2015 Guidelines

State Review of Oil and Natural Gas Environmental Regulations, Inc.

www.strongerinc.org
State Review of Oil & Natural Gas Environmental Regulations, Inc.

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SECTION 1 | Introduction ........................................................................... 5

1.1 Background............................................................................................................................................5

1.2 EPA's Regulatory Determination for E&P Waste....................................................................6

1.3 State and Federal Relations.............................................................................................................7

1.3.1 Strategies for Maintaining a Successful Relationship Between State and Federal 

Agencies...............................................................................................................................................................................8

SECTION 2 | Scope of the Criteria............................................................ 10

2.1 General .................................................................................................................................................. 10

2.2 Class II Injection Wells.................................................................................................................... 11

2.3 NPDES-Permitted Discharges...................................................................................................... 12

2.4 Federal Definition of Solid Waste............................................................................................... 12

2.5 Hazardous Waste .............................................................................................................................. 13

2.5.1 Listed Hazardous Waste........................................................................................................................13

2.5.2 Characteristically Hazardous Waste................................................................................................13

2.6 EPA's Identification of Exempt Exploration and Production Wastes.......................... 13

2.7 EPA's Identification of Non-exempt Exploration and Production Wastes ................ 15

2.8 Requirements for Non-exempt Wastes .................................................................................... 17

2.9 Waste Mixtures................................................................................................................................... 18

SECTION 3 | General Criteria................................................................... 19

3.1 General .................................................................................................................................................. 19

3.2 Goals ...................................................................................................................................................... 19

3.3 State/Regional Variations in Criteria......................................................................................... 19

SECTION 4 | Administrative Criteria.......................................................... 21

4.1 Basic Requirements......................................................................................................................... 21

4.1.1 Permitting .......................................................................................................................................................21

4.1.2 Compliance Evaluation............................................................................................................. 22

4.1.2.1................................................................................................................................................................................................22

4.1.3 Enforcement ..................................................................................................................................... 23

4.1.3.1................................................................................................................................................................................................23

4.1.3.2................................................................................................................................................................................................23

4.1.3.3................................................................................................................................................................................................24

4.2 Additional Program Requirements ............................................................................................ 24

4.2.1 Contingency Planning and Spill Risk Management.................................................................24

4.2.1.1 State Contingency Program .................................................................................................................................24

4.2.1.2 Reporting capabilities...............................................................................................................................................25

4.2.1.3 Interagency coordination........................................................................................................................................25

4.2.1.4 Operator Prevention of, and Response to, Spills and Releases.......................................................25

4.2.1.4.1 General........................................................................................................................................................................25

4.2.1.4.2 Prevention measures ...........................................................................................................................................26

4.2.1.4.3 Response Measures ............................................................................................................................................26

4.2.1.5 Follow-up actions .......................................................................................................................................................27

4.2.1.6 Database ........................................................................................................................................................................27

4.2.2 Public Participation....................................................................................................................................28

4.2.2.1 Notice and Records ..................................................................................................................................................28

4.2.2.2 Program Information.................................................................................................................................................28

4.2.2.3 Advisory Groups .........................................................................................................................................................28

4.2.3 Program Planning and Evaluation..........................................................................................................29

4.2.3.1 Program Planning ......................................................................................................................................................29

4.2.3.2 Program Evaluation ..................................................................................................................................................29
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4.2.4 Financial Assurance.......................................................................................................................................33

4.2.5 Waste Hauler Certification..........................................................................................................................35

4.2.6 Location of Closed Disposal Sites .......................................................................................................35

4.2.7 Data Management........................................................................................................................................35

4.2.7.1 General............................................................................................................................................................................35

4.2.7.2 Electronic Data Management ..............................................................................................................................35

4.2.7.3 Program Elements.....................................................................................................................................................36

4.3 Personnel and Funding .................................................................................................................. 36

4.3.1 Personnel.............................................................................................................................................................36

4.3.1.1 Administration ..............................................................................................................................................................37

4.3.1.2 Legal .................................................................................................................................................................................37

4.3.1.3 Technical ........................................................................................................................................................................37

4.3.1.4 Field Personnel ...........................................................................................................................................................38

4.3.1.5 Training Requirements............................................................................................................................................38

4.3.2 Funding............................................................................................................................................................38

4.4 Coordination Among Agencies................................................................................................... 39

SECTION 5 | Technical Criteria ................................................................ 40

5.1 General .................................................................................................................................................... 40

5.2 Waste Characterization .................................................................................................................. 41

5.2.1 Purposes..............................................................................................................................................................41

5.2.2 Sampling and Analysis............................................................................................................................41

5.2.3 Quality Control ..................................................................................................................................................42

5.3 Waste Management Hierarchy..................................................................................................... 42

5.3.1 Source Reduction Opportunities ........................................................................................................43

5.3.2 Recycling and Reduction Opportunities.........................................................................................44

5.3.3 State Program Elements .............................................................................................................................44

5.4 Quantitative Elements..................................................................................................................... 45

5.5 Technical Criteria for Pits.............................................................................................................. 46

5.5.1 Definitions............................................................................................................................................................46

5.5.2 Permitting.............................................................................................................................................................46

5.5.3 Construction .......................................................................................................................................................47

5.5.4 Operational Requirements..........................................................................................................................48

5.5.5 Closure ............................................................................................................................................................50

5.6 Technical Criteria for Landspreading....................................................................................... 50

5.6.1 Definition and Applicability..........................................................................................................................50

5.6.2 Regulatory Requirements ...........................................................................................................................51

5.6.3 Operational Requirements..........................................................................................................................51

5.7 Technical Criteria for Burial and Landfilling.......................................................................... 52

5.7.1 Definitions and Applicability .......................................................................................................................52

5.7.2 Regulatory Requirements ...........................................................................................................................52

5.7.3 Operational Requirements..........................................................................................................................52

5.8 Technical Criteria for Roadspreading ...................................................................................... 53

5.8.1 Definition ..............................................................................................................................................................53

5.8.2 Regulatory Requirements ...........................................................................................................................53

5.8.3 Operational Requirements..........................................................................................................................53

5.9 Technical Criteria for Tanks ......................................................................................................... 54

5.9.1 Scope ...............................................................................................................................................................54

5.9.2 General Requirements .................................................................................................................................54

5.9.3 Construction and Operation Standards ...............................................................................................55

5.9.4 Tank Removal and Closure..................................................................................................................55
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5.10 Technical Criteria for Commercial and Centralized Disposal Facilities..................... 56

5.10.1 Definitions and Exemptions ......................................................................................................................56

5.10.2 Technical Standards and Regulatory Requirements .................................................................57

5.10.2.1 Regulatory Agency Responsibilities in Permitting..................................................................................57

5.10.2.2 Permitting Requirements.....................................................................................................................................58

5.10.2.3 Waste Tracking Requirements.........................................................................................................................61

5.10.2.4 Applicability of Waste Tracking Criteria.......................................................................................................62

SECTION 6 : Abandoned Sites................................................................. 63

6.1 Abandoned Oil and Gas Sites Introduction ........................................................................... 63

6.2 Definition of "Oil and Gas Site" and "Abandoned Site".................................................... 63

6.3 Identification of Abandoned Sites.............................................................................................. 63

6.4 Funding for Abandoned Site Remediation ............................................................................. 64

6.5 Criteria for Prioritizing Remediation ......................................................................................... 64

6.5.1 Goal for Remediation ....................................................................................................................................65

6.5.2 Liability for Remediation ..............................................................................................................................65

6.6 Standards for Remediation........................................................................................................... 65

6.6.1 Well bore Remediation .................................................................................................................................65

6.6.2 Site Remediation .............................................................................................................................................66

6.6.3 Record of Remediation.................................................................................................................................66

6.7 Public Participation.......................................................................................................................... 67

6.7.1 Access to Information....................................................................................................................................67

6.7.2 Participation in Rulemaking .......................................................................................................................67

6.7.3 Participation Regarding Priority on the Inventory and Level of Remediation ..................67

6.8 Avoid Future Abandoned Site Problems................................................................................. 67

SECTION 7 | Naturally Occurring Radioactive Materials.......................... 69

7.1 Background......................................................................................................................................... 69

7.2 General .................................................................................................................................................. 69

7.3 Elements of an E&P NORM Program ........................................................................................ 69

7.3.1 Definition.........................................................................................................................................................69

7.3.2 Action Levels ................................................................................................................................................70

7.3.3 Surveys............................................................................................................................................................70

7.3.4 Worker Protection ...........................................................................................................................................70

7.3.5 Licensing/Permitting.......................................................................................................................................70

7.3.6 Removal/Remediation...................................................................................................................................71

7.3.7 Storage .................................................................................................................................................................71

7.3.8 Transfer for Continued Use........................................................................................................................71

7.3.9 Release of Sites, Materials, and Equipment.....................................................................................71

7.3.10 Disposal .............................................................................................................................................................71

7.3.11 Interagency Coordination .........................................................................................................................72

7.3.12 Public Participation ......................................................................................................................................72

7.4 Regulatory Development and Research.................................................................................. 72

SECTION 8 | Stormwater Management..................................................... 73

8.1 General .................................................................................................................................................. 73

8.2 State Regulatory Elements............................................................................................................ 73

8.3 State Agency Regulatory Program Criteria............................................................................ 74

8.3.1 Planning................................................................................................................................................................74

8.3.2 Construction .......................................................................................................................................................75

8.3.3 Operation and Maintenance ......................................................................................................................76
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8.3.4 Restoration and Reclamation....................................................................................................................76

SECTION 9 | Hydraulic Fracturing............................................................ 77

9.1 Background......................................................................................................................................... 77

9.2 General .................................................................................................................................................. 77

9.2.1 Standards ............................................................................................................................................................77

9.2.2 Reporting .............................................................................................................................................................78

9.2.3 Staffing and Training......................................................................................................................................78

9.2.4 Public Information ...........................................................................................................................................79

9.2.5 Coordination.......................................................................................................................................................79

9.3 Water and Waste Management.................................................................................................... 79

SECTION 10 | Air Quality.......................................................................... 80

10.1 Background......................................................................................................................................... 80

10.2 Administrative .................................................................................................................................... 80

10.2.1 Scope of Authority........................................................................................................................................80

10.2.2 Jurisdiction and Cooperation Between Agencies ........................................................................81

10.2.3 Permits, Authorizations and Exemptions .........................................................................................82

10.2.4 Compliance Monitoring, Demonstration & Assurance................................................................83

10.2.5 Enforcement ....................................................................................................................................................85

10.2.5.1 Enforcement Tools ................................................................................................................................................85

10.2.5.2 Penalties .....................................................................................................................................................................86

10.2.5.3 Right of Appeal........................................................................................................................................................86

10.2.6 Staffing and Training .................................................................................................................................86

10.2.7 Data Management........................................................................................................................................87

10.2.8 Public Involvement.......................................................................................................................................87

10.2.9 Outreach............................................................................................................................................................88

10.2.10 Strategic Program and Resource Planning..................................................................................88

10.3 Air Program-Specific Elements ................................................................................................ 88

10.3.1 Delineation of Sources...............................................................................................................................88

10.3.2 Source-Specific Requirements..............................................................................................................89

10.3.3 Air Quality Monitoring Networks ..........................................................................................................89

10.3.4 Reporting, Emission Inventories & Recordkeeping ....................................................................90

10.3.5 Corrective Actions & Emergency Response.................................................................................91

10.3.6 Long-Term Planning, Prioritization & Evaluation........................................................................92

SECTION 11 | Reused and Recycled Fluids............................................. 94

11.1 Definitions ......................................................................................................................................... 94

11.2 Water Management Planning..................................................................................................... 94

11.3 Waste Management........................................................................................................................ 94

11.4 Transportation .................................................................................................................................. 95

11.4.1 Pipelines...........................................................................................................................................................95

11.4.2 Trucks................................................................................................................................................................95

11.5 Treatment and Storage.................................................................................................................. 95

SECTION 12 | Recommendations for Future Work ................................... 97

SECTION 13 | References........................................................................ 97

APPENDIX A | Glossary of Terms ............................................................ 98
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SECTION 1 | Introduction

1.1 Background

The 1980 amendments to the Resource Conservation and Recovery Act (RCRA) 

created an exemption to the federal hazardous waste program for oil and gas 

exploration and production (E&P) wastes pending completion of a study by the 

U.S. Environmental Protection Agency (EPA). In 1988, EPA completed its study 

and determined that these wastes should not be regulated as hazardous wastes. 

EPA’s regulatory determination concluded that existing state and federal 

regulations were generally adequate, but that some regulatory gaps existed and 

that enforcement of existing regulations was inconsistent. EPA proposed a threepronged approach to address these concerns that included working with the states 

to encourage improvement in state regulations and enforcement programs. 

Further discussion of the regulatory determination follows in section 1.2.

In 1989, the Interstate Oil and Gas Compact Commission (“IOGCC”) responded by 

offering to assist EPA by creating a state regulatory review process. The IOGCC 

created the Council on Regulatory Needs, bringing together state, environmental, 

and industry representatives to develop national guidelines for state oil and gas 

programs. In early 1990, the Council released a document entitled “EPA/IOCC 

Study of State Regulation of Oil and Gas Exploration and Production Waste”. This 

document established guidelines that represented recommended criteria for 

regulatory programs. The Council also proposed to implement a process by which 

state oil and gas programs were reviewed in comparison with those guidelines.

In 1990, EPA provided a grant to the IOGCC to initiate state regulatory program 

reviews in comparison with the guidelines. Review teams were comprised of state 

regulatory officials, environmental representatives, and industry representatives. 

Representatives of other interested parties, such as federal agencies and tribal 

governments, were invited to observe the process. State reviews were conducted 

in states that volunteered for review. Recommendations were offered as 

blueprints for change to be considered by state legislators and regulators.

The Council recommended that the guidelines be reviewed and updated every 

three years. In 1994, the Council updated the guidelines and added sections 

regarding naturally occurring radioactive material (NORM) and abandoned wells.

