject to certain notification

requirements. 

s. Spill. The accidental or the deliberate but unpermitted discharge or release of

reportable quantities of oil or a hazardous substance. 

t. Spill Contingency Plan. A plan required for some non-transportation-related facilities

that outlines specific operational and administrative procedures that can be used by facility

personnel to respond to an accidental spill of oil or a hazardous substance. Spill contingency

plans must comply with standards established in 40 CFR 112.7.

u. Spill Plan. Usually a Spill Prevention, Control, and Countermeasure Plan, often

containing a Spill Contingency Plan. Some spill plans will also meet requirements for the facility's

Emergency Response Plan (set forth in 29 CFR 1910.120) and/or for

its Emergency Action Plan (set forth in 29 CFR 1910.38).

v. Spill Prevention, Control and Countermeasure Plan. A plan required at some nontransportation-related facilities pursuant to 40 CFR 112 that should describe what actions the

facility will take to prevent a discharge or release of oil or a hazardous substance from reaching

navigable waters. For more detail, see Chapter 5.

w. Spill Prevention and Response Plan. A plan that combines several required planning

documents into a single organized document, including (1) the Spill Prevention, Control and

Countermeasure Plan, (2) the Spill Contingency Plan, (3) the Emergency Response Plan, and (4)

the Emergency Action Plan. 

x. Spill Response. A response to a spill of oil or a hazardous substance. A "spill

response" could include an Emergency Spill Response and/or a Cleanup Operation.

y. Spill Response Team. A team of trained, equipped spill responders that may be formed

from USACE personnel, contractor personnel, MOA partner personnel, or any combination of

these groups, to provide emergency spill response for a facility. Spill response teams may include

First Responders.
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z. USACE Operated Facility. Those facilities operated using USACE personnel, and

those facilities operated by USACE contractors where the USACE has active, directive control

and management of the facility. USACE operated facilities include structures such as buildings,

dams, powerplants, locks, and pipelines, as well as public lands and waters. Conversely, nonUSACE operated facilities are facilities operated by a non-USACE entity where an appropriate

outgrant, such as leased areas, where USACE personnel and/or USACE contractors do not have

active direct control and management of the facility.

aa. Vessel Response Plan. A shipboard oil spill emergency plan that outlines specific

operational and administrative procedures that can be used by the vessel's crew to minimize the

release and effects of an accidental oil spill. Vessel Response Plans must comply with the

requirements of the international pollution prevention agreement, MARPOL 73/78 and 33 CFR

Part 155, including the Oil Pollution Act-90 (OPA-90) amendments.

ab. Emergency Action Plan. A written plan developed for a workplace, or parts thereof,

in accordance with 29 CFR 1910.38(a) which covers those designated actions employers and

employees must take to ensure employee safety from fire and other emergencies. The plan

includes a minimum of 6 specific elements described in the regulation.

 ac. Emergency Response Plan. A written plan developed and implemented in 

accordance with 29 CFR 1910.120(q)(1)&(2) to handle anticipated emergencies prior to the

commencement of emergency response operations. The plan describes an employer’s strategy for

providing for a response to an emergency when one or more employees is/are allowed or 

required to respond to that emergency. It includes a minimum of 12 specific elements described 

in the regulation.
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CHAPTER 2 - ENVIRONMENTAL COMPLIANCE COORDINATORS

Reserved.
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CHAPTER 3 - ENVIRONMENTAL COMPLIANCE ASSESSMENTS

Reserved.
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4-1

CHAPTER 4 - POLLUTION PREVENTION

4-1. Purpose. This chapter establishes guidance for implementing the USACE Pollution

Prevention Program for Civil Works functions.

4-2. Applicability. This chapter applies to all USACE commands having responsibility for civil

works functions, and to military-funded USACE facilities.

4-3. Background.

a. Federal legislation was passed in 1986, prompted by accidental industrial releases of

toxic chemicals which, in one case in Bhopal, India, killed and injured hundreds of people in the

area immediately surrounding the facility. The legislation provided for Emergency Planning

between industry and state and local governments to protect public health and safety and the

environment, and to coordinate a national chemical emergency planning system. Additional

purposes of the legislation included the: increased awareness of chemical hazards; support and

focus of state and local planning activities; and support of chemical accident and pollution

prevention initiatives. Commonly called “EPCRA”, the Emergency Planning and Community

Right-to-Know Act of 1986 requires industry to report certain chemicals and materials, and to

establish and maintain a relationship with communities potentially affected by their facilities. 

b. Executive Order 12856 extends the requirements of EPCRA to Federal facilities and

requires the establishment of Pollution Prevention Programs at each Federal agency, and

completion of pollution prevention plans at the facility level. The U.S. Environmental Protection

Agency (EPA) oversees the Pollution Prevention Program of Federal agencies through guidance,

training, technical assistance, and reporting of progress and status.

c. The EPCRA, Executive Order 12856, and several other environmentally related

Executive Orders, have resulted in a pollution prevention program within the Departments of

Defense and of the Army and in the U.S. Army Corps of Engineers (USACE). Since 1992

Prevention has been one of the four pillars in the U.S. Army Environmental Strategy into the 21st

Century, along with compliance, restoration, and conservation. Pollution prevention, through

“source reduction” has been a guiding principle of the Pollution Prevention Act since 1990. With

Executive Order 12856 in September of 1993, a formal Federal agency-wide program has been

formulated and USACE is committed to be a leader in pollution prevention.

d. Pollution prevention is the use of materials, processes, or practices which reduce or

eliminate pollution at its source. It focuses on eliminating discharges of hazardous or toxic

chemicals to the environment and protects natural resources through conservation and improved

efficiency. Pollution prevention also reduces the use of hazardous materials, energy, and water. 

This is a “multi-media” approach to improving the environment and in operating our facilities

more efficiently by managing all environmental media; air, land, and water, together.

e. Preventing pollution, through source reduction, is the first step in protecting the

environment. Other steps, in descending order, are recycling, treatment, and disposal in an

environmentally acceptable manner. A successful pollution prevention program can reduce costs,

increase efficiency, improve the quality of our service to the Nation, foster a healthy and safe

facility for our visitors and employees, and improve the environment.
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4-4. Guidance.

a. Each USACE organization, from the Headquarters to the project or facility level, must

develop a Pollution Prevention Program. Pollution prevention is everyone’s responsibility; from

the commander to each team member.

b. Major products of the Pollution Prevention Program include: pollution prevention

opportunity assessments, pollution prevention plans, pollution prevention measures, and reports.

(1) Pollution prevention opportunity assessments are performed at each project and

facility or whenever practicable, pollution prevention opportunity assessments developed for

similar projects or facilities are adapted. The purpose of the assessment is to develop, update and

implement the pollution prevention program. The assessment characterizes operations at the

project or facility, provides an inventory of previous and on-going initiatives, quantifies usages,

releases and wastes, develops opportunities for reducing usage, releases, and wastes, and analyzes

the technical, environmental and economic feasibility of selected opportunities.

(2) Pollution prevention plans combine the results of the opportunity assessments in a

logical plan for implementing cost-effective projects and activities that will prevent pollution at

the facility. Opportunities and processes identified in the assessments and plans must be

evaluated, rated, and set in place on the basis of their life-cycle costs and value added to the

facility. Most pollution prevention plans will contain significant information on how findings are

to be implemented. Projects and facilities may be combined or grouped into a single pollution

prevention plan. Groupings may be on the basis of pollutant type, operational purposes or

features, administrative or management units, or geographic affinity (e.g. area, region, watershed,

state, district). Districts should obtain concurrence of the Major Subordinate Command before

committing to groups or combinations. For reasons of schedule and funding, details of

implementation for some plans, may be developed after pollution prevention plans have been

completed. Pollution prevention plans, either an individual or a group plan, must be maintained at

the site and must be made available at the request of the public and the regulatory community.

(3) Once approved and resourced, the activity, contract, modification, or whatever form

the pollution prevention implementation takes becomes a measure. Pollution prevention measures

may include modifying a painting process, or eliminating painting at the site and contracting it out. 

Another example may be changing underground fuel storage tanks to above ground storage tanks

of smaller volume.