In 1999 a multi-stakeholder organization was formed by the state review program 

participants to revitalize and carry the state review program forward. This 

organization is called State Review of Oil and Natural Gas Environmental 

Regulations, Inc. (“STRONGER”). STRONGER is a non-profit corporation that 

has been formed to educate regulators and the public as to the appropriate 

elements of a state oil and gas exploration and production regulatory program, and 
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to compare various state programs against the guidelines developed by 

STRONGER and for the protection of public health, safety and the environment. 

In 1999, STRONGER established five committees to review and update the 1994 

version of the Guidelines. STRONGER incorporated the consensus 

recommendations of the committees, including a new section on performance 

measures in the 2000 Guidelines update. STRONGER again initiated revision and 

updating of the Guidelines in 2004, which resulted in the 2005 Guidelines. The 

2005 Guidelines incorporate spill prevention and performance measures into the 

administrative criteria section, and were expanded to include a new section on 

stormwater management. In 2009 STRONGER formed a workgroup that 

developed guidelines for hydraulic fracturing that were finalized in 2010, and 

updated in 2013. STRONGER adopted guidelines for Air Quality in 2014. In 2015 

STRONGER adopted guidelines for Reused & Recycled Fluids, as well as making 

minor updates to the General Criteria, Administration, Technical Criteria, NORM, 

and Hydraulic Fracturing sections.

Since 1990, 38 initial and follow-up state reviews have been conducted against the 

guideline standards: 12 under the 1990 guidelines, 5 under the 1994 revised 

guidelines, 11 under the 2000 guidelines, 2 under the 2005 guidelines, and 6

focused on hydraulic fracturing. These states represent over 94% of all domestic, 

onshore oil and gas production. The states have implemented many of the 

recommended improvements, as documented in STRONGER’s report entitled “A 

Report and History on the STRONGER State Review Process” (June, 2015).

1.2 EPA's Regulatory Determination for E&P Waste

The 1980 amendments to the RCRA required EPA to conduct a study of the 

environmental and potential human health impacts associated with E&P wastes 

and their associated waste management practices. EPA completed its two-year 

study in 1987. Based on the findings in the Report to Congress, and on oral and 

written comments received during public hearings in the spring of 1988, on June 

30, 1988, EPA decided not to recommend federal regulation of E&P wastes as 

hazardous wastes under Subtitle C of RCRA (EPA 1988). The Agency gave the 

following reasons for its determination:

a. "Subtitle C does not provide sufficient flexibility to consider costs and avoid the

serious economic impacts that regulation would create for the industry's

exploration and production operations;

b. "Existing state and federal regulatory programs are generally adequate for

controlling oil, gas, and geothermal wastes. Regulatory gaps in the Clean

Water Act and UIC (Underground Injection Control) program are already being

addressed, and the remaining gaps in state and federal regulatory programs
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can be effectively addressed by formulating requirements under Subtitle D of 

RCRA and by working with the States;

c. "Permitting delays would hinder new facilities, disrupting the search for new oil

and gas deposits;

d. "Subtitle C regulation of these wastes could severely strain existing Subtitle C

facility capacity;

e. "It is impractical and inefficient to implement Subtitle C for all or some of these

wastes because of the disruption and, in some cases, duplication of state

authorities that administer programs through organizational structures tailored

to the oil and gas industry; and

f. "It is impractical and inefficient to implement Subtitle C for all or some of these

wastes because of the permitting burden that the regulatory agencies would

incur if even a small percentage of these sites were considered Treatment,

Storage, and Disposal Facilities (TSDFs)." (53 FR 25456, July 6, 1988).

In the determination, EPA found that "existing state and federal regulations are 

generally adequate...Certain regulatory gaps do exist and enforcement of existing 

regulation in some states is inadequate." To address those concerns, EPA 

announced a three-pronged approach that consists of:

• "Improving federal programs under existing statutory authorities in RCRA

Subtitle D, the Clean Water Act, and the Safe Drinking Water Act;

• "Working with states to encourage improvements in the states' regulations

and enforcement of existing programs; and

• "Working with Congress to develop any additional statutory authority that

may be required."

1.3 State and Federal Relations 

Periodic evaluations of state and federal E&P waste management programs have 

proven useful in improving the effectiveness of those programs and increasing 

cooperation between federal and state regulatory agencies. Stakeholder review 

mechanisms have demonstrated the need for establishment of a performance 

baseline against which E&P waste management programs can be evaluated. 

Those mechanisms have led to the identification of strategies that will improve 

communication and program understanding between the states and the federal 

government.
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1.3.1 Strategies for Maintaining a Successful Relationship Between State and 

Federal Agencies

As stated in EPA’s regulatory determination for E&P waste, “...existing state and 

federal regulations are generally adequate to control the management of oil and 

gas wastes. Certain regulatory gaps do exist, however, and enforcement of 

existing regulations in some states is inadequate.” The key is that overall state 

programs are adequate, and have improved since 1990 through adoption of 

recommendations from reviews, information sharing among the states and selfinitiated program improvements. To address remaining gaps and build upon the 

success of the state review program, the focus of future efforts should be to utilize 

information developed from the reviews already conducted, augmented by new 

information developed by the stakeholders, to improve the performance of state 

regulatory programs. 

The stakeholders — oil and gas producing states, public interest representatives, 

and industry representatives — have identified ten related strategies that enhance 

state and federal relationships.

a. Commitment to Work Cooperatively. The states and federal agencies should 

maintain a commitment to work cooperatively to improve the design, 

implementation, and enforcement of state and federal programs for managing 

E&P wastes. State and federal agencies should take steps to encourage open 

communications among state and federal agencies, the regulated industry, and 

other interested parties pertaining to the management and regulation of E&P 

wastes.

b. Recognition of Different Priorities. States should recognize the interest of 

federal agencies in achieving national goals and objectives and assuring 

adherence to federal statutory and regulatory requirements. At the same time, 

federal agencies should recognize the authorities, responsibilities, and 

capabilities of states to regulate certain activities within their borders.

c. Recognition of Different Statutory Objectives. Several of the federal statutes 

governing protection of the environment (e.g., RCRA, Clean Water Act (CWA), 

Safe Drinking Water Act (SDWA), Clean Air Act (CAA)) provide for state 

implementation of certain elements with federal oversight. The objectives of 

and authorities granted by each statute differ. As such, it should be recognized 

that federal and state authorities and implementation approaches may differ.

d. Recognition of Regional Diversity. As discussed in the Report to Congress and 

the legislative history of the SDWA, variable approaches to the management of 

E&P wastes are necessary. These variable approaches are partly a result of 

the different geologic, hydrologic, or historic conditions in states and areas 
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within a state, the diverse characteristics of oil and gas activities, and 

differences in state government structures among the producing states. 

Guidelines or criteria, whether issued by a federal agency such as EPA or as 

advocated by STRONGER, should be sufficiently flexible to permit states to 

take into account these varying conditions. 

e. Baseline of Performance. The criteria adopted by STRONGER should be used 

by federal or state agencies that are responsible for any portion of an E&P 

waste management program. These criteria should serve as a baseline of 

performance by which the effectiveness of programs can be judged. The 

criteria provide states flexibility to address unique conditions while 

accomplishing the goals set forth in Section 3. 

f. State Responsibility for Enforcement. Enforcement is a critical component of a 

state E&P waste management program. Federal government involvement 

should occur only if the state agency fails to enforce the requirements or 

requests federal assistance.

g. State Program Review Process. The state program review process should 

continue to provide states with an independent evaluation of their E&P waste 

management programs using criteria adopted by the IOGCC and STRONGER. 

h. Resolving Conflicts/Building Consensus. Where there are unresolved national 

issues or concerns regarding E&P waste management, a task force should be 

created which is similar in makeup and form to that established for the EPA's 

Office of Drinking Water Mid-Course Evaluation of Class II UIC programs. The 

creation of this task force would bring knowledgeable federal and state 

regulators together to discuss issues, to ascertain whether problems associated 

with these issues are real or perceived, and to decide how best to address the 

issues. This process should be based on the best available information and 

could be initiated by either the federal government or the states.

i. Effective Multi-Agency Coordination. Coordination among the state agencies is 

addressed in more detail in section 4.4. However, each state should recognize 

that coordination among various agencies is necessary for building and 

maintaining trust between the state agencies and the federal agency that has 

oversight responsibilities.

j. Technical and Financial Assistance. The federal government should provide 

technical and financial assistance to states to improve the design, 

implementation, and enforcement of state E&P waste management programs. 

Such assistance may be in the areas of training, enforcement, and data 

management. 
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SECTION 2 | Scope of the Criteria

2.1 General

a. These criteria are intended to guide states in assessing and improving their

regulatory programs for E&P waste management, abandoned sites, naturally

occurring radioactive materials (NORM), storm water management, hydraulic

fracturing, air quality, and reused & recycled fluids. This document, therefore,

sets out the elements of an effective program using "should" rather than the

mandatory "shall", and “are encouraged to” for elements which are desirable,

but which are not necessary for an effective program.

b. These criteria address waste management practices that are unique to E&P

operations and wastes that were determined by EPA to be exempt from the

hazardous waste management requirements of Subtitle C of RCRA. These

narrowly defined wastes include drilling muds and cuttings, produced water and

other wastes associated with E&P activities. The chemical and radiological

characteristics of these wastes and the management practices associated with

the storage, treatment, and disposal of these wastes are covered by these

criteria. Wastes that are uniformly regulated by RCRA hazardous waste

management requirements, as well as general industrial wastes such as

solvents, off-specification chemicals, commercial products, household wastes,

and office refuse are not addressed by these criteria.

c. These criteria apply to all new and currently operating E&P waste management

facilities. In addition, the criteria in Section 6 apply to abandoned sites, the

criteria in Section 7 apply to NORM, the criteria in Section 8 apply to storm

water management, the criteria in Section 9 apply to hydraulic fracturing, the

criteria in Section 10 apply to air quality, and the criteria in Section 11 apply to

reused and recycled fluids.

d. These criteria do not address disposal of E&P wastes by injection or surface

discharge when those waste management practices are regulated by EPA or by

the states under authority of the federal SDWA and federal CWA, respectively.

Brief descriptions of the regulatory frameworks authorized by those laws follow

in Sections 2.2. and 2.3.

e. In addition to a review of provisions of the SDWA and CWA that are applicable

to E&P wastes, this section also contains federal definitions of solid wastes and

hazardous wastes and reviews EPA's waste mixture rule; lists examples of

exempt and non-exempt E&P wastes; and describes general requirements for

the management of non-exempt wastes. States may have different definitions
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for solid and hazardous wastes.

2.2 Class II Injection Wells

The SDWA is the primary federal statute that governs injection wells. The SDWA 

required the EPA to promulgate regulations to protect drinking water sources from 

contamination through underground injection, but directed the Agency not to 

prescribe requirements that would impede oil and gas production. EPA 

established five classes of injection wells, categorized by purpose, potential for 

endangering drinking water, depth of injection, and characteristics of their injectate 

quality. Class II injection wells are broadly defined as related to oil and gas 

injection activities. Activities in this class relate to the disposal of fluids associated 

with oil and gas exploration and production, enhanced recovery operations, and 

the storage of liquid hydrocarbons.

Enhanced recovery describes all efforts to increase ultimate production of oil and 

gas from a reservoir, and this terminology will be considered to encompass other 

nomenclature in common usage such as pressure maintenance, secondary 

recovery, and tertiary recovery. All enhanced recovery techniques include 

methods for supplementing natural reservoir forces and energy, or otherwise 

increasing ultimate recovery. Such techniques include water injection, gas 

injection, gas cycling, and miscible chemicals and thermal processes. 

Class II UIC programs are administered by the States where EPA has approved 

primary enforcement authority (primacy), or are directly implemented by EPA 

where the States have not sought or received approval for their UIC program. 

Amendments to the SDWA in 1980 further allowed a State with an existing 

regulatory program to obtain primary enforcement authority from EPA as long as 

the State was able to demonstrate that its program was effective in protecting 

underground sources of drinking water (USDWs), rather than adopting the 

complete set of Federal requirements. States with UIC program primacy receive 

federal funding for program implementation. 

In general, EPA determines which fluids may be injected into Class II wells in 

direct implementation UIC programs. Primacy States follow their EPA-approved 

primacy agreements in ascertaining whether specific fluids are qualified for 

injection into their Class II wells.

Among the minimum requirements for Class II wells are:

a. Only approved fluids may be injected,

b. No injection may endanger a USDW,

c. No well may be used for injection without a permit, unless authorized by rule.
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d. All injection wells must demonstrate mechanical integrity at least once every 5

years.

2.3 NPDES-Permitted Discharges

All point-source discharges of pollutants to surface waters of the United States 

must comply with the requirements of permits issued under the National Pollutant 

Discharge Elimination System (NPDES). The NPDES program is administered by 

EPA under the authority of the federal CWA or by the states through programs 

delegated by EPA. NPDES permits establish effluent limitations and monitoring 

requirements for discharges. Effluent limits are based upon the more stringent of 

levels which can be achieved through the use of available technology, and levels 

necessary to meet EPA-approved state water quality standards. 

The CWA requires NPDES permits for E&P waste discharges to surface water. 

Currently, effluent guidelines prevent most discharge to surface waters except the 

following categories:

a. Discharges to certain coastal areas;

b. Discharges of low-salinity produced waters which are of beneficial use in arid

regions west of the 98th meridian; and

c. Discharges from stripper oil wells in certain areas.

2.4 Federal Definition of Solid Waste

a. In simplest terms, a solid waste is any material that is discarded or intended to

be discarded. According to RCRA, solid wastes may be solid, semi-solid, liquid,

or contained gaseous material. Commercial products are not solid wastes

unless, and until, they are discarded. Commercial products and their releases

may also be regulated under other statutes such as the Federal Insecticide,

Fungicide and Rodenticide Act (FIFRA), the Toxic Substances Control Act

(TSCA), Superfund Amendments and Reauthorization Act (SARA), and the

Occupational Safety and Health Act (OSHA).

b. EPA has also determined that produced water injected for enhanced recovery is

not a waste for purposes of RCRA Subtitle C or D, since produced water used

in enhanced recovery is beneficially recycled and is an integral part of some

crude oil and natural gas production processes.
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2.5 Hazardous Waste

Under RCRA, a solid waste may be designated as hazardous waste if it is 

specifically listed as a hazardous waste or if it exhibits one or more of the 

characteristics of hazardous wastes. (See 40 CFR 261).