(4) Reporting may be required by higher authority to meet Department of Defense and

Department of the Army report requirements, or as a measure of USACE performance in

preventing pollution. EPA may conduct data calls and require periodic reports direct from each

facility.

c. Establishing a baseline and measuring success. Pollution prevention program

effectiveness is determined by comparing benefits and improvements against an established facility

baseline.

(1) The baseline is a comprehensive picture of the materials usage patterns and

environmental impacts resulting from the operation of the facility. The baseline can best be

generated by the operating staff, although outside assistance can often be helpful as a new 
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perspective on how and why things are done the way they are. Each waste generating operation,

including; purchasing and handling of raw materials and other incoming products, and location

and processes of where they are being used, must be assessed and quantified as distinctly as

possible. The baseline must show: what wastes and pollutants are being generated; what

processes are generating these wastes and pollutants; and what volumes and characteristics of the

wastes are being generated.

(2) The baseline often takes the form of a matrix comparing the before and after

conditions. The matrix may list the process, or waste stream, or material use for a baseline year,

and compare it against the changes effected due to pollution prevention measures. Executive

Order 12856 requires a baseline year no later than 1994, i.e. the matrix would show the project

condition in 1994. It may be advantageous to make the baseline condition earlier if project or

facility advancements prior to 1994 should be credited to pollution prevention.

(3) EPCRA and Department of Defense focus is on toxic chemicals. Toxic chemicals

must be included in the baseline. The typical USACE facility will be addressing more

environmentally benign conditions than originally envisioned by EPCRA and Department of

Defense. This is in part due to the non-industrial nature of USACE projects and facilities, and

because of good environmental stewardship and sound practices that are ingrained in USACE

environmental management. The Department of the Army has agreed that USACE does not have

the toxic chemical inventories upon which EPCRA and agency goals are predicated. 

Consequently, USACE will not be contributors to the Department of Defense goal of 50 percent

of Toxic Release Inventory reductions. 

(4) This makes the establishment of a reasonable baseline, and quantifying improvements

in preventing pollution, more subjective for USACE than for other Department of Defense

facilities. It is equally important for USACE, as committed leaders in pollution prevention, to

develop baselines that include any source of pollution at the project or facility. It is also important

that the source reduction of pollution at the project or facility be quantified in a realistic way to

demonstrate the effectiveness of its pollution prevention program.

4-5. Additional Definitions. A number of terms are used in policy and guidance documents that

require further amplification. Following are some of the more commonly used terms: most

require reference to lists or explanations contained in other sources such as EPCRA. In all cases

our use of terms in USACE is intended to agree with their uses and definitions by EPA and in

Executive Order 12856 and in EPCRA.

a. Extremely Hazardous Substances. Refer to EPCRA sections 301 to 303. See 40 CFR

355, Appendixes A & B: both list the same chemicals, in alphabetical order and by the Chemical

Abstract Service (CAS) number.

b. Extremely Hazardous Substances and CERCLA Hazardous Substances. Refer to

EPCRA section 304. See 40 CFR 355 and 302.4.

c. Hazardous Chemical Inventory. Refer to EPCRA section 311 and 40 CFR 370.21. 

Also refer to EPCRA section 312 and 40 CFR 370.25. Covers the OSHA Hazardous Chemicals

(no specific list). Material Safety Data Sheets are required for OSHA Hazardous Chemicals. If a

Material Safety Data Sheet is not required for a material, it is not subject to EPCRA sections 311

and 312.
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d. Toxic Chemical Release. EPCRA section 313 and 40 CFR 372. These are the Form

“R” Reportable chemicals.

e. Toxic Chemical. A substance on the list described in EPCRA, section 313 (c) and

found in 40 CFR 372.65.

f. Toxic Pollutant. The term includes, but is not limited to, those chemicals subject to the

provisions of EPCRA, section 313, as of December 1, 1993. It does not include hazardous waste

subject to remedial action generated prior to the date of Executive Order 12856, 3 August 1993. 

These wastes cannot be affected by “source reduction” and should not be factored into the

baseline for measuring progress in pollution prevention.

g. Additions to Toxic Pollutants. Federal agencies may choose to include releases and

transfers of other chemicals, such as “extremely hazardous chemicals” as defined in section 329(3)

of EPCRA, hazardous wastes as defined under Resource Conservation and Recovery Act of

1976, or hazardous air pollutants under the Clean Air Act Amendments; however, for the

purposes of establishing the baseline, these are additions to the EPCRA section 313 chemicals

(not instead of).
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CHAPTER 5 - OIL AND HAZARDOUS SUBSTANCES SPILLS 

5-1. Purpose. This chapter establishes guidance for developing spill plan documents for spills

involving USACE or USACE contractor operations on USACE owned or leased land. 

5-2. Applicability.

 a. This guidance applies to USACE commands having responsibility for civil works-funded

facilities and activities, including floating plant. USACE military-funded facilities and activities

are subject to guidance provided in AR 200-1, Environmental Protection and Enhancement. 

Hazardous, Toxic and Radioactive Waste (HTRW) program activities and projects are subject to

guidance provided in CEMP-RT memorandum, 20 Jul 95, subject: Spill Reporting Procedures

for USACE Personnel Involved in HTRW Projects.

 b. The term “Commander/Director” is used to refer to the organizational leader, such as the

District Commander, Laboratory Director, FOA Director, etc.

5-3. Spill Plan Documents.

a. For vessels, Vessel Response Plan guidance was distributed in CECW-OD

memorandum dated 24 May 93, subject: Shipboard Oil Spill Emergency Plans. Guidance for

onshore facilities is provided below.

b. HQUSACE recommends using a single spill plan document format to meet all the

requirements specified in various regulations for the Spill Prevention, Control and

Countermeasure Plan; the Spill Contingency Plan; the Emergency Response Plan; and the

Emergency Action Plan. Appendix B, Spill and Emergency Plan Review Process, provides

guidance on determining which, if any, of these four related plans might be required. Guidance on

developing plans is in Appendix C, Recommended Organization of a Spill Prevention and

Response Plan (SPRP).

c. USACE facility spill plans will identify potential spill site locations, specific measures to

be taken in case of a spill from those facilities or activities, and what level of emergency spill

response is expected from USACE personnel to provide that response. The plan will also specify

at what emergency spill response level USACE personnel at that location will be trained, and the

Commander/Director will assure that USACE personnel are not responding at levels beyond their

qualifications or authorization. (See Appendix D, Training Requirements for Spill Response.)

d. Responsibility to assure that USACE facility spill plans are promptly developed and

adequately meet requirements rests with the functional element responsible for the operation of

the facility. In many cases, this will be the Operations element, but in some cases it may be

Engineering, Construction Logistics or Emergency Management. The functional element may

write the spill plan itself or may enlist the aid of other Corps elements, other agencies or

contractors to obtain an effective plan. No matter who actually develops the plan, involvement of

facility personnel is important.
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CHAPTER 6 - POLYCHLORINATED BIPHENYLS MANAGEMENT

6-1. Purpose. This chapter establishes guidance for the continued use and disposal of

Polychlorinated Biphenyls (PCBs).

6-2. Applicability. This chapter applies to all USACE commands having responsibility for civil

works functions, including floating plant. USACE military-funded facilities shall adopt the PCB

management guidance in AR 200-1 Environmental Protection and Enhancement, in coordination

with CECW-OA. 

6-3. Guidance.

a. Regulations which involve the use, handling and disposal of PCB material are

summarized in the Army Environmental Hygiene Agency, Environmental Quality Information

Paper #18, "Regulations Concerning Polychlorinated Biphenyls," dated 14 Jan 91. (See

Environmental Compliance Coordinators for current copy.) Consult the latest edition of 40 CFR,

Part 761 for current regulatory requirements.

b. The Operations Project Manager (or facility manager if outside a project) will sign the

annual report required by 40 CFR 761.180 by 1 July each year. 

6-4. Safety and Occupational Health.

a. Hazard communication training shall be provided to ensure employees fully understand

the hazard and effects of exposure to PCBs. Common sense actions that are important to stress

when working with PCB containing materials are described on PCB product Material Safety Data

Sheets. Data sheets should be reviewed prior to conducting PCB related work activities. 

b. Exposure assessment and monitoring will be used to determine airborne concentrations

of contaminants, select barriers to exposure and aid in selecting proper personal protective

equipment.

c. Medical surveillance will provide a biological and physiological basis for determining if

individuals can perform their job while wearing personal protective equipment such as respirators,

providing baseline biological indices and aiding in determining whether PCBs have been taken into

the body and if there have been any adverse affects.

(1) Employees with potential exposure to PCB must be given appropriate medical

examinations. At a minimum, these will include a medical history and physical examination

emphasizing liver function and skin condition. The liver function tests must include serum

glutamic oxaloacetic transaminase (SGOT), serum glutamic pyruvic transaminase (SGPT) and

gamma glutamyl transpeptidase (GGTP) determinations. 

(2) If respiratory protection is used, affected employees must be determined to be

physically able to perform work using that equipment annually.
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6-5. Records and Reporting.

a. Annual reports, analytical data, inventories, manifests, storage and disposition records,

release reports, and other PCB related records will be consolidated and retained at projects (or

facilities).

b. Accurate records of employees' exposure to PCB material on the job shall be

maintained. Employee exposure and medical records are to be retained for at least 40 years after

termination of employment.
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CHAPTER 7 - OPERATING POTABLE WATER SYSTEMS AT USACE PROJECTS AND

FACILITIES

Reserved.
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8-1

CHAPTER 8 - ENVIRONMENTAL COMPLIANCE TRAINING REQUIRED BY STATUTE

AND IMPLEMENTING REGULATIONS

Reserved.
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9-1

CHAPTER 9 - FEDERAL FACILITY COMPLIANCE ACT (FFCA) OF 1992, FINES AND

PENALTIES

Reserved.
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10-1

CHAPTER 10 - MANAGING OZONE DEPLETING SUBSTANCES (ODS) AT USACE

PROJECTS AND FACILITIES

10-1. Purpose. This chapter establishes guidance for managing ODSs at USACE projects and

facilities.

10-2. Applicability. This chapter applies to all USACE commands having responsibility for civil

works funded activities, including floating plant. USACE research and development laboratories

and other facilities that are wholly or substantially military funded but not located on military

installations shall adapt the ozone-depleting substance guidance in AR 200-1, Environmental

Protection and Enhancement, in coordination with CECW-OA. USACE facilities located on

Army installations will comply with the installation commanders’ ozone-depleting substance

elimination program requirements.

10-3. Guidance. 

a. Executive Order 12843 established a policy of the Federal government to implement

cost-effective programs to minimize procurement of materials and substances that contribute to

the depletion of stratospheric ozone and give preference to the procurement of alternative

chemicals, products and manufacturing processes that reduce overall risks to human health and

the environment by lessening the depletion of ozone in the upper atmosphere.

b. The Army’s objective is to end dependence on ODS use in equipment and processes so

that the pending phaseout of Class I ODSs causes minimal impact on Army missions. Although

the Class I phaseout applies to chemical production and import only, and does not apply to their

use, EO 12843 and Army policy do. Class I Substances list can be found in 40 CFR Part 82,

Appendix A. 

c. The key to efficiently eliminating ODSs from USACE projects and facilities is

developing and implementing comprehensive ODS elimination plans. Operations project

managers or facility managers should develop and execute ODS elimination plans addressing

applicable facilities and equipment. Advance planning for phaseout of ODSs will minimize impact

on individual projects and facilities. The following paragraphs describe the steps involved in ODS

elimination planning.

 (1) Step 1: Assign an ODS Elimination Coordinator

(a) It is recommended that MSC commanders and District commanders designate an

ODS coordinator in the Operations element since most of the affected facilities and equipment are

at operating projects. Laboratories and FOAs should also designate ODS coordinators. The

intent is to provide senior leadership with a responsible individual to monitor execution of ODS

elimination efforts throughout the division, district, laboratory, FOA, etc.

(b) ODS coordinators should be knowledgeable of USACE policies, and Federal, state

and local regulations concerning ODSs, and familiar with the operations and maintenance of 

projects and facilities, especially those having refrigeration, air conditioning, and fire suppression

systems. The ODS coordinator should also be familiar with the planning, programming and

budgeting processes.
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10-2

(c) It is further recommended that operations project managers and facility managers

appoint an individual to oversee and coordinate their ODS elimination efforts.

(2) Step 2: Inventory ODS Equipment and Supplies

(a) The first task is to assemble an accurate inventory of all equipment which uses ODSs

and an inventory of all ODS supplies on hand. The equipment inventory should include air

conditioning, refrigeration and fire fighting systems, and all other ODS applications. These

inventories will serve as the baseline for ODS elimination planning. The following information

should be gathered as part of the equipment inventory process:

 • Location of equipment - area, building, and room • Ownership - determine if equipment is project, PRIP, logistics or personal property 

• Equipment type - manufacturer, model, and serial number of affected components

• Chemical used - identify the ODS used and amount of chemical contained in the system 

• Operating record - include the date of installation and operating conditions of the system

which apply primarily to air conditioning and refrigeration units

 • Maintenance record - include scheduled maintenance actions, emergency repairs, leaks,

major overhauls and chemical recharges. The history of chemical requisition may be useful to

supplement maintenance records

• Future Plans - such as upcoming scheduled maintenance, building renovation,

demolition plans or facility realignment

(b) The information collected should include project and facility supplies and at least the

following information:

• Chemical type - chemical name, new or recycled product (for quality control)

• Storage location - building location and ownership

• Allocation - chemical dedicated for a specific use

• Amount - total chemicals at that location, volume, weight, number of containers (c) The equipment and chemical stock inventories should be prepared in a format that can

be updated over the course of the ODS elimination program. Periodic inventories are required.

(3) Step 3: Conservation Measures

(a) The next phase of the ODS elimination planning is establishing maintenance processes

aimed at conserving and recovering ODS chemicals. Conservation measures, such as leak

prevention, will be a major priority of the on-going maintenance. By preventing leaks, the
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10-3

project or facility will have to procure fewer ODSs to replenish systems and will have a larger

recoverable supply for reuse. For refrigeration and fire fighting systems, periodic checks using a

specialized chlorine detector may be preferable. For air conditioning systems, especially those in

detached mechanical rooms, a fixed detector may provide better protection against leaks. Fixed

fire suppression systems can be checked by monitoring cylinder pressure gauges. If leakage does

occur, the systems must be repaired immediately. Without a detection system, leakage might

progress to the point of reduced operating efficiency.

(b) Another conservation measure that can be implemented is the installation of high

efficiency purge units on centrifugal air conditioning systems. The high efficiency purges prevent

the venting of Chlorofluorocarbons (CFCs) during normal operation. These purges are a low cost

method to conserve refrigerant and may be considered for equipment not immediately scheduled

for retrofit or replacement.

(4) Step 4: ODS Recovery and Reuse

(a) After establishing accurate inventories, the operations project manager or facility

manager should then do an analysis or evaluation of each ODS application. Based on these

evaluations, decisions can be made regarding how to deal with each ODS being used.

(b) Halons installed in power distribution systems, computer facilities and other electronic

systems should be recovered. CFCs should also be recovered from project or facility systems

when retrofit or replacement occurs. CFCs recovered from projects or facilities may be reused at

the same project or facility. CFCs should also be recovered, reclaimed and reused if the project or

facility determines the expense of recovery and reclaiming equipment to be worthwhile as an

interim alternative to disposing used ODS solvents. 

(5) Step 5: Building the Elimination Plan

(a) With the information gathered from steps 1 through 4, operations project managers or

facility managers can build ODS elimination plans. The schedule for retrofitting or replacing

equipment should be based on a priority assessment.

(b) Retrofit refers to the modification of existing equipment so it can operate effectively

with an alternative chemical. Recovery of the Class I ODS chemical and recharging the system

with the replacement chemical is only part of the retrofit action. Frequently, additional system

components should be replaced during retrofit actions. For example, fire fighting system nozzles

and air conditioner lubricant should be compatible with the new chemicals used. The complexity

and cost of these modifications should be evaluated when deciding between retrofit and

replacement options.