2.5.1 Listed Hazardous Waste

a. EPA has listed numerous types or classes of solid wastes as hazardous waste

because they typically exhibit one or more of the characteristics of hazardous

waste, or have been shown to exceed certain human toxicity criteria, or contain

any one of the chemical compounds or substances that are listed as hazardous

constituents. (see 40 CFR 261 APP VIII.)

b. EPA's regulations contain four lists of hazardous wastes: 1) hazardous waste

from non-specific sources; 2) hazardous waste from specific sources; 3)

commercial chemical products that become acutely hazardous waste when

disposed; and 4) commercial chemical products that become toxic wastes when

disposed.

2.5.2 Characteristically Hazardous Waste

a. EPA considers any solid waste to be a hazardous waste if it exhibits any one of

the characteristics of ignitability, corrosivity, reactivity, or toxicity.

b. The toxicity characteristic is determined by the toxicity characteristic leaching

procedure (TCLP). The list of constituents includes eight heavy metals and

thirty-two organic compounds

2.6 EPA's Identification of Exempt Exploration and Production 

Wastes

The list below identifies many, but not all, exempt wastes. In general, E&P exempt 

wastes are generated in "primary field operations" and are unique or intrinsic to 

exploration and production activities (e.g., drilling for, producing, and purifying 

crude oil and natural gas), and not as a result of maintenance or transportation 

activities.

All wastes generated in transportation and refining are non-exempt. EPA's 

regulatory determination for E&P wastes (see 53 FR 25453, July 6, 1988) found 

that the following wastes are exempt from RCRA hazardous waste management 

requirements:
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• "Produced water;

• "Drilling fluids;

• "Drill cuttings;

• "Rig wash;

• "Drilling fluids and cuttings from offshore operations disposed of onshore;

• "Well completion, treatment, and stimulation fluids;

• "Basic sediment and water, and other tank bottoms from storage facilities that hold

product and exempt waste;

• "Accumulated materials such as hydrocarbons, solids, sand, and emulsion from

production separators, fluid treating vessels, and production impoundments;

• "Pit sludges and contaminated bottoms from storage or disposal of exempt

wastes;

• "Workover wastes;

• "Gas plant sweetening wastes for sulfur removal, including amine, amine filters,

amine filter media, backwash, precipitated amine sludge, iron sponge, and 

hydrogen sulfide scrubber liquid and sludge; 

• "Cooling tower blowdown;

• "Spent filters, filter media, and backwash (assuming the filter itself is not

hazardous and the residue in it is from an exempt waste stream);

• "Packing fluids;

• "Produced sand;

• "Pipe scale, hydrocarbon solids, hydrates, and other deposits removed from piping

and equipment prior to transportation;

• "Hydrocarbon-bearing soil;

• "Pigging wastes from gathering lines;

• "Wastes from subsurface gas storage and retrieval, except for the listed non-
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exempt wastes;

• "Constituents removed from produced water before it is injected or otherwise

disposed of;

• "Liquid hydrocarbons removed from the production stream but not from oil refining;

• "Gases removed from the production stream, such as hydrogen sulfide and carbon

dioxide, and volatilized hydrocarbons;

• "Materials ejected from a producing well during the process known as blowdown;

• "Waste crude oil from primary field operations and production; and

• "Light organics volatilized from exempt wastes in reserve pits or impoundments or

production equipment."

On March 22, 1993, EPA provided "clarification" regarding the scope of the E&P 

waste exemption. (see 58 FR 15284-15287.) EPA clarified the concept of primary 

field operations for crude oil and natural gas production. To fall under the scope of 

the exemption, an E&P waste must be generated in primary field operations and 

be unique or intrinsic to the production process. In addition, EPA stated that 

certain waste streams generated by oil and gas service companies may be 

"uniquely associated" with primary field operations and as such are within the 

scope of the RCRA Subtitle C exemption. EPA further clarified that an exempt 

waste remains exempt regardless of the waste’s custody transfer, and that the 

residual waste from the treatment of an exempt waste remains exempt (e.g., 

residual sediment and water from crude oil reclamation from exempt tank 

bottoms). EPA's clarification cautioned, however, that exempt crude oil

reclamation and service-company wastes may not remain exempt if they are 

mixed with non-exempt materials or wastes. States should carefully review EPA's 

clarification along with EPA publication EPA530-K-01-004 (October 2002). (found 

at http://www.epa.gov/epaoswer/other/oil/oil-gas.pdf). EPA periodically issues 

interpretive letters regarding the oil and gas exemption. One such letter was 

issued in November 1993 and is referred to in EPA publication EPA530-K-01-004. 

2.7 EPA's Identification of Non-exempt Exploration and Production

Wastes

Non-exempt wastes include wastes that are not unique to E&P and wastes 

generated by transportation (pipeline and trucking) and service activities. While 

the following wastes are non-exempt, their regulatory status as "hazardous 

wastes" is dependent upon whether they are listed as hazardous waste or they 

exhibit a hazardous waste characteristic. Non-exempt wastes should be managed 

as described under Section 2.8. EPA's 1988 regulatory determination lists the 
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following wastes as non-exempt:

• "Unused fracturing fluids or acids;

• "Gas plant cooling tower cleaning wastes;

• "Painting wastes;

• "Oil and gas service company wastes, such as empty drums, drum rinsate,

vacuum truck rinsate, sandblast media, painting wastes, spent solvents, spilled 

chemicals, and waste acids;

• "Vacuum truck and drum rinsate from trucks and drums transporting or containing

non-exempt waste;

• "Refinery wastes;

• "Liquid and solid wastes generated by crude oil and tank bottom reclaimers;

• "Used equipment lubrication oils;

• "Waste compressor oil, filters, and blowdown;

• "Used hydraulic fluids;

• "Waste solvents;

• "Waste in transportation pipeline-related pits;

• "Caustic or acid cleaners;

• "Boiler cleaning wastes;

• "Boiler refractory bricks;

• "Incinerator ash;

• "Laboratory wastes;

• "Sanitary wastes;

• "Pesticide wastes;

• "Radioactive tracer wastes; and Drums, insulation, and miscellaneous solids."
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EPA did not specifically address, in its 1988 regulatory determination, the status of 

hydrocarbon-bearing material that is recycled or reclaimed by re-injection into a 

crude stream. However, under existing EPA regulations, recycled oil, even if it 

were otherwise hazardous, could be reintroduced into the crude steam, if it is from 

normal operations and is to be refined along with normal process streams at a 

petroleum refinery facility. Regulations addressing an exclusion for used oil are at 

40 C.F.R 261.6(a)(4), and regulations addressing an exclusion for recovered oil 

are at 40 C.F.R. 261.4(a)(12) as revised.

2.8 Requirements for Non-exempt Wastes

a. EPA's hazardous waste regulations require that a hazardous waste

determination be made for any non-exempt E&P waste. The determination 

may find the non-exempt waste either to be listed as a hazardous waste or to 

exhibit a hazardous waste characteristic. If a non-exempt waste is found not to 

be listed as a hazardous waste or not to exhibit a hazardous waste 

characteristic, it is a non-exempt non-hazardous waste.

b.If a non-exempt waste is not a listed hazardous waste, it should be tested

whenever there is reason to believe it may exhibit one or more of the 

hazardous waste characteristics. Alternatively, a hazardous waste 

determination may be made based on knowledge of the process by which the 

waste is produced. Although there is no requirement that a non-exempt waste 

be tested to determine if it is hazardous, civil and criminal penalties may be 

imposed if the waste is not managed in a safe manner and according to 

regulations.

c. Depending on the actual hazardous waste quantity generated and accumulated

on-site, RCRA hazardous waste management standards for generators may 

apply. Additionally, treatment, storage, or disposal activities on-site may be 

subject to more stringent RCRA Subtitle C requirements, such as permitting 

and corrective action.

d. Non-exempt waste should also be segregated whenever possible from exempt

waste. If the non-exempt waste was a listed hazardous waste, its mixture with

an exempt waste could make the entire commingled waste stream subject to

stringent RCRA Subtitle C requirements, including the requirement that the

waste be disposed at a hazardous waste facility. When segregation is not

practical, the non-exempt waste should be examined closely to assure that it is

not a hazardous waste. See Section 2.9 for additional discussion of waste

mixtures.

e. Some states have adopted hazardous waste regulations and have obtained

authority from EPA to administer the federal hazardous waste regulations.

Those state programs’ regulations may differ from those that EPA has
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promulgated; however, by law, the states’ regulations must be at least as 

stringent as the federal programs.

2.9 Waste Mixtures

EPA's RCRA regulations provide that the commingling of any listed hazardous 

waste with a non-hazardous waste generally renders the entire mixture a 

hazardous waste. The intent of this mixture rule is to prevent avoidance of 

hazardous waste regulations through dilution. For example, discarding a listed 

hazardous waste (e.g., a half-empty container of a listed solvent) in a reserve pit 

could cause the otherwise exempt pit contents to become a hazardous waste and 

result in the expensive closing of the reserve pit under RCRA hazardous waste 

regulations. Likewise, the mixing of a characteristic hazardous waste with an 

exempt waste could render the entire mixture a hazardous waste. Also, in those 

cases where the mixture is no longer considered a hazardous waste, the process 

of rendering the hazardous waste non-hazardous could be considered treatment 

of a hazardous waste and RCRA Subtitle C would apply. 

Unused commercial products are not exempt wastes when disposed and, if 

hazardous (or potentially hazardous), should not be disposed with exempt E&P

waste. All reasonable efforts should be made to completely use commercial 

products, return them to their vendor if they are not fully used, or segregate them 

from other waste for management and disposal.
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SECTION 3 | General Criteria

3.1 General

An effective program for the regulation of E&P activities should include, at a 

minimum:

a. Statutory authority that adequately details the powers and duties of the

regulatory body;

b. Statutory authority to promulgate appropriate rules and regulations;

c. Statutes and implementing regulations which adequately define necessary

terminology;

d. Provisions to adequately fund and staff the program;

e. Mechanisms for coordination among the public, government agencies, and

regulated industry; and

f. Technical criteria for E&P environmental management practices.

3.2 Goals

An effective state program should contain a clear statement of the program's goals 

and objectives. Such goals should include, at a minimum, protecting human 

health and the environment from the mismanagement of E&P activities while 

recognizing the need for an economically viable oil and gas industry. When 

establishing regulations and policies for E&P waste management, states should 

use the waste management hierarchy set forth in Section 5.3 to encourage waste 

minimization and source reduction.

3.3 State/Regional Variations in Criteria

These criteria are intended to provide guidance to the states in the formulation, 

development, and evaluation of oil and gas environmental regulatory programs. 

Fundamental differences exist from state to state, and within regions within a state 

in terms of climate, meteorological patterns, air quality compliance status, 

hydrology, geology, economics, and method of operation, which may impact on 

the manner in which oil and gas exploration, development, and production is 

performed. State oil and gas programs can and should vary from state to state 

and within portions of a state. The process by which these criteria are 
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incorporated into state programs is a function of, and within the discretion of, the 

responsible state agency. It is recognized that state programs must vary in order 

to accommodate differences in climate, hydrology, geology, economics, and 

method of operation or to accommodate individual differences in state 

administrative procedures or law. Furthermore, in some instances, in order to 

accommodate regional, area-wide, or individual differences within a state, it is 

appropriate for site-specific waivers or variances to be allowed for good cause 

shown. All such variations should be consistent with the goals of Section 3.2.
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SECTION 4 | Administrative Criteria

4.1 Basic Requirements

Various federal regulations applicable to the delegation to states of federal 

environmental programs provide a useful framework for the development of criteria 

for an effective state program. Environmental regulatory programs for E&P 

activities should, at a minimum, include provisions for permitting, compliance 

evaluation, and enforcement.

4.1.1 Permitting

A state should have a regulatory mechanism to assure that E&P activities are 

conducted in an environmentally responsible manner. A program to achieve that 

objective may rely on one or more mechanisms, including issuance of individual 

permits, issuance of permits by rule, establishment of regulatory requirements by 

rule, issuance of general permits, registration of facilities, and/or notification of 

certain activities undertaken pursuant to general regulations. State agencies 

should have authority to refuse to issue or reissue permits or authorizations if the 

applicant has outstanding, finally determined violations or unpaid penalties, or if a 

history of past violations demonstrates the applicant's unwillingness or inability to 

comply with permit requirements. Where the operator responsible for E&P 

activities changes, state requirements should address the new operator's financial 

responsibility and compliance history. An effective state program should provide 

that a state permit does not relieve the operator of the obligation to comply with 

federal, local, or other state permits or regulatory requirements.

Individual permits for specific facilities or operations should be issued for fixed 

terms. In the case of commercial or centralized facilities, permits generally should 

be reviewed and revised, if necessary, no less frequently than every five years. 

Where two or more regulatory programs mandate similar requirements, those 

requirements should be combined where feasible. The process for obtaining 

permits and other authorizations should also involve prompt consideration and 

response to applications while preserving the integrity of the permit review 

process, including appropriate public participation. For the purposes of these 

guidelines, the terms "license" or "licensing" as used in Section 7 of these 

guidelines, criteria for the management of E&P NORM, will be synonymous with 

the terms "permit" or "permitting" as they are used throughout these guidelines. 
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4.1.2 Compliance Evaluation

4.1.2.1

State programs should contain the following compliance evaluation capabilities:

a. Procedures for the receipt, evaluation, retention, and investigation for possible

enforcement action of all notices and reports required of permittees and other

regulated persons. Investigation for possible enforcement action should include

determination of failure to submit these notices and reports. Effective data

management systems as prescribed in Section 4.2.7. can be used to track

compliance.

b. Inspection and surveillance procedures that are independent of information

supplied by regulated persons and which allow the state to determine

compliance with program requirements, including:

i. The capability to conduct comprehensive investigations of facilities and

activities subject to regulation in order to identify a failure to comply with

program requirements by responsible persons;

ii. The capability to conduct regular inspections of regulated facilities and

activities at a frequency that is commensurate with the risk to the

environment that is presented by each facility or activity; and

iii. The authority to investigate information obtained regarding violations of

applicable program and permit requirements.

c. Procedures to receive and evaluate information submitted by the public about

alleged violations and to encourage the public to report perceived violations.

Such procedures should not only involve communications with the public to

apprise it of the process to be followed in filing reports or complaints, but should

also communicate how the state agency will assure an appropriate and timely

response.

d. Authority to conduct unannounced inspections of any regulated site or premises

where E&P activities are being conducted, including the authority to inspect,

sample, monitor, or otherwise investigate compliance with permit conditions and

other program requirements.

e. Authority to enter locations where records are kept during reasonable hours for

purposes of copying and inspecting such records.

f. Investigatory procedures that will produce a paper trail to support evidence

which may be admitted in any enforcement proceeding brought against an

alleged violator, including clear inspection and inspection reporting procedures.
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4.1.3 Enforcement

4.1.3.1

With respect to violations of the state program, the state agency should have 

effective enforcement tools, which may include the following actions1:

a. Issue a notice of violation with a compliance schedule;

b. Restrain, immediately and effectively, any person by order or by suit in state

court from engaging in any impending or continuing unauthorized activity which

is causing or may cause damage to public health or the environment;

c. Establish the identity of emergency conditions which pose an imminent and

substantial human health or environmental hazard that would warrant entry and

immediate corrective action by the state agency after reasonable efforts to

notify the operator have failed;

d. Sue or cause suit to be brought in courts of competent jurisdiction to enjoin any

impending or continuing violation of any program requirement, including any

permit condition, without the necessity of a prior revocation of the permit;

e. Require, by administrative order or suit in state court, that appropriate action be

undertaken to correct any harm to public health and the environment that may

have resulted from a violation of any program requirement, including, but not

limited to, establishment of compliance schedules;

f. Revoke, modify, or suspend any permit upon a determination by the state

agency that the permittee has violated the terms and conditions of the permit,

failed to pay an assessed penalty, or used false or misleading information or

fraud to obtain the permit; or

g. Assess administrative penalties or seek, in court, civil penalties or criminal

sanctions including fines and/or imprisonment.

h. Forfeiture of financial assurance instruments.

4.1.3.2

States should develop guidance for calculations of penalties that include factors 

such as the economic benefit resulting from the violation, willfulness, harm to the 

 1 In some states, enforcement remedies include authorities to cause cessation of 

production or transportation of product, and/or seizure of illegal product.
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environment and the public, harm to wildlife, fish or aquatic life or their habitat, 

expenses incurred by the state in removing, correcting or terminating the effects of 

the unauthorized activity, conservation of the resource, timeliness of corrective 

action, notification of appropriate authority, and history of violations. Benefits of 

guidance for calculation of penalties include consistency in the assessment of 

penalties and development of readily defensible assessments. Penalties should 

be such that an operator does not benefit financially from unlawful conduct, and 

should provide compliance incentive to other operators. States should evaluate 

their enforcement options and policies to assure that the full range of actions 

available are effectively used.

4.1.3.3

The right to appeal or seek administrative and/or judicial review of agency action 

should be available to any person having an interest which is or may be adversely 

affected, or who is aggrieved by any such action.

4.2 Additional Program Requirements

Beyond basic requirements, an effective state program should also include a 

variety of other administrative requirements as discussed below.

4.2.1 Contingency Planning and Spill Risk Management

4.2.1.1 State Contingency Program

a. The state should develop and adopt a state contingency program for preventing

and responding to spills and unauthorized releases to land, water, or air from

E&P facilities. The state program need not duplicate applicable federal

regulations for contingency planning and spill risk management. The state’s

contingency program may include a state contingency plan, or may consist of a

set of regulations or operator contingency plan requirements. The program

should define the volume of a spill or release of a petroleum product or waste

and the level of risk to various receiving environments that triggers

implementation of the spill contingency plan and response requirements.

b. The state contingency program should also contain funding provisions which

enable the state agency to undertake immediate response actions for significant

spills or releases which constitute a threat to human health or the environment

in the event that a responsible operator cannot be located or is unwilling or

unable to respond to the spill or release in a timely manner.
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4.2.1.2 Reporting capabilities

The state should provide mechanisms for operators or the public to report spills 

and unauthorized releases. These mechanisms should include telephone access 

24 hours a day, 7days a week. A single point of contact 1-800 telephone number 

should be considered. Telephone answering capabilities should include provisions 

for the prompt notification of appropriate state agency personnel.

4.2.1.3 Interagency coordination

The state should provide for coordination of actions between appropriate agencies 

that have jurisdiction for the management of risks from spills and unauthorized 

releases from E&P facilities. This includes clear designation of onsite spill 

responsibilities. 

4.2.1.4 Operator Prevention of, and Response to, Spills and Releases 

The state agency should require an operator to take measures to prevent, and 

prepare to respond to, spills or unauthorized releases of petroleum products or 

waste that may occur at an E&P facility. These requirements can be spelled out in 

regulations or guidance, or they may be included in operator-specific or sitespecific plans. 

4.2.1.4.1 General 

a. State contingency programs should address the following:

i. E&P facilities, equipment at those facilities, and materials found at E&P

sites that may pose a significant threat to human health and/or the 

environment;

ii. The various types of receiving environments, including water (surface and

groundwater) and land (environmentally sensitive areas, special soil or 

geological conditions, urban areas, cultural and special resource areas); and

iii. Public and responder safety concerns, including training for response

personnel.

b. The state program should require the operator to identify the following:

i. The operator’s incident command structure, including emergency contact

information for key personnel.

ii. Equipment, manpower, contracted services, and other logistical support
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necessary for response to spills and unauthorized releases.

iii. Opportunities for coordination of joint response actions, manpower or

equipment, with nearby well sites or other facilities of the operator or other 

operators.

iv. Procedures for identification of and communication with parties impacted

or threatened by spills or unauthorized releases.

v. Acceptable methods of containment of spills and unauthorized releases.

vi. Acceptable disposal methods, such as on-site remediation, approved

disposal facilities, and waste haulers, for materials of concern.

c. The State program should require responder training to assure that personnel

are prepared to respond efficiently and effectively.

4.2.1.4.2 Prevention measures

Where spills and unauthorized releases pose a significant risk to human health 

and/or the environment, the State should require prevention measures that may 

include:

a. Secondary containment such as dikes, berms and firewalls, or equivalent

measures.

b. Tertiary containment and/or monitoring systems in high-risk areas.

c. Inspection, testing, and maintenance schedules and procedures for facilities

and equipment.

d. Site security measures as necessary.

e. Periodic review of spill histories to identify opportunities to reduce future spills

and unauthorized releases.

4.2.1.4.3 Response Measures

a. A State program should include reporting and notification procedures to be

used in the event of a spill or unauthorized release. These should include:

i. Agencies and parties to be notified with contact information.

ii. The type of reporting (verbal, written) required for various incidents.
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iii. Reporting time requirements.

iv. Reporting thresholds.

v. Operator reporting information, such as the name of the operator and the

operator’s representative reporting the incident; a description of the incident, 

including the date and time of the incident and its discovery; the type and 

volume of material released; the location of the incident; the apparent extent 

of the release; damage or threat to groundwater, surface water, land, and/or 

air; and weather conditions.

b. States should provide guidance for containment, abatement, and remediation,

including:

i. Cleanup standards;

ii. Required sampling and analyses; and

iii. Where appropriate, approved non-mechanical response actions, such as

the use of dispersants and in-situ remediation, including identification of the 

agencies that must provide approval of these operations.

c. The state should specify any requirements for final reporting, site monitoring,

and necessary agency approvals. Any final report required should identify

the cause of the incident and actions taken to prevent or minimize the

likelihood of a recurrence.

4.2.1.5 Follow-up actions

The state program should provide for enforcement, as described in Section 4.1.3. of 

these Guidelines, for the failure of an operator to report or respond to spills and 

unauthorized releases as required. The state program should also consider 

provisions for the assessment of damages caused by an incident. A state program 

should contain provisions allowing the state to pursue a responsible operator for 

reimbursement of state monies expended in responding to such a spill or release.

4.2.1.6 Database

The state data management program, as described in Section 4.2.7. of these 

Guidelines, should include information on spills and unauthorized releases. This 

data should be analyzed periodically as part of a program effectiveness evaluation 

as described in Section 4.2.3, Program Planning and Evaluation, of these 

Guidelines.
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4.2.2 Public Participation

4.2.2.1 Notice and Records

State program legislation or regulations should require that the affected public be 

provided with adequate notice of the agency's intention to issue a permit or license 

that addresses E&P activities. The public should be provided with an appropriate 

opportunity to comment on a permit or license prior to issuance. Wherever 

possible, this notice should be coordinated with the notice requirements of other 

concurrently applicable state or federal programs. For commercial or centralized 

disposal facilities, the operator should also be required to provide written notice to 

adjacent landowners of record for such area and in such manner as may be 

prescribed by the state agency. 

Agency records related to this program should generally be available for review by 

the public. Such records are to include waste disposal and pit locations and any 

required analytical data. Where information submitted by an operator is of a 

"confidential business" nature, an agency should have procedures for segregating 

that information and protecting it from disclosure. In all cases, spill and violation 

records should be available to the public. Agencies should establish a minimum 

record keeping time period of three years that should be automatically extended 

while any unresolved enforcement action regarding the regulated activity is 

pending.

4.2.2.2 Program Information

States should provide for the dissemination of program information to the 

regulated industry and the public. Such educational materials should include 

information or guidance on contingency planning, spill response, permitting, 

operating, monitoring and other requirements. Such efforts should be part of an 

ongoing process through which information is exchanged in an open forum. 

Because E&P environmental requirements are undergoing numerous changes, 

states have the obligation to inform the regulated industry and the public of 

changes. Industry associations and other organizations may provide a convenient 

and effective mechanism for dissemination of information. States should actively 

make use of seminars, newsletters, special mailings, association committees, 

incentive programs and other mechanisms.

4.2.2.3 Advisory Groups

States should use advisory groups of industry, government, and public 

representatives, or other similar mechanisms, to obtain input and feedback on the 

effectiveness of state programs for the regulation of E&P activities. Provision 

should be made for education or training as is appropriate to give such advisory 
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groups a sound basis for providing input and feedback.

4.2.3 Program Planning and Evaluation

4.2.3.1 Program Planning

States should have a sound regulatory development process which includes both 

short-term and long-term strategic planning for defining goals and objectives, 

setting priorities, and evaluating the clarity, efficiency, and effectiveness of the 

E&P environmental regulatory program. In formulating environmental regulatory 

programs, states should use the best available scientific and technical information 

and should consider the environmental, economic and energy impacts of the 

regulations. 

4.2.3.2 Program Evaluation

a. General

Beyond the general, technical and administrative criteria set forth elsewhere in this 

guidance document, a program for the regulation of E&P activities should evaluate 

how well the program protects human health and the environment while 

recognizing the need for an economically viable oil and gas industry. 

Program evaluation measures may be of a wide variety and include positive 

indicators (what’s working) as well as negative indicators (what’s not working). 

Some administrative aspects of program performance can be evaluated by 

examining how well the program enables the industry, the public, and the 

regulators themselves to function. Environmental aspects can be evaluated by 

assessing some combination of preventive measures, the qualities and 

characteristics of E&P wastes the severity of impact from a spill or unauthorized 

release, and the timeliness of remediation. While it is important for the program to 

have adequate rules, performance evaluation indicates to what extent the 

implementation of a rule or practice of the program brings about environmental 

protection.

Although a formal evaluation of program performance might occur at periodic 

intervals, the monitoring of activities and the modifications to the program form an 

ongoing, cyclic process as outlined in Figure 4.1. The process has no specific 

beginning or ending point. Rather, the steps in the process form a continuous 

progression that should be examined during performance review.
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Air quality 

Ground/surface water

Public Health

Crops and sustainability 

of natural resources

Waste type 

Waste management 

Permitted vs. nonpermitted new vs. historical

Permits/authorizations

Complaints 

Inspection results

Inspection types

Field monitoring

Modifications to programs, , 

Resources, regulations, 

and/or enforcement.

Education/outreach

Stakeholder Partnerships

Change Possible causes of 

 adverse effects

 Monitoring of Activities & results

Environmental/health

 Results E&P 

Activity

Figure 4.1. Performance review cycle.

A state should select parameters that are appropriate for use in measuring the 

effectiveness of its E&P regulatory program. Documentation of the selected 

parameters and the ability to acquire, assess, and present the relevant data are 

critically important to evaluation of performance. This requires establishing a 

definition of the parameters being evaluated and specifying the technical 

measurements to be made or the technical data to be examined. In addition, it 

requires installation and use of a data management system that facilitates review 

and evaluation. Program performance should be evaluated periodically, using 

measures that can be applied consistently from one evaluation period to another, 

although the measures may evolve and improve in time. If a database of 

releases, regulatory activities, remediation sites, or other information is used for 

performance evaluation, it should, if possible, extend backward in time so as to 

enable a measure of progress on historical problems.

b. Qualities of Performance Measures

In evaluating its performance, a program should have data management 

capabilities to enable assessment of program effectiveness and timeliness. 

Evaluation measures should:

• be quantitative, whenever possible;

• allow consistent evaluation across time;

• be available to program personnel, the industry, and the public;

• document significant trends;

• summarize an evaluation of the nature and extent of contamination

[Section 5.2], abandoned wastes, and abandoned facilities [Section 6] as

they occur across the state; NORM [Section 7], stormwater management

[Section 8], hydraulic fracturing [Section 9], air quality [Section 10], and
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reused & recycled fluids [Section 11].

• include identification and priority of outstanding environmental threats, so

as to aid the program in targeting its efforts;

• enable evaluation of whether the program's responses to violations

encourage compliance.