(c) Replacement is the complete removal of an existing ODS dependent system and

installation of a new system that uses an environmentally acceptable alternative chemical. In some

cases, ODS containing equipment may no longer be needed and can be eliminated using approved

disposal procedures. Only hermetically sealed ODS systems, such as water coolers and

refrigerators, which require no ODS additions during maintenance, will be allowed to continue

operating indefinitely and eventually be replaced through normal attrition and eliminated using

approved disposal procedures.
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(d) Decisions on whether to retrofit or replace hardware will be based on factors such as

cost, condition, age, performance, and safety. Based on the information gathered during the

inventory, the project or facility manager can determine which systems are in need of immediate

attention, and which will be efficient and useful for a longer period. Those systems judged to be

high priority for major maintenance should be retrofitted or replaced before those systems which

are operating well. Listed below are some factors to consider when prioritizing and scheduling

retrofits and replacements.

High Priority System Indicators: • Frequent recharges, leaking components

• Obsolete, inefficient equipment

• Equipment near end of life in hours use or age

• Frequent maintenance and repair required

• Building modernization scheduled

Low priority system indicators: • Recent Installation

• Low maintenance, infrequent repair required

• CFC-13 refrigerant (no option available) 

• System resistant to retrofit

10-4. Yearly Updates. Operations Project Managers and facility managers should update their

ODS elimination plans in advance of each annual budget cycle to reflect projected costs, plus

justification for necessary resources, and provide input to the budget process. The updated yearly

plan should reflect both accomplishments and unfinished requirements for eliminating ODSs.

10-5. Resourcing ODS Elimination. There is no special funding for ODS elimination. ODS

elimination requirements should be included in the applicable budgeting process. Using the

methodology described in this guidance, project and facility plans can be developed to totally

eliminate Class I ODSs.
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CHAPTER 11 - ENVIRONMENTAL MANAGEMENT PROGRAM PLANNING (FED PLAN)

Reserved.
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CHAPTER 12 - THE FEDERAL AGENCY HAZARDOUS WASTE COMPLIANCE DOCKET

Reserved.
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CHAPTER 13 - HAZARDOUS WASTE MANAGEMENT

13-1. Purpose. This chapter establishes guidance on the management, generation, storage,

transportation, treatment and disposal of hazardous wastes.

13-2. Applicability. This chapter applies to all USACE commands having responsibility for civil

works functions, including floating plant. 

13-3. Guidance. The majority of USACE facilities are federally regulated as small quantity

generators (SQG) or Conditionally Exempt Small Quantity Generators (CESQG). In determining

generator status, facilities should be aware that large scale maintenance operations (e.g., leadbased paint removal at a power plant) can generate sufficient hazardous wastes to change the

generator status of their facility for the duration of the project, and potentially for that year

depending on state regulations. 

a. In general, USACE facilities that are federally regulated as CESQGs shall:

(1) Ensure that state requirements are no more stringent than the Federal requirements

when determining generator status.

(2) Document the determination that the facility is indeed conditionally exempt. The

decision should be redocumented each year.

(3) Manage wastes as required by 40 CFR 261.5 or applicable state regulation.

(4) Comply with all Department of Transportation (DOT) requirements when shipping

wastes offsite. 

b. In general USACE facilities that are federally regulated as SQGs shall:

(1) Ensure that state requirements are no more stringent than the Federal requirements

when determining generator status.

(2) Document the determination that the facility indeed holds SQG status. This decision

should be redocumented each year.

(3) Manage wastes as required by 40 CFR 262.34 (c) through (f) or applicable state

regulation.

(4) Designate an Emergency Coordinator as required in 40 CFR 262.34(d)(5)(ii) for

hazardous wastes as well as the preparedness and emergency information required by regulation. 

(5) Comply with all DOT requirements when shipping wastes offsite. 

c. In general USACE facilities that are federally regulated as Generators or Permitted

Treatment, Storage and Disposal Facilities (TSDF) shall:

(1) Comply with all Federal and state regulations.

(2) Comply with terms and conditions of permit.
EP 200-2-3

30 Oct 96

(3) Comply with DOT requirements when shipping hazardous wastes offsite.

13-4. Records and Reports Federally, the record keeping and reporting requirements can be

found as 40 CFR 262 Subpart D.

a. CESQG are exempted from all record keeping requirements under RCRA It should

be noted that DOT shipping papers are still required for hazardous wastes.

b. SQGs must maintain the following records: manifests, waste analysis, exception

reports and any additional reports.

c. Generators and permitted TSDFS shall keep the following records: Manifests, waste

analysis, exception reports, land disposal restriction notifications, biennial reports, state annual

reports (as required) and any additional reports.

d. Section 3016 of the Resource Conservation and Recovery Act requires all Federal

agencies to submit an inventory to the Environmental Protection Agency on a biennial basis of

“facilities currently or formerly owned or operated at which hazardous waste has been treated,

stored, or disposed of or has been disposed of at any time”. Data calls from CECW-OA will be

made biennially for these reports.

13-5. Good Management Practices. USACE facilities are encouraged to develop hazardous

waste management plans for their facilities. These plans should serve to identify typical waste

streams at the facility, satellite storage management requirements, and other management

requirements during storage, transportation, treatment and disposal or hazardous wastes.

FOR THE COMMANDER:

6 APPENDIXES

See Table of Contents

13-2
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A-1

APPENDIX A

REFERENCES

a. PL 99-499, Emergency Planning and Community Right-to-Know Act of 1986, (Title III of the

Superfund Amendments and Reauthorization Act, SARA).

b. PL 101-508, Pollution Prevention Act of 1990, 5 November 1990.

c. PL 102-386, Federal Facility Compliance Act of 1992.

d. PL 102-486, Energy Policy Act of 1992.

e. 1990 Clean Air Act, with amendments, Title IV, section 608.

f. EO 12088, Federal Compliance with Pollution Control Standards.

g. EO 12843, Procurement Requirements and Policies for Federal Agencies for Ozone-Depleting

Substances, April 21, 1993.

h. EO 12844, Federal Use of Alternative Fueled Vehicles, April 21, 1993.

i. EO 12845, Purchasing Energy Efficient Computer Equipment, April 21 1993.

j. EO 12856, Federal Compliance with Right-to-Know Laws and Pollution Prevention

Requirements, August 3, 1993.

k. EO 12873, Federal Acquisition, Recycling, and Waste Prevention, October 20, 1993.

l. EO 12902, Energy Efficiency and Water Conservation, March 8, 1994.

m. 29 CFR Part 1910.120, Hazardous Waste Operations and Emergency Response.

n. 29 CFR 1910.1200, Hazardous Communications Program.

o. 32 CFR Part 650, Environmental Protection and Enhancement, Subpart I: Oil and Hazardous

Substances Spill Control and Contingency Plans.

p. 33 CFR Part 153, Control of Pollution by Oil and Hazardous Substances, Discharge Removal.

q. 33 CFR Part 155, Oil Pollution Prevention Regulations for Vessels, including the Oil Pollution

Act of 1990 amendments to the Federal Water Pollution Control Act.

r. 40 CFR Part 60, Standards of Performance for New Stationary Sources.

s. 40 CFR Parts 61 and 63, National Emission Standards for Hazardous Air Pollutants.

t. 40 CFR Part 70, State Operating Programs.

u. 40 CFR Part 110, Discharge of Oil.
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A-2

v. 40 CFR Part 112, Oil Pollution Prevention.

w. 40 CFR Part 122, EPA Administered Permit Program: The National Pollutant Discharge

Elimination System.

x. 40 CFR Part 141, National Primary Drinking Water Regulations.

y. 40 CFR Part 300, National Oil and Hazardous Substance Pollution Contingency Plan.

z. 40 CFR Part 302, Designation, Reportable Quantities and Notification.

aa. 40 CFR Part 355, Emergency Planning and Notification.

ab. 40 CFR Part 761, Polychlorinated Biphenyls (PCBs), Manufacturing, Processing,

Distribution, in Commerce and Use Prohibitions; Use in Electrical Equipment.

ac. AR 40-5, Preventive Medicine.

ad. AR 200-1, Environmental Protection and Enhancement.

ae. ER 200-2-3, Environmental Compliance

af. ER 360-1-1, Public Affairs.

ag. ER 385-1-92, Safety and Occupational Health Document Requirements Hazardous Waste

Site Remedial Act.

ah. ER 405-1-12, Real Estate Handbook. 

ai. ER 500-1-1, Natural Disaster Procedures.

aj. EM 385-1-1, Safety and Health Requirements Manual.

ak. CECW-OD memorandum dated 24 May 93, Shipboard Oil Spill Emergency Plans.

al. CEMP-RT memorandum dated 20 Jul 95, Spill Reporting Procedures for USACE Personnel

Involved in HTRW Projects.

am. Army Environmental Hygiene Agency, Environmental Quality Information Paper #18,

"Regulations Concerning Polychlorinated Biphenyls," dated 14 Jan 91 (Available from

Environmental Compliance Coordinators).

an. Regulation 26 to Annex I of MARPOL 73/78 (International Convention for the Prevention of

Pollution from Ships, 1973, as modified by the Protocol of 1978).

ao. Strategic Plan for Eliminating Ozone-Depleting Chemicals from U.S. Army Applications

(draft), U.S. Army Acquisition Pollution Prevention Support Office (AAPPSO), Daniel P.