Evaluation of performance may include, as an example:

• Contamination: the state-wide nature and extent of environmental

contamination by E&P wastes;

• Trends: whether the extent of contamination by E&P wastes is increasing

or decreasing, and the reasons why;

• Prevention: the effectiveness of the program's efforts in preventing

releases of E&P wastes to the environment;

• Timeliness: the timeliness of agency actions in controlling the impacts of

E&P wastes released to the environment;

• Abatement: the effectiveness of agency actions in abating pollution by E&P

wastes, or in causing pollution to be abated; and

• Enforcement: the effectiveness of the agency's administrative controls in

the prevention or abatement of pollution by E&P wastes [Section 4.1].

c. Examples of program evaluation

i. Assessment of impacts

A state could identify documented cases that demonstrate reasonably 

clear links of cause and effect between operational practices and resulting 

environmental impacts. Such impacts might be human health effects, 

ecological effects, effects on wildlife or livestock, or effects on natural 

resources.

From examination of documented cases, a state could determine whether 

those cases were the result of violations of existing program requirements, 

insufficient programmatic enforcement of the requirements, other causes, 

or whether the cases suggest that the requirements should be revised.

A case could be documented if impacts are found to exist as part of the 

findings of a scientific study. Such studies could be formal investigations 

supporting litigation or a state enforcement action, or they could be the 

results of technical tests (such as monitoring of wells) if such tests (a) 

were conducted with state-approved quality control procedures, and (b) 

revealed contamination levels in excess of an applicable state or federal 

standard or guideline (such as a drinking water standard or water quality 

criteria).

Possible impact indicators might be:
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• The area or other measure of contaminated or affected ground or

surface water, tracked periodically over time.

• A histogram of the number of releases versus time, amount of

produced resource and number of wells in the state. Releases might

be grouped by material released, such as crude oil, produced water,

etc.

• A histogram of the number of releases of a given material versus the

approved time to completion of remediation.

• The time elapsed between an agency's receipt of a remediation

proposal or related correspondence, and the agency's response to that

proposal or correspondence.

ii. Analysis of activities and results

Activity and results analysis comprises administrative measures of

program goals, plans, and operations. These measures focus on

prevention of pollution, efficiency of operations, priorities, and the

allocation of resources within the program.

The following are examples of activities:

• The development of a strategic plan with goals, milestones, and

establishment of priorities [Sections 3.2, 4.2.3]. The plan should be

based on anticipated threats and/or known impacts, as well as budget

and administrative factors that may be beyond the control of the

agency.

• The development of a program promoting use of the waste

management hierarchy [Section 5.3].

• A review of the number of stream miles listed as impaired by oil and

gas activities in the state biennial Integrated Water Quality Monitoring

and Assessment Report required under Sections 305(b) and 303(d) of

the federal Clean Water Act.

• An evaluation of the number of wells abandoned without being properly

plugged compared to levels of financial assurance or other program

measures to address orphan wells.

• Evaluation of the results of surveys to determine the satisfaction of

permit recipients and other customers with program implementation.

• The development of a program, including time and activity tracking, to

conduct efficiency studies of average time to issue permits, conduct

inspections and perform other required activities.

• A documented process for obtaining input from within the agency, from

the public, and/or from an advisory group for identification of program

strengths and deficiencies [Section 4.2.2.3].

• Evaluation of the results of a training, educational, or outreach program
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[Section 4.2.2].

• Evaluation of the effectiveness of the agency’s enforcement program.

[Sections 4.1.2, 4.1.3, 4.2.1.2].

The following are examples of results:

• The number of inspections by the agency.

• The number, type and causes of spills, accidents and safety incidents

reported to the agency.

• The number of operations witnessed by the agency.

• The number, type, frequency and cause of violations detected by

inspectors [Section 4.1.2].

• The number, type, frequency and cause of complaints by the public,

and the time required to resolve those complaints [Section 4.2.2.1].

• The number of violations, the time to resolve those violations, and the

number unresolved [Section 4.1.2].

• The number of actions going to hearing, enforcement, and/or fines

[Section 4.1.3].

d. Baselines and Follow-up

A state agency should regularly evaluate its effectiveness in attaining the goals 

set forth in Section 3.2 in a way that will create a baseline against which to 

compare the program’s performance in the future.

A state agency is encouraged to conduct periodic self-assessments in addition to 

the assessments conducted in the State Review Process. These selfassessments should document successes and should identify areas for 

improvement. This will allow continual improvement of a state’s program while 

recording its successes

The utilization of performance evaluations and a continual improvement process 

will demonstrate the state’s efforts to adapt to changes in technology, concerns 

of the public and regulated community, and to provide both for the documentation 

of successes and identification of areas requiring improvement.

4.2.4 Financial Assurance

All states should have an adequate financial assurance program to provide 

resources to the state to close or remediate a site should an operator fail to meet 

its obligations under the law. The goal of any financial assurance program should 

be to avoid passing on the responsibility for closure and remediation costs to the 

citizens of the state. An adequate financial assurance program should be 

supported by the following elements: frequent site inspections; strict permit 

enforcement; and appropriate regulations governing and monitoring “inactive 
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status” of covered facilities.

States should identify activities such as closure and remediation and other 

relevant activities for which criteria have been set forth in Section 5 that need to be 

covered by financial assurance. Some states require financial assurance for 

inactive wells, some for drilling and/or plugging, some for waste disposal facilities, 

and some for the life of the well. 

States should determine the types of financial assurances that will provide reliable 

monetary resources to the state and will facilitate an operator’s compliance with 

permit requirements. Types of financial assurance include surety bonds; selfbonding; letters of credit; certificates of deposit; cash, federal, state, or municipal 

bonds; and other forms of collateral. Some states require performance bonds and 

some states require penal bonds. Some states accept a nonrefundable fee to be 

paid into the well plugging fund in lieu of a bond. Some states allow phased 

payments of collateral into a fund so that small operators can develop a collateral 

bond over a specified period of time. States should develop financial assurance 

options that facilitate an operator's compliance with bonding requirements. In 

addition to single well bonds, many states allow blanket bonds. This allows 

operators to assure that an established minimum level of financial assurance is 

provided without the commitment of an unnecessary amount of operating funds.

States should periodically review the amount of assurance required to determine if 

the amount is adequate to provide incentive for proper plugging of a well and 

reclamation of a site, and to assure proper management of E&P wastes.

In the case of commercial and centralized facilities as defined in Section 5.10, 

including those that manage E&P NORM, state financial assurance requirements 

should be sufficient to cover the costs of appropriate facility decontamination, 

reclamation, and closure, and should extend through any post-closure care, 

monitoring, or control period. (see Section 5.10.2.2.e.)

States should develop appropriate procedures to access an operator's financial 

assurance when the operator does not meet the obligations covered by the 

financial assurance. These procedures should include provisions for notice, 

hearings, and forfeiture.

Some states have special funds, such as well-plugging funds, that are available for 

state use to correct problems where an operator does not comply with state 

requirements. Although the availability of such funds may be a consideration in 

some states when determining bond coverage amounts, special funds should be 

used to supplement rather than completely take the place of other forms of 

financial assurance provided by the operator. The use of special funds should be 

limited to instances where the responsible operator cannot be determined or is 

unavailable. These special funds can be generated by taxes, fines, forfeitures, or 

fees.
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4.2.5 Waste Hauler Certification

The appropriate state agency should have authority to require the training of 

drivers of trucks that are involved in the commercial transportation of E&P waste to 

a commercial or centralized disposal facility. Such training should include, among 

other things, emphasis on proper record keeping, the need to deliver the waste to 

the designated facility and emergency response and notification procedures. The 

appropriate state agency should also have authority to require the registration of 

all vehicles used to commercially transport the waste and of all commercial waste 

haulers.

4.2.6 Location of Closed Disposal Sites

A state program should contain authority with respect to disposal site closure, 

including authority to identify the location of the disposal site and for such 

information to be permanently maintained by the state agency for public review. 

Whether the location of a waste disposal site is disclosed in the public land 

records is a matter that is within the discretion of the state.

4.2.7 Data Management

4.2.7.1 General

Effective data management systems should be maintained due to the amount of 

information that states compile. Such systems should include permitting, 

operating, spill, remediation, and monitoring information and should include those 

data elements that an individual state finds are necessary to make cost-effective, 

risk-based decisions. Data should be maintained on as detailed a level as is 

necessary for the agencies to conduct their regulatory reviews. States and the 

federal government should undertake efforts to facilitate the sharing of data among 

responsible agencies, the public, and other users. States should develop policies 

for data access, data dissemination, and the allocation of cost of services to 

governmental and non-governmental users.

4.2.7.2 Electronic Data Management

Electronic filing, permitting, imaging, geographic information systems and internet 

data transfer and access are technologies that can contribute to program 

efficiency and data accessibility, although they are not required for effective waste 
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management. However, because of the efficiencies of electronic data 

management and enhanced accessibility of electronic data to regulators, the 

industry and the public, agencies are encouraged to develop systems for the 

electronic submittal, storage and retrieval of agency data. States are encouraged 

to implement electronic data management systems to improve program efficiency, 

data access, and data security to the extent they are appropriate to the State’s 

regulatory program.

4.2.7.3 Program Elements

Agencies should provide for the capture of data and images as appropriate, and 

for both protecting the quality of data collected and the long-term protection and 

backup of captured information through measures such as off-site duplicate 

storage, archiving, and/or data retention and destruction policies. Agencies should 

include public and industry access in their data management systems.

Most program data are available to the public under various sunshine rules. Some 

records may be retained as confidential files for a defined period of time. Certain 

confidential types of data may also be discoverable. States should develop 

policies that define data sets to be made available to the public and/or industry.

4.3 Personnel and Funding

4.3.1 Personnel

For a state program to function effectively, sufficient, properly trained personnel to 

accomplish the goals and objectives of the program are necessary.

In determining its personnel needs, a state agency should consider not only the 

number of activities that it must regulate and inspect, but also the accessibility of 

those activities to agency personnel. Accessibility will be heavily influenced by the 

size of the area to be regulated, the local terrain, and road conditions. In addition, 

a state agency should evaluate how its personnel needs will be affected by 

activities occurring in environmentally sensitive areas (e.g., in close proximity to 

surface water and groundwater).

Generally, personnel needs should be evaluated in each of the categories of 

administration, legal, technical, and field inspectors. In each case, a state agency 

should define the areas of responsibility for the position, as well as any 

prerequisite experience and background. In addition, the state agency should 

provide for the continuing training of personnel to keep them abreast of changes in 

regulations, policy and technical issues, and to increase professionalism. This 

training can be accomplished through such means as seminars and university 
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short courses. The following discussion addresses these issues in each of the 

major personnel categories:

4.3.1.1 Administration

The elements of the administration of a state program should include traditional 

administrative functions such as program planning and evaluation, budgeting, and 

personnel. In addition, administration should be responsible for such programmatic 

functions as permitting, licensing, financial assurance, and ownership transfer. 

Public involvement and data collection management are also key elements of 

program administration. The conduct public hearings, the coordination of 

enforcement activities, and the referral of cases to legal personnel for follow-up 

action should also be administrative functions.

4.3.1.2 Legal

Legal support for an E&P environmental regulatory program can be provided by inhouse state agency lawyers through the support of the attorney general's office or 

through independent counsel. In any case, sufficient legal support should be 

provided to a state agency to assure that the regulatory program has an effective 

capability to pursue appropriate enforcement actions in a timely manner against 

violators of program requirements. A critical element of this capability is that the 

program's legal element be capable of directing the preparation of enforcement 

cases and providing guidance and direction to field inspectors and others involved 

in case preparation. The legal element of a program should also be involved in 

both the procedural and substantive aspects of rulemaking.

4.3.1.3 Technical

All program elements require adequate technical support. In supporting 

administrative functions, technical personnel should provide geologic and 

engineering evaluation, and technical specifications on such matters as cementing 

and casing. Technical support to the legal and field personnel is necessary for the 

development and implementation of rules and in the preparation of enforcement 

cases. In support of field inspectors, technical personnel should be capable of 

mapping hydrologically sensitive areas and areas containing treatable water, and 

provide support in determining pit construction requirements and guidance in 

waste handling. Key technical personnel should have a bachelor of science 

degree in geology, engineering, hydrology, earth science, environmental science, 

or a related field, or possess equivalent experience. Technical personnel should 

be subject to continuing education in such areas as ongoing development of rules, 

policies, and technological changes.
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4.3.1.4 Field Personnel

Field personnel should be responsible for conducting routine inspections of 

regulated facilities and activities to assure compliance with program requirements. 

In addition, field personnel should be among the state agency's on-site 

representatives to witness critical regulated activities and to observe or supervise 

clean-up or remedial actions. Field personnel also should be involved in the 

assembly of evidence for enforcement actions and in the state agency's 

community relations. Field personnel generally should be high school graduates 

or have equivalent experience, and should otherwise be knowledgeable about oil 

and gas field-related work and waste management practices. The ongoing 

training of field personnel should emphasize the range of chemical and

radiological constituents in E&P wastes and at E&P sites, sampling and 

investigative procedures associated with enforcement proceedings, and a 

thorough understanding of current rules and policies of the program, as well as 

sound environmental practices. Field personnel should be provided with training 

in NORM identification and management, where appropriate. In addition, field 

personnel should be skilled in the handling of hazardous materials and in all 

aspects of personnel safety. They should also be trained in the identification of 

abandoned sites and the abandoned site remediation program, storm water

management practices and requirements, and hydraulic fracturing processes.

4.3.1.5 Training Requirements

State programs should provide for adequate and effective training of state agency 

personnel regarding the regulations, policies, and criteria applicable to E&P 

activities. These programs should include training for agency personnel on such 

issues as site maintenance, contingency planning and spill response, permitting 

requirements and standards, compliance requirements and criteria, data 

management, enforcement procedures, investigative procedures, court 

preparation, report writing, sampling and analysis, and such other issues relating 

to proper E&P environmental regulation as may be necessary. Training programs 

should be incorporated as an on-going activity to encourage consistent 

enforcement of regulation throughout the state.

4.3.2 Funding

An effective E&P environmental regulatory program should be funded at a level 

sufficient to allow it to accomplish its environmental protection goals and 

objectives. While many state agencies are funded through a general appropriation 

from that state's legislature, each state agency should evaluate other sources of 

funding such as user fees, special levies on production, the dedication of fees and 

penalties to special accounts, and grants from various sources.
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4.4 Coordination Among Agencies

Many state programs regulating E&P activities have their roots in oil and gas 

conservation programs that were established during the early part of the last

century. In most cases, these programs have evolved to accommodate other 

state and federal objectives such as protection of human health and the 

environment.

In most states, multiple agencies are involved in the management of E&P 

activities. Different agencies are often responsible for the regulation of oil and gas 

wells, pits and impoundments, disposal wells, surface water discharges, spill 

prevention and response, and disposal of drill cuttings and muds. Each agency 

has its own administrative requirements relating to permitting, operational 

requirements, and financial assurance, and develops its own budget priorities. 

Each has its own inspection and enforcement authorities. Unless a high level of 

formal interagency coordination exists, such unilateral program development and 

implementation can lead to duplication of personnel effort, duplication of regulation 

with sometimes conflicting standards for the industry, and duplication of funding. 

Duplication of programs often diminishes the effectiveness of spill response, 

permitting, inspection, enforcement, training, and other regulatory activities. 

Where multiple state agencies have jurisdiction over the management of E&P

activities, budget development should be coordinated and the agencies should 

develop formal coordination procedures, such as the development of interagency 

Memoranda of Agreement, interagency task forces with periodic meetings, and/or 

interagency legislative and regulatory review panels to ensure jurisdictional clarity 

and regulatory consistency. 

Additionally, states should review existing agreements to assure that they are 

current and effective. Finally, interagency mechanisms should be developed to 

facilitate the sharing of information among and between involved agencies so that 

each agency can carry out its program responsibilities. 
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SECTION 5 | Technical Criteria

5.1 General

These technical criteria for E&P waste management practices address waste 

characterization, waste management hierarchy, pits, land applications, tanks and 

centralized and commercial facilities. In most cases, these criteria are general in 

scope. The states should establish and implement specific performance 

standards and design specifications based on site-specific or regional differences 

in geology, hydrology, climate, and waste characteristics. State E&P waste 

management programs should include the following general provisions as 

requirements: 

a. Facilities and sites used for the storage or disposal of wastes derived from the

exploration and production of oil and natural gas should be operated and

managed at all times to prevent contamination of groundwater and surface

water, soil and air, protect public health, safety and the environment, and

prevent property damage.

b. Facilities and sites operated specifically for the storage or disposal of exempt

E&P wastes should not receive, collect, store, or dispose of any wastes that are

listed or defined as hazardous wastes and regulated under Subtitle C of RCRA,

except in accordance with state and federal hazardous waste laws and

regulations.

c. Disposal of E&P wastes into landfills may be considered. If such disposal is

allowed, it should only be allowed where the landfill is designed to contain such

wastes, and the E&P wastes contain no free liquids and are not mixed with

non-exempt wastes prior to disposal.

d. Technical criteria for siting, construction, and operation of E&P waste disposal

facilities should be flexible enough to address site-specific or regional

conditions based on findings by the regulatory agency.

e. Siting Criteria

i. States should incorporate siting requirements in statewide rules for pits,

landspreading, landfilling and burial, and waste reclamation facilities. Areawide rules or site-specific permits may contain additional siting conditions.

ii. No E&P waste management facility should be located in a flowing or

intermittent stream.

iii. Where necessary to protect human health, new E&P waste management
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facilities should not be located in close proximity to existing residences, 

schools, hospitals or commercial buildings. The need for minimum distance 

criteria from residences or other buildings to the boundary of E&P waste 

management facilities should be considered. 

iv. Generally, applicable siting requirements should address such factors as

depth to and quality of groundwater, wetlands, floodplains, topography,

proximity to existing drinking water supplies and wells, geology, geologic

hazards, and other environmentally sensitive areas.

v. Siting of E&P waste management facilities should be consistent with

applicable land-use requirements.

5.2 Waste Characterization 

5.2.1 Purposes 

Waste characterization should support at least the following functions of a state's 

E&P waste management program: 

a. ensuring E&P waste management practices are suited to the particular wastes

involved and in compliance with applicable program requirements; and

b. ensuring commercial E&P waste facilities are managing only wastes they are

authorized to handle.

5.2.2 Sampling and Analysis 

a. State waste characterization requirements should include appropriate testing of

E&P wastes prior to disposal for such characteristics as organic content, pH,

salinity, and sulfur compounds, including hydrogen sulfide content. Testing

must be appropriate for the type of waste, method of disposal, and the potential

for adverse health and environmental effects. In addition, while nothing in these

criteria mandates testing for every hazardous constituent in E&P wastes, it is

recognized that waste management practices and regulatory requirements

would be improved by obtaining a more complete knowledge, through sampling

and analysis, of the range of hazardous and toxic constituents in E&P wastes.

Accordingly, waste characterization requirements should provide data

necessary to meet the purposes of waste characterization described in section

5.2.1 and to administer and enforce state program requirements effectively.

b. State requirements for the assessment of E&P wastes for Naturally Occurring

Radioactive Material (NORM) should meet the criteria of this section and of
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sections 7.3.3. and 7.3.9. Such requirements should address all types of 

radiation expected in E&P wastes. 

c. These guidelines do not address all the details of a waste characterization

program, such as testing methods, frequencies, or parameters. The details are

expected to vary depending upon the waste, the proposed management

practice, and other state program requirements.

5.2.3 Quality Control 

a. State programs should contain provisions that any required waste sampling

follow appropriate sampling procedures, and any required laboratory analysis

be performed by qualified laboratories in order to produce valid and reliable

results. A state may rely on field testing to satisfy waste characterization

requirements where it can be determined that such testing will produce valid

and reliable results.

b. Testing methods should produce data that are valid for the purpose intended.

By example, EPA's Toxicity Characteristic Leaching Procedure (TCLP) may not

accurately predict the leachability of oily E&P wastes.

5.3 Waste Management Hierarchy

As in any aspect of waste management, there are some general, sound practices 

that should be employed. These practices, which emphasize waste minimization, 

not only serve to protect human health and the environment, but also tend to 

protect waste generators from long-term liabilities associated with waste disposal. 

Additionally, waste minimization may reduce regulatory compliance concerns for 

E&P operators and result in cost savings. Generally, the choice of an E&P waste 

management option should be based upon the following hierarchy of preference:

a. Source Reduction: Reduce the quantity and/or toxicity of the waste generated;

b. Recycling: Reuse or reclaim as much of the waste generated as possible, and

whenever possible, combine hydrocarbons with crude oil, condensate, or 

natural gas liquids;

c. Treatment: Employ techniques to reduce the volume or the toxicity of waste that

has been unavoidably generated.

d. Proper Disposal: Dispose of remaining wastes in ways that minimize adverse

impacts to the environment and that protect human health.
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5.3.1 Source Reduction Opportunities

There are significant source reduction opportunities in E&P waste management. 

State programs have a variety of available resources which provide proven source 

reduction techniques. Categories of source reduction opportunities and examples 

include:

a. Equipment Modifications: Many technically and economically feasible

equipment modifications are available. For example, retrofitting glycol

dehydration units with volatile organic vapor recovery units can result in the

recovery, in certain circumstances, of economically viable quantities of volatile

hydrocarbons that would otherwise be released to the atmosphere. In addition,

compliance concerns regarding air emission regulations may be reduced

considerably.

b. Procedure Changes: Many times a simple change in the procedure used in an

operation can result in significant source reduction. A simple example with

significant results is the change one operator made in produced water filter

replacements in an EOR project. The original procedure of bi-monthly filter

replacements was changed to a procedure based on filter differential pressure.

The result was a 98% reduction in the quantity of generated waste filters. At

production sites where NORM-scale formation is expected, implementing a

procedure of scale inhibitor injection may reduce its occurrence.

c. Product Substitution: The careful selection of chemical products used in

exploration and production can reduce the toxicity of E&P wastes. Potential

product substitution candidates include biocides, coagulants, dispersants,

emulsion breakers, scale and corrosion inhibitors, gas sweetening and

dehydration agents, catalysts, and pipe dope. In particular, many substitute

drilling fluids have been developed to replace oil-based drilling fluids.

d. Reduction in the Use of Fresh Water: A significant example of the reduction of

fresh water use is the use of produced water for EOR whenever possible.

Another simple example is the use of high-pressure, low-volume nozzles on rig

wash hoses.

e. Good Housekeeping and Preventive Maintenance: In addition to product

substitution, source reduction can be achieved by minimizing the generation of

clean-up wastes from production facilities and waste management facilities. An

evaluation of potential spills and mitigation measures may identify effective spill

and release prevention techniques. These techniques include good

housekeeping practices, routine inspections of equipment, equipment

innovations, and containment systems. Radiation surveys of equipment and

sites can be helpful in preventing or minimizing the spread of abovebackground levels of E&P NORM that may be encountered during routine

equipment maintenance and servicing and site cleanup.
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f. Planning: The first opportunity to accomplish source reduction is in the planning

stage of an operation. For example, careful planning of a well stimulation can

result in the reduction of left over chemical that may be disposed. Also, careful

planning of a drilling site’s construction to control stormwater runoff may reduce

the quantity of contaminated stormwater that may be generated as waste.

g. Training: Training is possibly the most important source reduction opportunity.

Personnel in the E&P conduct the activities that generate waste. Training in

waste identification, classification, and source reduction techniques provides

the field personnel with the tools necessary to effectively reduce waste

generation.

h. Selection of Contractors: Service companies perform a wide variety of functions

in the E&P on behalf of E&P operators. An important source reduction

opportunity for operators is the selection of service companies that implement

source reduction opportunities as a business practice.

5.3.2 Recycling and Reduction Opportunities

Many opportunities now exist to recycle E&P wastes. State programs are 

encouraged to develop or coordinate with recycling programs developed by other 

agencies responsible for waste management. For example, many states’ 

agencies provide listings of companies that recycle wastes common to E&P and, 

in some instances, operate waste exchange programs.

Wastes generated at E&P facilities that may be recycled include drilling fluids, 

used lubricating oil, used lubricating oil filters, antifreeze, wooden pallets, spent 

solvents, unused chemicals, liners, aggregate, and scrap metal. Also, recycling 

opportunities include the use of produced water for enhanced recovery, and the 

recovery of hydrocarbons in crude oil tank bottoms, skim oils, gas pipeline drips, 

slop oil emulsions solids and sludges, and other oily sludges.

Recycling also includes reuse of materials that would otherwise be managed as 

waste. For example, a natural gas company found that partially spent caustic 

sweetening solution was suitable for use as reagent in sulfur dioxide scrubber 

units at a natural gas processing plant.

See Section 11 for guidance specific to the reuse and recycling of fluids generated 

during the drilling, completion (e.g. hydraulic fracturing flowback), and production 

stages of a well.

5.3.3 State Program Elements
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State programs should contain mechanisms to encourage waste management 

consistent with the hierarchy of this section. A variety of mechanisms may be 

used, such as:

a. Program requirements or policies that encourage source reduction and

recycling;

b. Improved training of state personnel so they can identify source reduction

opportunities;

c. Technical assistance or incentives to operators; and

d. Educational activities aimed at informing facility operators of the options

available.

The waste management hierarchy should be integrated into the other elements of 

a state program. For example, spill and release prevention should be incorporated 

into facility management regulations. Similarly, state requirements should address 

the segregation of waste streams that have a higher pollution potential from those 

with a lower pollution potential. State information program elements should 

include a component related to hierarchy planning and implementation.

State program planning activities should include goals and objectives that provide 

for substantial progress in this area over a reasonable time. States should have 

sufficient information to evaluate whether the mechanisms used to encourage 

source reduction and recycling are achieving those goals and objectives. State 

program requirements should be reviewed for consistency with the waste 

management hierarchy and the established goals and objectives. State agencies 

should also coordinate their efforts with other agencies that are responsible for 

waste management.

5.4 Quantitative Elements

Specific quantitative guidelines have been included for some waste management 

practices. The numbers cited are considered to be conservative values for 

protection of human health and the environment. However, they are not intended 

to be the basis for nationwide standards. Regulatory agencies may approve either 

less stringent or more stringent requirements where circumstances warrant as 

long as they afford the protection described in Section 5.1.a, and in the goals 

statement of Section 3.2.
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5.5 Technical Criteria for Pits

5.5.1 Definitions

a. Reserve Pits

Pits used: (a) to store additional drilling fluids for use in drilling operations;

and/or (b) to dispose of wastes generated by drilling operations and initial

completion procedures.

b. Production Pits

i. Skimming/Settling: Pits used to provide retention time for settling of solids

and separation of residual oil.

ii. Produced Water: Pits used for storage of produced water prior to injection

for enhanced recovery or disposal, off-site transport, or surface-water

discharge.

iii. Percolation: Pits used to dispose of waste liquids via drainage or seepage

through the bottom and/or sides of the pits into surrounding soils.

iv. Evaporation: Lined pits used to contain produced waters which evaporate

into the atmosphere by natural thermal forces.

c. Special Purpose Pits

i. Blowdown: Pits used for collecting material resulting from the emptying or

depressurization of wells or vessels.

ii. Flare Pits: Pits used exclusively for flaring gas.

iii. Emergency Pits: Pits used to contain liquids on a temporary basis due to

process upset conditions.

iv. Basic Sediment: Lined pits used for temporary storage of production wastes

from tank batteries or production vessels which may contain residual oil.

v. Workover: Pits used to contain liquids during the performance of remedial

operations on a producing well in an effort to increase production.

5.5.2 Permitting

a. A permitting or review process should be in place for all pits. Pits may be
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authorized by rule, general permit, individual permit, or as a part of an 

operational permit or program.

b. Pits may be permitted by rule based upon specific requirements in areas where

geologic, topographic, hydrologic or other conditions are similar.

c. Authorization for a pit may be included in operational, facility, or other

environmental permits (e.g., drilling, workover, gas plant, NPDES discharge).

The permit application process may have to be expanded to include certain

additional information concerning the pit (i.e., intake volume, soil type, fluid

makeup, topography, geology, hydrology, climatology, and such other factors

as may be necessary to protect human health and the environment).

d. Construction and use of rule-authorized pits should require prior notification of

the appropriate regulatory agency to ensure that proper construction, operation,

and closure methods are used to protect human health and the environment.

e. State programs should include provisions to accommodate approval of pits for

emergency situations.