Verdonic and Thomas A. Bush, Jan, 95.

ap. The Environmental Assessment and Management (TEAM) Guide.
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aq. The Environment Review Guide for Operations (ERGO) Supplement for the TEAM Guide.
Is the facility a non-transportation related onshore or

offshore facility engaged in the drilling, producing,

gathering, storing, processing, refining, transferring,

distributing, or consuming oil or oil products?

SPILL PREVENTION CONTROL AND COUNTERMEASURE PLANS

(40 CFR Part 112)

Could the facility reasonably be expected to discharge

oil in harmful quantities into or upon navigable waters

of the United States or adjoining shores?

Is the reason the facility could not be

expected to discharge oil because of geographical

or locational aspects of the facility? (Is it

a great distance from the water or downhill

from the water such that discharge is precluded

by such conditions?)

Not subject

to SPCC Plan

requirement.

Flow Chart

Continued

Next Page

Yes

No

Yes

No

No

Yes

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APPENDIX B

SPILL AND EMERGENCY PLAN REVIEW PROCESS

The Environmental Protection Agency (EPA) and Occupational Safety and Health Administration

(OSHA) regulations are addressed in three sections of the Code of Federal Regulations: 40 CFR

Part 112; 29 CFR Part 1910.120; and 29 CFR 1910.38. A suggested process for determining

whether a USACE facility is required to have any or all of these plans is outlined below:
Flow Chart

Continued from

Previous Page

Is the facility a vessel or transportation-related onshore or offshore

facility subject to the authority

and control of the Department

of Transportation? Subject to DOT

regulations on spill

management at transportation facilities,

not 40 CFR 112.

Does the facility have an underground

buried storage capacity of 42,000

gallons or more of oil?

No

No

Yes

Yes

Yes Does the facility have an aboveground

storage capacity of 1,320 gallons or

more of oil?

Does any single aboveground storage

container have a capacity in excess of 660 gallons?

No

No

40 CFR 112 does not require facility to have a SPCC

Plan. Facility should check state and local

requirements for stricter requirements. Facility

should also check other applicable requirements in

CERCLA, RCRA, and TSCA regulations that apply to

management of hazardous substances, hazardous wastes,

and toxic substances.

Facility must

have a SPCC

Plan IAW

Yes 40 CFR 112.

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B-2
SPILL CONTINGENCY PLANS

(40 CFR Part 112)

Is the facility required

to have an SPCC Plan?

No Yes

Yes No

Yes No

Is it practical for the facility to

install structures or equipment able to

prevent discharged oil or hazardous

substances from reaching navigable

waters?

Does the facility have the infallible,

foolproof system in place?

Facility must have both a

Spill Contingency Plan

and a written commitment

of manpower, equipment,

and materials for needed

response as part of their

SPCC Plan.

Facility is not required to have

a Spill Contingency Plan.

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B-3
EMERGENCY RESPONSE PLANS AND EMERGENCY ACTION

PLANS

(20 CFR Part 1910.120 and 29 CFR Part 1910.38)

Does the facility plan to evacuate all of

its employees from the danger areas when an

emergency occurs and leave the entire

response to responders from outside the facility?

Will the facility direct or permit any of

its employees to assist in handling an

emergency (such as a fire, spill, etc.)?

Facility does not have to have

an Emergency Response Plan as

long as it has an Emergency

Action Plan per 29 CFR Part

1910.38.

Facility must have an Emergency

Response Plan. Please note that

the facility may also have to

have an Emergency Action Plan

if some employees are not

responding to the emergency.

Yes

No

Yes

No

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APPENDIX C

RECOMMENDED ORGANIZATION OF A SPILL PREVENTION

AND RESPONSE PLAN (SPRP)

1. Cover Sheet

2. Signature Sheet, including signatures from certifying Professional Engineer, facility manager,

and overseeing element chief(s). Optional reviewers/signatures could include Environmental

Compliance Coordinator and spill plan writers. Some facilities also require a signature from the

District Commander.

3. Table of Contents

4. Overview of Facility, including a general description of what the facility is and does. The

description should include the name, address, actual location, missions and functions, drainage,

and any other information pertinent to the facility with a view to spill response planning, such as

climatic considerations that could affect a spill or spill response.

5. Spill Prevention, Control and Countermeasure Plan. This section prescribes Corps and local

policies, responsibilities and procedures for the prevention of spills at the facility. This section

should include:

a. Purpose

b. Policy

c. Responsibilities (specific) for various individuals involved in the implementation of the

plan, include, but are not limited to, the District Commander, Chief of Operations, Environmental

Compliance Coordinator, Facility Manager, Person Accountable for Spill Prevention, and Facility

Personnel.

d. Procedures

e. Spill history

f. Spill prediction

g. Use of appropriate containment (including specific references to specific sites),

including consideration of drainage patterns of potential spills in reference to waterways.

h. Spill prevention practicality

i. Conformance of containment with guidelines

j. Inspections and records

k. Plan development, filing and maintenance

l. Training
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m. Notification procedures

n. Submission to EPA Administrator statement

6. Spill Contingency Plan. This section prescribes Corps and local policies, responsibilities and

procedures for response to spills at the facility. This section should include:

a. Purpose

b. Policy

c. Responsibilities (specific) for various individuals involved in the implementation of the

plan, include, but are not limited to, the District Commander, Chief of Operations, Environmental

Compliance Coordinator, Facility Manager, Person Accountable for Spill Prevention, and Facility

Personnel.

d. Procedures include steps that will be taken during a spill response action, notification

procedures, communications, method of seeking assistance for situations beyond the facility

personnel's capabilities, training, plan development, and plan maintenance.

7. Emergency Action Plan

a. Purpose

b. Policy

c. Emergency Procedures

d. Training

8. Emergency Response Plan

a. Purpose

b. Policy

c. Emergency Procedures

d. Training

9. The following sections could potentially be placed in a single section (such as an Appendix

within the plan) where they would be applicable to all locations and responses:

a. Facility Spill Response Points of Contact (sometimes known as the "call out list"),

including phone numbers

b. Spill Reporting and Notification List, including regulatory agencies, downstream water

users, local emergency response officials, etc.

c. Hotlines and Emergency Assistance Telephone Numbers
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APPENDIX D

TRAINING REQUIREMENTS FOR SPILL RESPONSE

Response Level Job Function Training Requirements

First Responder Awareness

Level

Witness incident and initiate

emergency response

Understanding of hazardous

materials, their risks and how to

secure site and notify others

First Responder Operation

Level

Respond defensively to

protect nearby persons,

property and the environment

8 hours of training including

awareness level topics

Hazardous Materials

Technician

Respond aggressively to stop

releases

24 hours including operations

level topics

Hazardous Materials

Specialist

Support technicians, provide

information on specific

substances and act as liaison

with government authorities

24 hours equal to technician

level plus specialized

competency

On-Scene Commander Assume control of the

incident scene

24 hours of Operations level

plus competency in

commanding incidents and

implementing emergency

response plans

Skilled Support Personnel Temporarily perform

immediate emergency support

work (e.g., operate backhoe

or crane)

Initial pre-entry briefing

Specialist Employees Provide technical advice or

assistance to incident

commander

Annual training and competency

in area of specialization
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Examples of Responses Undertaken at the Various Response Levels:

First

Responder

Awareness

Level

Protect self. Protect others from exposure by controlling entry to the scene. 

Witness information that could be useful. Initiate response, communicating incident

information to responders.

First

Responder

Operations

Level

All items listed for Awareness level, plus: 

Can respond defensively, but without exposure. For instance, could go upwind,

downhill from a spill and prevent its reaching water or other problem site by placing

an obstacle, absorbent or barricade in its path. Has greater training in recognizing

spill factors than Awareness Level and should be better able to communicate with

higher level responders. Can assume control of the scene and serve as On-Scene

Commander (OSC) if also meets OSC qualifications.

Hazardous

Materials

Technician

All items listed for Operations Level, plus:

Can respond aggressively to any spill, protecting self against exposure through the

use of specialized equipment not available to First Responders. This may include

various kinds of respirators, suits and other personal protective equipment. Can

shut off the source of the spill. Can execute more complex responses, including

controlled explosions, backfires, etc.

Hazardous

Materials

Specialist

All items listed for Hazardous Materials Technician. Has additional technical

training in specialized response knowledge to coordinate/execute specialty

responses, or serve as technical advisor to the OSC.

On-Scene 

Commander

(OSC)

Assumes control of the scene. Coordinates response, assures safety of responders,

makes command decisions on what actions will be taken or not taken. Operations

level OSCs in most cases would likely give control of the scene to an OSC with

higher training. 

Skilled

Support

Personnel

Those tasks for which they were trained.

Specialist

Employees

Provide specialty advice to the On-Scene Commander (OSC), which may include

safety, chemical reactions, public evacuation strategies, etc.
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E-1

APPENDIX E

40 CFR Part 110

PART 110 -- DISCHARGE OF OIL

§110.1 Definitions.

 As used in this part, the following terms shall have the meaning indicated below:

 Act means the Federal Water Pollution Control Act, as amended, 33 U.S.C. 1251 et seq., also

known as the Clean Water Act;

 Administrator means the Administrator of the Environmental Protection Administration (EPA); Applicable water quality standards means State water quality standards adopted by the State

pursuant to section 303 of the Act or promulgated by EPA pursuant to that section;

 Contiguous zone means the entire zone established or to be established by the United States

under article 24 of the Convention of the Territorial Sea and the Contiguous Zone;

 Deepwater port means an offshore facility as defined in section (3)(10) of the Deepwater Port

Act of 1974 (33 U.S.C. 1502(10));

 Discharge, when used in relation to section 311 of the Act, includes, but is not limited to, any

spilling, leaking, pumping, pouring, emitting, emptying, or dumping, but excludes (A) Discharges

in compliance with a permit under section 402 of the Act, (B) discharges resulting from

circumstances identified and reviewed and made a part of the public record with respect to a

permit issued or modified under section 402 of the Act, and subject to a condition in such permit,

and (c) continuous or anticipated intermittent discharges from a point source, identified in a

permit or permit application under section 402 of the Act, that are caused by events occurring

within the scope of relevant operating or treatment systems;

 MARPOL 73/78 means the International Convention for the Prevention of Pollution from Ships,

1973, as modified by the Protocol of 1978 relating thereto, Annex I, which regulates pollution

from oil and which entered into force on October 2, 1983; 

 Navigable waters means the waters of the United States, including territorial seas. The term

includes:

 (a) All waters that are currently used, were used in the past, or may be susceptible to use in

interstate or foreign commerce, including all waters that are subject to the ebb and flow of the

tide;

 (b) Interstate waters, including interstates wetlands;

 (c) All other waters such as intrastate lakes, rivers, streams (including intermittent streams),

mudflats, sandflats, and wetlands, the use, degradation, or destruction of which would affect or

could affect interstate or foreign commerce including any such waters: 

 (1) That are or could be used by interstate or foreign travelers for recreational or other purposes;

 (2) From which fish or shellfish are or could be taken and sold in interstate or foreign commerce;

 (3) That are used or could be used for industrial purposes by industries in interstate commerce;

 (d) All impoundments of waters otherwise defined as navigable waters under this section;

 (e) Tributaries of waters identified in paragraphs (a) through (d) of the section, including

adjacent wetlands; and 

 (f) Wetlands adjacent to waters identified in paragraphs (a) through (e) of the section: 

Provided, That waste treatment systems (other than cooling ponds meeting the criteria of this

paragraph) are not waters of the United States; Navigable waters do not include prior converted

cropland. Notwithstanding the determination of an area's status as prior converted cropland by 
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E-2

any other federal agency, for the purposes of the Clean Water Act, the final authority regarding

Clean Water Act jurisdiction remains with EPA.

 NPDES means National Pollutant Discharge Elimination System; Offshore facility means any facility of any kind located in, on, or under any of the navigable

waters of the United States, and any facility of any kind that is subject to the jurisdiction of the

United States and is located in, on, or under any other waters, other than a vessel or a public

vessel;

 Oil, when used in relation to section 311 of the Act, means oil of any kind or in any form,

including, but not limited to, petroleum, fuel oil, sludge, oil refuse, and oil mixed with wastes

other than dredged spoil. Oil, when used in relation to 

section 18(m)(3) of the Deepwater Port Act of 1974, has the meaning provided in section 3(14)

of the Deepwater Port Act of 1974;

 Onshore facility means any facility (including, but not limited to, motor vehicles and rolling

stock) of any kind located in, on, or under any land within the United States, other than

submerged land;

 Person includes an individual firm, corporation, association, and a partnership; Public vessel means a vessel owned or bareboat chartered and operated by the United States, or

by a State or political subdivision thereof, or by a foreign nation, except when such vessel is

engaged in commerce;

 Sheen means an iridescent appearance on the surface of water; Sludge means an aggregate of oil or oil and other matter of any kind in any form other than

dredged spoil having a combined specific gravity equivalent to or greater than water;

 United States means the States, the District of Columbia, the Commonwealth of Puerto Rico,

Guam, American Samoa, the Virgin Islands, and the Trust Territory of the Pacific Islands;

 Vessel means every description of watercraft or other artificial contrivance used, or capable of

being used, as a means of transportation on water other than a public vessel; and

 Wetlands means those areas that are inundated or saturated by surface or ground water at a

frequency or duration sufficient to support, and that under normal circumstances do support, a

prevalence of vegetation typically adapted for life in saturated soil conditions. Wetlands generally

include playa lakes, swamps, marshes, bogs, and similar areas such as sloughs, prairie potholes,

wet meadows, prairie river overflows, mudflats, and natural ponds.

§110.2 Applicability.

 The regulations of this part apply to the discharge of oil prohibited by section 311(b)(3) of the

Act. This includes certain discharges into or upon the navigable waters of the United States or

adjoining shorelines or into or upon the waters of the contiguous zone, or in connection with

activities under the Outer Continental Shelf Lands Act or the Deepwater Port Act of 1974, or that

may affect natural resources belonging to, appertaining to, or under the exclusive management

authority of the United States (including resources under the Magnuson Fishery Conservation and

Management Act). The regulations of this part also define the term "Discharge" for the purposes

of section 18(m(3) of the Deepwater Port Act of 1974, as provided under 110.11 of this part.

§110.3 Discharge into navigable waters of such quantities as may be harmful.

 For purposes of section 311(b) of the Act, discharges of oil into or upon the navigable waters of

the United States or adjoining shorelines in such quantities that it has been determined may be

harmful to the public health or welfare of the United States, except as provided in §110.7 of this

part, include discharges of oil that:

 (a) Violate applicable water quality standards, or
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 (b) Cause a film or sheen upon or discoloration of the surface of the water or adjoining

shorelines or cause a sludge or emulsion to be deposited beneath the surface of the water or upon

adjoining shorelines.

§110.4 Discharge into contiguous zone of such quantities as may be harmful.

 For purposes section 311(b) of the Act, discharges of oil into or upon the navigable waters of

the contiguous zone in such quantities that it has been determined may be harmful to the public

health or welfare of the United States, except as provided in §110.7, include discharges of oil that:

 (a) Violate applicable water quality standards, or

 (b) Cause a film or sheen upon or discoloration of the surface of the water or adjoining

shorelines or cause a sludge or emulsion to be deposited beneath the surface of the water or upon

adjoining shorelines.

§110.5 Discharge beyond contiguous zone of such quantities as may be harmful.

 For purposes of section 311(b) of the Act, discharges of oil 

into or upon waters seaward of the contiguous zone in connection with activities under the Outer

Continental Shelf Lands Act or may affect natural resources belonging to, appertaining to, or

under the exclusive management authority of the United States (including resources under the

Magnuson Fishery Conservation and Management Act) in such quantities that it has been

determined may be harmful to the public health or welfare of the United States, except as

provided in §110.7, include discharges of oil that:

 (a) Violate applicable water quality standards, or

 (b) Cause a film or sheen upon or discoloration of the surface of the water or adjoining

shorelines or cause a sludge or emulsion to be deposited beneath the surface of the water or upon

adjoining shorelines.