5.5.3 Construction

General standards for construction of pits should be included in area or statewide 

regulations and should address the following items:

a. Size should be sufficient to ensure adequate storage until closure, taking into

account historical precipitation patterns.

b. Depth should be such that the bottom does not penetrate groundwater or such

that the pit contents do not adversely impact groundwater or surface water. A

review of available information or a study should be made of the area where the

pit is to be located to determine if aquifers are present and should be protected.

c. Berm height, slope, and material should be such that the pit is structurally

sound and that pit integrity is not compromised by terrain or breached by heavy

rains, winds, seepage, or other natural forces.

d. If a salt section is anticipated or oil-based muds are used during a drilling

program, reserve pits should be designed to accommodate those fluids.

e. Construction standards for pits may differ depending upon the wastes they

receive, the length of time they are used, and site-specific conditions.

i. The use of production pits is declining nationally because of concerns about

potential contamination of air, soils, and groundwater. In many instances,
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equipment consolidation, process modifications, or tanks can be used in lieu 

of pits. The use of alternatives is generally encouraged. Where production 

pits are used, they should generally be lined, except as provided below in 

subsection 5.5.3.e.v.

ii. In the case of reserve and workover pits, liners should be required in certain

instances based upon fluid type and site-specific characteristics (e.g.,

unconsolidated soils and/or hydro-geologic conditions that create a potential

for adverse impact to surface water or groundwater, and proximity to

environmentally sensitive areas).

iii. Special purpose pits and other pits such as dehydration, tank drain, pipeline

drip collector, and compressor scrubber pits should be lined.

iv. Blowdown, flare and emergency pits may be unlined where the removal

requirement of Section 5.5.4.k. will prevent adverse groundwater quality

impacts.

v. Variances to the above liner requirements should only be provided, and

percolation pits should only be used, where it is clearly demonstrated there is

minimal potential to affect adversely groundwater quality.

vi. Liners can consist of natural or synthetic materials, should meet accepted

engineering practices, and should be compatible with expected pit contents.

f. Requirements for fencing, netting, and caging, or any other method to secure a

pit, should be set by area or statewide regulations, as necessary, to protect the

public, domestic animals, and/or wildlife. Netting of a pit is recommended as

the preferred method to protect wildlife in circumstances, among others, where

pits have oil on the surface, where pits are used for long periods, and/or where

pits are located in areas with arid climates.

g. Where feasible, reserve pits should be placed to directly receive the discharge

from solids separation equipment and to collect rigwash water, spills, and leaks

from drilling equipment.

5.5.4 Operational Requirements

a. Specific restrictions on the type of wastes that can be placed in the different

types of pits should be included in area or statewide regulations. Restrictions

should consider salinity, hydrocarbon content, pH, radionuclides associated

with E&P NORM, or other characteristics that may be detrimental to the

environment.

b. General security guidelines should protect the public, the environment, and
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wildlife.

c. Liquids should be maintained at a freeboard level determined by the state that

takes into account extreme precipitation events or other possibilities and

prevents overtopping or un-permitted discharges.

d. Lined pits should be operated in a manner that ensures liner integrity.

e. Inspections and monitoring should be conducted at regular intervals or as

necessary to ensure that pits meet all operating and structural integrity

requirements and to ensure that pit contents do not adversely impact

groundwater or surface water.

f. Hydrocarbons that inadvertently accumulate in an unlined reserve pit should be

skimmed off the pit at the cessation of drilling and completion operations.

g. Separated oil or accumulated wastes should be periodically removed from

unlined skimming/settling pits.

h. Produced water pits should be used only for storage of produced water prior to

injection or off-site transport.

i. Percolation pits should be used only for disposal of produced waters and only

when area or statewide restrictions established under Section 5.5.4.a. above

are met.

j. Evaporation pits should be periodically inspected for compliance with permitted

input volumes and liner integrity. Evaporation pits should be skimmed as

necessary to maintain an optimum evaporation rate.

k. Blowdown, flare, and emergency pits should not be used for long-term storage

or disposal. The regulatory agency should be notified promptly of the use of

emergency pits. Fluids diverted to emergency pits should be removed as

quickly as practical following the end of the emergency.

l. Unlined basic sediment pits should not be used for storage of oily wastes; they

should be replaced by lined pits or tanks.

m.Workover pits should be open only for the duration of workover operations and

should be closed within 120 days after workover operations are complete.

n. Pit wastes that exhibit oilfield NORM above regulatory action levels should be

managed in accordance with the criteria of Section 7 and any other applicable

criteria of these guidelines.
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5.5.5 Closure

a. Pits should be closed in accordance with local, state, and federal regulations

and, if on private property, consistent with lease obligations.

b. Reserve pits should be closed as soon as practical but no later than 12 months

after cessation of drilling operations. However, the closure of reserve pits

beyond 12 months after cessation of drilling operations may be allowed in

unusual circumstances if good cause can be demonstrated.

c. Pit liquids should have free oil removed and, when appropriate, should be

sampled prior to closure for salinity, hydrocarbon content, pH, radionuclides

associated with E&P NORM, or other characteristics which may be detrimental

to the environment. On-site disposal of pit contents should be conducted in

accordance with the landspreading, burial, and landfilling criteria of Sections

5.6. and 5.7, or by NPDES or UIC permit.

d. Liquid and nonliquid materials not satisfying the on-site criteria for

landspreading or burial (Sections 5.6. and 5.7.) should be disposed in federal or

state approved disposal facilities.

e. Pit sites should be capped, compacted, contoured, and vegetated where

necessary, and in accordance with applicable state or area regulations to

ensure ground support stability and to prevent erosion and ponding.

f. Records should be permanently kept by the regulatory agency of all pit

locations and should be available to the public for inspection and copying. A

permit to drill may serve as adequate record keeping for the location of all pits

within 200 feet of the well location.

5.6 Technical Criteria for Landspreading

5.6.1 Definition and Applicability

a. Landspreading is a method of treatment and disposal of low toxicity wastes in

which the wastes are spread upon and sometimes mixed into soils to promote

reduction of organic constituents and the dilution and attenuation of metals.

Landfarming or multiple applications are covered under Section 5.10.

b. These criteria apply to waste disposal at or near E&P locations and do not

apply to commercial disposal operations. Commercial facilities used for

disposal of E&P wastes are covered in Section 5.10.

c. On-site landspreading of E&P wastes containing NORM above regulatory
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action levels should be prohibited.

5.6.2 Regulatory Requirements

When landspreading practices are used at E&P sites, they should be conducted 

consistent with local, state, and federal regulations, and lease and landowner 

obligations. General standards for landspreading should be included in area or 

state regulations and should address the operational requirements of Section 

5.6.3.

5.6.3 Operational Requirements

a. Free oil should be removed from the wastes by mechanical means such as

skimming or filtration before the wastes are landspread.

b. Landspread liquids should have a pH of 6 to 10 S.U. Where needed, liquids

should be neutralized to obtain this range.

c. Solid wastes should be spread evenly and disked into the soil.

d. E&P wastes should be subject to loading rates, location restrictions, and/or

other appropriate requirements that promote biodegradation of organic

constituents; will not result in waste pooling, ponding, or runoff; will prevent the

contamination of groundwater or surface waters; and will protect air quality.

e. Where enhancement of biodegradation is desired, nitrogen and other nutrients

should be added to the soil before disking. Nutrient application can be repeated

over time.

f. Amounts of waste added to soil during landspreading are generally limited by

the electrical conductivity (EC), exchangeable sodium percentage (ESP), and

sodium absorption ratio (SAR). The state should determine its criteria based on

site-specific and waste-specific conditions. For example, some plants tolerate

higher or lower salt levels, higher rainfall areas encourage salt movement out of

the root-zone, or shallow groundwater may severely limit application.

g. After landspreading of hydrocarbon containing waste, the waste-soil mixture

should not exceed one percent by weight oil and grease, unless the state

regulatory agency approves a less or more stringent requirement where

circumstances warrant.

h. Salt- and hydrocarbon-loading criteria apply to the final waste-soil mixture and

are not an application standard. The operator should be required to

demonstrate that these criteria are met within 12 months of cessation of drilling
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or production. If these criteria are not met, remediation will be required. 

Nothing in this paragraph is intended to delay any requirement for erosion 

control and/or site reclamation or re-vegetation.

i. Soil analyses should be performed prior to landspreading and again upon

closure of the site. Upon site closure, waste constituents should not be present

at levels that pose a significant risk to human health and the environment.

j. Enhanced techniques, such as repetitive disking and nutrient addition, may be

needed to meet the salt and hydrocarbon criteria of the final waste-soil mixture.

k. Under special or abnormal conditions, additional limitations and analysis

requirements should be considered for wastes that may contain toxic

constituents derived from formation liquids, cuttings, drilling muds, or drillingmud activities. Records should be permanently maintained by the agency of all

waste analyses conducted pursuant to such additional requirements.

5.7 Technical Criteria for Burial and Landfilling

5.7.1 Definitions and Applicability

a. Burial of wastes involves placing the wastes in an excavation and covering the

wastes with a layer of soil.

b. Landfilling of wastes involves placing the wastes on the ground and covering

them with a layer of soil.

c. These criteria apply to waste disposal at or near E&P sites and do not apply to

commercial disposal facilities. Criteria for commercial disposal facilities are

contained in Section 5.10.

5.7.2 Regulatory Requirements

When burial or landfilling is used at E&P sites, either should be conducted 

consistent with lease and landowner obligations and with local, state, and federal 

regulations. General standards for burial or landfilling should be included in area 

or statewide regulations and should address the operational requirements in 

Section 5.7.3.

5.7.3 Operational Requirements

a. Wastes or waste-soil mixtures may be buried or landfilled without a protective
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bottom liner only when they meet the landspreading criteria of Section 5.6 prior 

to burial. The contents of such waste or waste-soil mixtures should be limited 

to materials such as fresh water-based drilling muds, drill cuttings, spent iron 

sponge, gas plant catalyst, or molecular sieve. Closure should be consistent 

with Sections 5.5.5.a and 5.5.5.e.

b. A protective bottom liner, solidification, fixation, or encapsulation should be

required for burial or landfilling of wastes whose salt and/or hydrocarbon

content exceeds the landspreading criteria of Section 5.6.3. A protective

bottom liner, solidification, fixation, or encapsulation should be required for

burial or landfilling of E&P wastes containing NORM above regulatory action

levels. The regulatory agency may grant a variance from this requirement for

fields or portions of fields, upon a showing by the operator that groundwater

either is not present beneath the waste site or is naturally protected from the

threat of contamination.

c. Agency records should be permanently maintained for any required analytical

data taken, sites used, and types and quantities of waste disposed. Site

locations should be located on plat maps.

5.8 Technical Criteria for Roadspreading

5.8.1 Definition

Roadspreading is the placement on roads of E&P wastes that exhibit properties 

similar to commercial road oils, mixes, dust suppressants, or road compaction or

deicing materials. Roadspreading of E&P wastes that do not exhibit such 

properties should be prohibited. Roadspreading of E&P wastes containing NORM 

above regulatory action levels should be prohibited.

5.8.2 Regulatory Requirements

When roadspreading is used, it should be conducted consistent with lease and 

landowner obligations and local, state, and federal regulations. General standards 

for roadspreading should be included in area or state regulations and address the 

operational requirements in Section 5.8.3.

5.8.3 Operational Requirements

a. Exempt wastes such as tank bottoms, emulsions, heavy hydrocarbons, and

crude oil-contaminated soil may be used for road oil, road mix, or asphalt if they
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are not ignitable and have a mixed density and metal content consistent with 

approved road oils or mixes.

b. Roadspreading should be subject to loading rates and/or other appropriate

requirements that prevent pooling, ponding, or runoff; prevent the contamination

of groundwater and surface water; and protect air quality.

c. Roadspreading should be subject to appropriate buffer zones established to

protect waters of the state, water wells, and wetlands.

d. Produced water should be tested and should exhibit properties similar to

commercial roadspreading products that are regulated by federal, state, or local

agencies.

5.9 Technical Criteria for Tanks

5.9.1 Scope

a. This section applies to permanently installed E&P waste tanks and to produced

water storage tanks located at enhanced recovery operations. Where some

waste tanks are regulated under the Spill Prevention Control and

Countermeasures (SPCC) requirements of the federal Clean Water Act, states

may defer to the SPCC requirements for those tanks.

b. Except as provided in Section 5.9.3.b., this section does not apply to:

i. condensate and crude oil tanks;

ii. process vessels, such as separators, heater treaters, dehydrators or

freewater knockouts, except that stacks or vents on such vessels should be

equipped, where necessary, to protect migratory birds and other wildlife; and

iii. tanks used temporarily in drilling and workover operations.

c. The regulatory agency may adjust or exempt from the requirements of this

section small-capacity tanks.

5.9.2 General Requirements

a. States should have information, where available, on the locations, use,

capacity, age and construction materials (e.g., steel, fiberglass, etc.) of tanks as

needed to administer and enforce state program requirements effectively. Such
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information may be obtained through registrations, inventories, or other 

appropriate means.

b. Tanks covered by this section should not be located in a flowing or intermittent

stream and should be sited consistent with applicable local land-use

requirements.

c. Tanks should be subject to spill-prevention, preventive maintenance and

inspection requirements, including those of Sections 5.3.1.c. and 5.3.3. of these

guidelines.

5.9.3 Construction and Operation Standards

a. A principal goal of construction and operation standards for tanks is to minimize

the occurrence of and the environmental impacts from spills and leaks.

i. New tanks should be constructed in a manner that provides for corrosion

protection consistent with the intended use of the tanks. All tanks covered by

this section should be operated in a manner that provides for corrosion

protection consistent with the use of the tanks.

ii. Tanks should exhibit structural integrity consistent with their intended use.