§110.6 Discharge prohibited.

 As provided in section 311(b)(3) of the Act, no person shall discharge or cause or permit to be

discharged into or upon the navigable waters of the United States or adjoining shorelines or into

or upon the waters of the contiguous zone or into or upon waters seaward of the contiguous zone

in connection with activities under the Outer Continental Shelf Lands Act or the Deepwater Port

Act of 1974, or that may affect natural resources belonging to, appertaining to, or under the

exclusive management authority of the United States (including resources under the Magnuson

Fishery Conservation and Management Act) any oil in such quantities as may be harmful as

determined in §§110.3, 110.4, and 110.5 except as the same may be permitted in the contiguous

zone and seaward under MARPOL 73/78, Annex I, as provided in 33 CFR 151.09.

§110.7 Exception for vessel engines.

 For purposes of section 311(b) of the Act, discharges of oil from a properly functioning vessel

engine are not deemed to be harmful, but discharges of such oil accumulated in a vessel's bilges

shall not be so exempt.

§110.8 Dispersants.

 Addition of dispersants or emulsifiers to oil to be discharged that would circumvent the

provisions of this part is prohibited.

§110.9 Demonstration projects.

 
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 Notwithstanding any other provisions of this part, the Administrator may permit the discharge of

oil, under section 311 of the Act, in connection with research, demonstration projects, or studies

relating to the prevention, control, or abatement of oil pollution.

§110.10 Notice.

 Any person in charge of a vessel or of an onshore or offshore facility shall, as soon as he or she

has knowledge of any discharge of oil from such vessel or facility in violation of 110.6,

immediately notify the National Response Center (NRC) (800-424-8802; in the Washington, DC

metropolitan area, 426-2675). If direct reporting to the NRC is not practicable, reports may be

made to the Coast Guard or EPA predesignated On-Scene Coordinator (OSC) for the geographic

area where the discharge occurs. All such reports shall be promptly relayed to the NRC. If it is

not possible to notify the NRC or the predesignated OCS immediately, reports may be made

immediately to the nearest Coast Guard unit, provided that the person in charge of the vessel or

onshore or offshore facility notifies the NRC as soon as possible. The reports shall be made in

accordance with such procedures as the Secretary of Transportation may prescribe. The

procedures for such notice are set forth in U.S. Coast Guard regulations, 33 CFR part 153,

subpart B and in the National Oil and Hazardous Substances Pollution Contingency Plan, 40 CFR

part 300, subpart E. (Approved by the Office of Management and Budget under the control

number 2050-0046)

§110.11 Discharge at deepwater ports.

 (a) Except as provided in paragraph (b) below, for purposes of section 18(m)(3) of the

Deepwater Port Act of 1974, the term "discharge" shall include but not be limited to, any spilling,

leaking, pumping, pouring, emitting, emptying, or dumping into the marine environment of

quantities of oil that:

 (1) Violate applicable water quality standards, or

 (2) Cause a film or sheen upon or discoloration of the surface of the water or adjoining

shorelines or cause a sludge or 

emulsion to be deposited beneath the surface of the water or upon adjoining shorelines.

 (b) For purposes of section 18(m)(3)of the Deepwater Port Act of 1974, the term discharge

excludes:

 (1) Discharges of oil from a properly functioning vessel engine, (including an engine on a public

vessel), but not discharges of such oil accumulated in a vessel' bilges (unless in compliance with

MARPOL 73/78, Annex I); and

 (2) Discharges of oil permitted under MARPOL 73/78, Annex I.
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APPENDIX F

40 CFR Part 355

PART 355 -- EMERGENCY PLANNING AND NOTIFICATION

§355.10 Purpose.

 This regulation establishes the list of extremely hazardous substances, threshold planning

quantities, and facility notification responsibilities necessary for the development and

implementation of State and local emergency response plans.

§355.20 Definitions.

 Act means the Superfund Amendments and Reauthorization Act of 1986. CERCLA means the Comprehensive Environmental Response, Compensation and Liability Act

of 1980, as amended.

 CERCLA Hazardous Substance means a substance on the list defined in section 101(14) of

CERCLA.

 Chief Executive Officer of the tribe means the person who is recognized by the Bureau of Indian

Affairs as the chief elected administrative officer of the tribe.

 Commission means the emergency response commission for the State in which the facility is

located except where the facility is located in Indian Country, in which case, commission means

the emergency response commission for the tribe under whose jurisdiction the facility is located. 

In absence of an emergency response commission, the Governor and the chief executive officer,

respectively, shall be the commission. Where there is a cooperative agreement between a State

and a Tribe, the commission shall be the entity identified in the agreement.

 Committee or Local emergency planning committee means the local emergency planning

committee appointed by the emergency response commission.

 Environment includes water, air, and land and the inter-relationship which exists among and

between water, air, and land and all living things.

 Extremely hazardous substance means a substance listed in Appendices A and B of this part. Facility means all buildings, equipment, structure, and other stationary items that are located on

a single site or on contiguous or adjacent sites and which are owned or operated by the same

person (or by any person which controls, is controlled by, or under common control with, such

person). Facility shall include manmade structures in which chemicals are purposefully placed or

removed through human means such that it functions as a containment structure for human use. 

For purposes of emergency release notification, the term includes motor vehicles, rolling stock,

and aircraft.

 Hazardous chemical means any hazardous chemical as defined under §1910.1200 (c) of Title 29

of the Code of Federal Regulations, except that such term does not include the following

substances:

 (1) Any food, food additive, color additive, drug, or cosmetic regulated by the Food and Drug

Administration.

 (2) Any substance present as a solid in any manufactured item to the extent exposure to the

substance does not occur under normal conditions of use.

 (3) Any substance to the extent it is used for personal, family, or household purposes, or is

present in the same form and concentration as a product packaged for distribution and use by the

general public.

 (4) Any substance to the extent it is used in a research laboratory or a hospital or other medical

facility under the direct supervision of a technically qualified individual.
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 (5) Any substance to the extent it is used in routine agricultural operations or is a fertilizer held

for sale by a retailer to the ultimate customer.

 Indian Country means Indian country as defined in 18 U.S.C. 1151. That section defines Indian

country as:

 (a) All land within the limits of any Indian reservation under the jurisdiction of the United States

government, notwithstanding the issuance of any patent, and including rights-of-way running

through the reservation;

 (b) All dependent Indian communities within the borders of the United States whether within

the original or subsequently

acquired territory thereof, and whether within or without the limits of a State; and

 (c) All Indian allotments, the Indian titles to which have both been extinguished, including

rights-of-way running through the same.

 

 Indian tribe means those tribes federally recognized by the Secretary of the Interior. Mixture means a heterogenous association of substances where the various individual substances

retain their identities and can usually be separated by mechanical means. Includes solutions or

compounds but does not include alloys or amalgams.

 Person means any individual, trust, firm, joint stock company, corporation (including a

government corporation), partnership, association, State, municipality, commission, political

subdivision of a State, or interstate body.

 Release means any spilling, leaking, pumping, pouring, emitting, emptying, discharging,

injecting, escaping leaching, dumping, or disposing into the environment (including the

abandonment or discarding of barrels, containers, and other closed receptacles) of any hazardous

chemical, extremely hazardous substance, or CERCLA hazardous substance.

 Reportable quantity means, for any hazardous chemical, extremely hazardous substance, the

reportable quantity established in Table 302.4 of 40 CFR part 302, for such substance, for any

other substance, the reportable quantity is one pound.

 State means any State of the United States, the District of Columbia, the Commonwealth of

Puerto Rico, Guam, American Samoa, the United States Virgin Islands, any other territory or

possession over which the United States has jurisdictions and Indian Country.

 Threshold planning quantity means, for a substance listed in Appendices A and B, the quantity

listed in the column "threshold planning quantity" for that substance.

§355.30 Emergency planning.

 (a) Applicability. The requirements of this section apply to any facility at which there is present

an amount of any extremely hazardous substance equal to or in excess of its threshold planning

quantity, or designated, after public notice and opportunity for comment, by the Commission or

the Governor for the State in which the facility is located. For purposes of this section, an

amount of any extremely hazardous substance means the total amount of an extremely hazardous

substance present at any one time at a facility at concentrations greater than one percent by

weight, regardless of location, number of containers, or method of storage.

 (b) Emergency planning notification. The owner or operator of a facility subject to this section

shall provide notification to the Commission that it is a facility subject to the emergency planning

requirements of this part. Such notification shall be provided: on or before May 17, 1987 or

within sixty days after a facility first becomes subject to the requirements of this section,

whichever is later.

 (c) Facility emergency coordinator. The owner or operator of a facility subject to this section

shall designate a facility representative who will participate in the local emergency planning

process as a facility emergency response coordinator. The owner or operator shall notify the 
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local emergency planning committee (or the Governor if there is no committee) of the facility

representative on or before September 17, 1987 or 30 days after establishment of a local

emergency planning committee, whichever is earlier.

 (d) Provision of information. (1) The owner or operator of a facility subject to this section

shall inform the local emergency planning committee of any changes occurring at the facility

which may be relevant to emergency planning.

 (2) Upon request of the local emergency planning committee, the owner or operator of a facility

subject to this section shall promptly provide to the committee any information necessary for

development or implementation of the local emergency plan.

 (e) Calculation of TPQs for solids and mixtures. (1) If a container or storage vessel holds a

mixture or solution of an extremely hazardous substance, then the concentration of extremely

hazardous substance, in weight percent (greater than 1 percent sign), shall be multiplied by the

mass (in pounds) in the vessel to determine the actual quantity of extremely hazardous substance

therein.

 (2)(i) Extremely hazardous substances that are solids are subject to either of two threshold

planning quantities as shown on Appendices A and B (i.e., 500/10,000 pounds). The lower

quantity applies only if the solid exists in powdered form and has particle size less than 100

microns; or is handled in solution or in molten form; or meets the criteria for a National Fire

Protection Association (NFPA) rating of 2, 3, or 4 for reactivity. If the solid does not meet any

of these criteria, it is subject to the upper (10,000 pound) threshold planning quantity as shown in

Appendices A and B.

 (ii) The 100 micron level may be determined by multiplying the weight percent of solid with a

particle size less than 100 microns in a particular container by the quantity of solid in the

container.

 (iii) The amount of solid in solution may be determined by multiplying the weight percent of

solid in the solution in a particular container by the quantity of solution in the container.

 (iv) The amount of solid in molten form must be multiplied by 0.3 to determine whether the

lower threshold planning quantity is met.

§355.40 Emergency release notification.

 (a) Applicability. (1) The requirements of this section apply to any facility: (i) at which a

hazardous chemical is produced, used or stored and (ii) at which there is release of a reportable

quantity of any extremely hazardous substance or CERCLA hazardous substance.

 (2) This section does not apply to:

 (i) Any release which results in exposure to persons solely within the boundaries of the facility;

 (ii) Any release which is a federally permitted release as defined in section 101(10) of CERCLA; 

 (iii) Any release that is continuous and stable in quantity and rate under the definitions in 40 CFR

302.8(b). Exemption from notification under this subsection does not include exemption from:

(A) Initial notifications as defined in 40 CFR 302.8(d) and (e);

(B) Notification of a "statistically significant increase," defined in 40 CFR 302.8(b) as any

increase above the upper bound of the reported normal range, which is to be submitted to the

community emergency coordinator for the local emergency planning committee for any area likely

to be affected by the release and to the State emergency response commission of any State likely

to be affected by the release;

(C) Notification of a "new release" as defined in 40 CFR 302.8(g)(1); or

Note to paragraph (a): Releases of CERCLA hazardous substance are subject to the release reporting requirements of

CERCLA section 103, codified at 40 CFR part 302, in addition to the requirements of this part.
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 (D) Notification of a change in the normal range of the release as required under 40 CFR

302.8(g)(2).

 (iv) Any release of a pesticides product exempt from CERCLA section 103(a) reporting under

section 103(e) of CERCLA;

 (v) Any release not meeting the definition of release under Section 101(22) of CERCLA, and

therefore exempt from Section 103(a) reporting; and

 (vi) Any radionuclide release which occurs (A) naturally in soil from land holdings such as

parks, golf courses, or other large tracts of lands; (B) naturally from the disturbance of land for

purposes other than mining, such as for agricultural or construction activities; (C) from the

dumping of coal and coal ash at utility and industrial facilities with coal-fired boilers; and (D) from

coal and coal ash piles at utility and industrial facilities with coal-fired boilers.

(b) Notice requirements. (1) The owner or operator of a facility subject to this section shall

immediately notify the community emergency coordinator for the local emergency planning

committee of any area likely to be affected by the release and the State emergency response

commission of any State likely to be affected by the release. If there is no local emergency

planning committee, notification shall be provided under this section to relevant local emergency

response personnel.

 (2) The notice required under this section shall include the following to the extent known at the

time of notice or emergency response results:

 (i) The chemical name or identity of any substance involved in the release.

 (ii) An indication of whether the substance is an extremely hazardous substance.

 (iii) An estimate of the quantity of any such substance that was release into the environment. 

 (iv) The time and duration of the release.

 (v) The medium or media into which the release occurred.

 (vi) Any known or anticipated acute or chronic health risks associated with the emergency and,

where appropriate, advice regarding medical attention necessary for exposed individuals.

 (vii) Proper precautions to take as a result of the release, including evacuation (unless such

information is readily available to the community emergency coordination pursuant to the

emergency plan).

 (viii) The names and telephone numbers of the person or persons to be contacted for further

information.

 (3) As soon as practicable after a release which requires notice under (b)(1) of this section, such

owner or operator shall provide a written follow-up emergency notice (or notices, as more

information becomes available) setting forth and updating the information required under

paragraph (b)(2) of this section, and including additional information with respect to:

 (I) Actions taken to respond to and contain the release,

 (ii) Any known or anticipated acute or chronic health risks associated with the release, and,

 (iii) Where appropriate, advice regarding medical attention necessary for exposed individuals.

 (4) Exceptions. (i) Until April 30, 1988, in lieu of the notice specified in paragraph (b)(2) of

this section, any owner or operator of a facility subject to this section from which there is a

release of a CERCLA hazardous substance which is not an extremely hazardous substance and

has a statutory reportable quantity may provide the same notice required under CERCLA section

103(a) to the local emergency planning committee.

 (ii) An owner or operator of a facility from which there is a transportation-related release may

meet the requirements of this section by providing the information indicated in paragraph (b)(2) to

the 911 operator, or in the absence of a 911 operator telephone number, to the operator. For

purposes of this paragraph, a transportation-related release means a release during

transportation, or storage incident to transportation if the stored substance is moving under active

shipping papers and has not reached the ultimate consignee.

§355.50 Penalties.
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 (a) Civil penalties. Any person who fails to comply with the requirements of §355.40 shall be subject to civil penalties of up to $25,000 for each violation in accordance with section 325(b)(1)

of the Act.

 (b) Civil penalties for continuing violations. Any person who fails to comply with the requirements of §355.40 shall be subject to civil penalties of up to $25,000 for each day during

which the violation continues, in accordance with section 325(b)(2) of the Act. In the case of a

second or subsequent violation, any such person may be subject to civil penalties of up to $75,000

for each day the violation continues, in accordance with section 325(b)(2) of the Act.

 (c) Criminal penalties. Any person who knowingly and willfully fails to provide notice in accordance with §355.40 shall, upon conviction, be fined not more than $25,000 or imprisoned

for not more than two (2) years, or both (or, in the case of a second or subsequent conviction,

shall be fined not more than $50,000 or imprisoned for not more than five (5) years, or both) in

accordance with section 325(b)(4) of the Act.

Not reproduced for this copy of these regulations:

APPENDIX A TO PART 355 -- THE LIST OF EXTREMELY HAZARDOUS SUBSTANCES

AND THEIR THRESHOLD PLANNING QUANTITIES (ALPHABETICAL ORDER)

APPENDIX B TO PART 355 -- THE LIST OF EXTREMELY HAZARDOUS SUBSTANCES

AND THEIR THRESHOLD PLANNING QUANTITIES (CAS NUMBER ORDER)