Wooden tanks should receive increased scrutiny in this regard.

iii. Tanks should be operated in a manner that protects against overtopping.

iv. Secondary containment systems or other appropriate means, such as leak

detection, should be employed to minimize environmental impacts in the

event of releases.

b. Covered tanks are preferred to open tanks. Open E&P waste and product tanks

should be equipped to protect migratory birds and other wildlife in a manner

consistent with the wildlife-protection criterion of Section 5.5.3.f.

c. Tanks located in populated areas where emissions of hydrogen sulfide can be

expected should be equipped with appropriate warning devices.

5.9.4 Tank Removal and Closure

a. Tanks should be emptied prior to their retirement and the resulting materials

should be managed properly.

b. Tanks and associated above ground equipment should be removed upon

cessation of operations. For good cause, a state may allow tanks to be

removed as soon as practical thereafter. Site reclamation should meet all
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landowner and lease obligations and any other applicable requirements.

c. Prior to removal, closure, or release for unrestricted use, tanks and associated

piping and equipment should be surveyed for NORM as provided for in Section

7. When regulatory action levels are exceeded, NORM and the equipment

containing NORM should be managed in accordance with the state's NORM 

regulatory program (see Section 7 of these guidelines).

5.10 Technical Criteria for Commercial and Centralized Disposal 

Facilities 

5.10.1 Definitions and Exemptions 

a. Commercial Disposal Facility: A facility whose owner(s) or operator(s) receives

compensation from others for the temporary storage, reclamation, treatment,

and/or disposal of produced water, drilling fluids, drilling cuttings, completion

fluids, and any other RCRA exempt E&P waste, and whose primary business

objective is to provide these services. These facilities may, under certain

circumstances, also accept non-exempt, non-hazardous wastes generated

from E&P operations. This definition also includes facilities whose owner(s) or

operator(s) receives compensation from others for E&P NORM-related storage,

decontamination, treatment, or disposal.

b. Centralized Disposal Facility: A facility, other than a commercial disposal

facility, that is: (1) used exclusively by one owner or operator; or (2) used by

more than one operator under an operating agreement and which receives for

collection, treatment, temporary storage, and/or disposal of produced water,

drilling fluids, drill cuttings, completion fluids, and any other RCRA exempt E&P

wastes that are generated from two or more production units or areas or from a

set of commonly owned or operated leases. These facilities may, under certain

circumstances, also accept non-exempt, non-hazardous wastes generated

from E&P operations. This definition covers the surface storage and disposal

facilities that are present at Class II disposal well sites. This definition also

covers E&P NORM related storage, decontamination, treatment, or disposal.

c. Exemptions: The definitions and technical criteria of Section 5.10 do not apply

to Class II injection wells or to enhanced oil recovery projects. The definitions

and technical criteria of Section 5.10 are not intended to apply to emergency

cleanup situations at a Class II injection facility. The regulatory agency may

adjust or exempt from the standards and requirements of this section (Sections

5.10), centralized facilities that receive a limited number of substantially similar

waste streams and limited volumes of wastes, or commercial or centralized

tank-only facilities.
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5.10.2 Technical Standards and Regulatory Requirements 

Commercial and centralized off-site disposal facilities should meet the technical 

and regulatory requirements of this section and the general standards of Section 

5.1 of these criteria. Compliance with these requirements should be demonstrated 

in the permit application required in subsection 5.10.2.a. Because commercial 

disposal facilities use advanced methods of waste treatment and disposal, the 

regulatory agency should establish, where applicable, numerical requirements for 

the design of pond liners and leachate collection systems, for landfarming 

operations (i.e., repeated land applications), and for E&P waste reclamation 

facilities. The requirements of this section are intended to furnish the regulatory 

agency with sufficient and meaningful information such that permitting decisions 

will lead to no environmental impact or public health impact once the facility has 

commenced operations and following its closure. 

The regulatory agency may adjust or exempt from these requirements centralized 

facilities that receive a limited number of substantially similar waste streams and 

limited volumes of waste, such as the consolidated produced water disposal 

facilities in a large multi-operator field. Administrative criteria for centralized 

facilities also may be less extensive than those for commercial facilities. 

5.10.2.1 Regulatory Agency Responsibilities in Permitting 

a. Permits. The regulatory agency should authorize off-site commercial and

centralized disposal facilities for E&P wastes by permit. A permit should be in

force for a finite period to be determined by the agency. The agency should

use the data and information required by the technical standards of this section

to approve or deny applications for permits, to ensure compliance with permit

conditions, to order corrective actions in order to prevent or abate violations of

the standards, or for any other purpose deemed necessary by the agency.

b. Acceptable Wastes. The agency should prescribe the range of E&P wastes that

can be disposed at commercial and centralized facilities and at municipal solidwaste landfills.

c. Waste Characteristics and Disposal. The agency should identify the chemical

characteristics of wastes likely to be disposed at commercial and centralized

facilities on the basis of published scientific data and on knowledge about

regional or site-specific waste characteristics. The agency should consider the

types of waste management appropriate for each waste type, and the extent to

which additional protective measures (e.g., leachate collection) are needed to

protect groundwater, surface water and air. The agency should prescribe these

waste disposal facilities and waste stream relationships by rule or in the

permitting process and ensure that operators of commercial or centralized

facilities comply with them. For sampling and testing, refer to Section
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5.10.2.2.c.v. and vi. For determining radiological content, refer to Sections 

7.3.3 and 5.2.2.b.

5.10.2.2 Permitting Requirements 

a. Any new or existing commercial or centralized facility should be required to

obtain a permit from the regulatory agency to commence operation or to

continue to operate. An individual permit should be required for E&P waste

reclaimers and other commercial facilities where waste is placed on the land

(e.g., in pits and in landfarms). A permit should be issued only upon

compliance with the general requirements of Section 5.1 and the technical

requirements of this section, and upon submittal and approval of an application

that contains a Siting Plan, Construction Plan, Operating Plan, and Closure

Plan. Operation of a facility should comply with the terms and conditions of the

permit. The regulatory agency may tailor the technical requirements for all

existing facilities and for centralized disposal facilities to the conditions present

at the locations of such facilities. In the case of centralized facilities, the

regulatory agency may adjust the requirements of Section 5.10.2.2.a. b. and c.

in the light of the volume and characteristics of wastes received by the facility.

b. Siting Plan. The specific site for a commercial facility and, to the extent

possible, the site for a centralized facility, should have natural features that

prevent or minimize release of pollutants to waters, land, and air. Those natural

features could include isolation from or considerable depths to groundwater,

protection against flooding, the presence of low permeability soils, and

topography conducive to protection against erosion. Additional safeguards may

be required by the regulatory agency for centralized facilities that are located on

sites that do not exhibit natural protective features or are located in close

proximity to residences, schools, hospitals or commercial buildings. An

application for a permit for a commercial or centralized facility should, at a

minimum, contain the following information:

i. Names, addresses, and telephone numbers of owner(s) and the operator(s)

of the facility, the owner(s) and occupant(s) of properties within close

proximity of the site, or any nearby person who may reasonably be adversely

affected by release from the site;

ii. Topographic map showing the location of the site and any highways or roads

that abut or traverse the site and depicting all water courses, flood plains,

water wells, pipelines, and dwellings located within one mile of the site;

iii. Geologic, hydrologic, engineering, chemical, and any other data or

information that demonstrate disposal of wastes and operation of the facility

will not contaminate fresh water, the surrounding soils or air, endanger public

health, safety or the environment, or cause property damage;
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iv. Average annual precipitation and evaporation rate at the disposal site;

v. Nature and permeability of vadose zone; description of the subsurface strata,

identification of the areal extent of underlying aquifer(s), and depth to

groundwater; direction of groundwater movement; baseline data on water

quality of nearby surface waters, underlying aquifer(s) and soils prior to

commencement of operations; and points of past or current use of surface

water or groundwater;

vi. Proof that all public notice requirements have been met; and

vii. Certification by an authorized representative of the applicant that information

submitted in the application is true, accurate, and complete to the best of the

applicant's knowledge.

c. Construction Plan. In general, commercial and centralized disposal facilities

should be constructed to prevent or minimize releases of wastes or waste

byproducts to surface water, groundwater, soils, and air. Design should allow

for the segregation, separation and containment of free oil to minimize

emissions, where appropriate. The need for additional protective measures

(e.g., barriers) at facilities in close proximity to residences, schools, hospitals, or

commercial buildings should be considered. Pits at these facilities should at

least meet the construction requirements of Section 5.5.3.e. In the case of E&P

waste reclamation facilities, construction requirements to prevent or minimize

releases should also apply to wastes stored before and after reclamation. For

commercial facilities, detailed engineering drawings and diagrams of

engineered disposal facilities should be required; for centralized or one-owner

facilities, such extensive construction details may not be needed. Construction

should follow guidelines and rules adopted by the regulatory agency.

d. Operating Plan. Applications for permits for existing or new facilities should be

accompanied by an Operating Plan that describes the wastes that will be

accepted at the facility and the methods by which those wastes will be

managed and disposed. The need for groundwater, air, or other monitoring at

commercial or centralized disposal facilities where wastes are placed on the

land should be evaluated by the state as part of this program development and

implementation, and should depend upon the nature and size of the disposal

activities. At facilities that manage E&P NORM, monitoring should be sufficient

to determine compliance with maximum permissible doses to workers and to

members of the public in unrestricted areas. The Operating Plan should contain

the following information:

i. Volume, rate of application, and type of material to be disposed at the

facilities and the facilities that will be used to dispose of each waste stream

(i.e., unlined or lined pits, above- or below-grade tanks, etc.);
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ii. Contingency plan for reporting, responding to and cleaning up spills, leaks,

and releases of wastes or waste byproducts, including provisions for notifying

emergency response authorities and for taking operator-initiated emergency

response actions;

iii. Plan for routine inspection, maintenance, and monitoring to ensure and

demonstrate compliance with permit requirements. At commercial and

centralized facilities where wastes are placed on the land, such as in pits or

landfarms, groundwater monitoring should be required in the absence of sitespecific or facility-specific conditions that minimize the potential for adverse

impacts to groundwater. Specific plans for preventing or minimizing air

emissions from sources such as (1) the volatilization of organic materials in

the waste; (2) particulate matter (dust) carried by the wind; and (3) chemical

reactions (e.g., production of hydrogen sulfide from sulfur-bearing wastes)

should be considered. Monitoring to ensure organic wastes are treated

effectively should also be required for landfarming operations.

iv. Waste acceptance policy for the facility that details the types of wastes that

the facility will accept(exempt E&P wastes and/or non-exempt, nonhazardous wastes from E&P operations), how the facility will determine

whether a shipment of wastes meets its acceptance criteria including

whether on-site sampling and testing will be employed, and the procedures

that will be followed if unacceptable wastes arrive at the facility;

v. Plan to characterize wastes received for disposal. Waste characterization

requirements for small centralized facilities may be more limited, based on

the limited types and volumes of wastes received. At a minimum, waste

characterization should comply with the requirements of Section 5.2. States

should determine additional minimum testing criteria applicable to their

regions;

vi. Plan for periodic removal and subsequent handling of free oil;

vii. Security plan for the facility;

viii. In the case of landfarming operations, loading rates, location restrictions,

and/or other appropriate requirements that ensure the treatment of organic

constituents, prevent the contamination of groundwater or surface waters,

and protect air quality. Operations should comply with the requirements of

Section 5.6.3;

ix. A community relations or public information plan should be considered; and

x. Environmental, Health, and Safety Plan. Where applicable, an

environmental, health, and safety plan should be developed for commercial
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disposal facilities. Such plan should describe site sampling methods and 

procedures to determine the potential risks to human health and the 

environment posed by the site. State regulatory programs should take into 

consideration the size and nature (treatment and disposal processes) of each 

facility when determining whether or not this environmental, health, and 

safety plan is applicable.

e. Closure Plan.

i. Applications for permits for existing or new facilities should be accompanied

by a Closure Plan that describes the methods to be used to reclaim the

facility following the cessation of operations. Closure should comply with the

general requirements of Section 5.1 and with any other requirements

established by the regulatory agency.

ii. For commercial disposal facilities and centralized disposal facilities of

comparable nature or size, the plan should describe the site sampling

methods that will be used to determine the risks to human health and the

environment posed by the site, if any, once closure is completed; and any

further measures that may be necessary to address remaining site

contamination at that time. The plan should also include post-closure

monitoring and maintenance requirements where the wastes remaining onsite after closure may adversely affect groundwater or surface waters, or

otherwise pose a significant risk to human health and the environment. The

duration of the post-closure care period and the nature of the post-closure

requirements should correspond to the continuing risks posed by the facility

after closure.

iii. The plan should include a closure schedule, a cost estimate for reclamation,

and a schedule for authorized financial assurance instrument. The cost

estimate and authorized financial assurance instrument schedule should be

used to establish a financial surety level for the facility prior to permit

approval. The level of financial surety requested should cover the full

estimated cost of facility closure and reclamation.

5.10.2.3 Waste Tracking Requirements 

To assure that only acceptable wastes are disposed of at commercial or 

centralized facilities, a waste tracking system that documents the movement of 

wastes from the site of their origin to their final disposition should be implemented. 

The following elements should be included in the waste tracking system: 

a. Multi-Part Form or Equivalent Documentation: State regulatory programs should

require operators to use a multi-part form or equivalent documentation that

contains the names, addresses, and phone numbers of the generator
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(producer), hauler, and disposal facility operator; a description of the waste; the 

time and date it was collected, hauled, and deposited at the disposal facility; 

and the volume of the waste hauled.

b. Maintenance of Waste Tracking Information: The waste tracking information

should be maintained by the generator, hauler, and operator of the disposal

facility for inspection by the regulatory agency for a period of three years after

the shipment date. This record retention period should be automatically

extended for any person who is the subject of an unresolved enforcement

action regarding the regulated activity from the date such person receives

notice of the enforcement action until it is resolved.

c. Attest to No Illegal Dumping: The waste hauler should certify in writing that no

unauthorized wastes were dumped illegally or at a location or facility not

designated by the generator and that no unauthorized wastes were mixed with

the exempt wastes during transport. The disposal facility operator should certify

in writing that the facility is authorized to receive the waste for disposal.

d. Reporting of Discrepancies: The operator of the disposal facility should

immediately report to the regulatory agency and the generator, any discrepancy

in waste descriptions, volumes, or place of origin based on personal

observations or documentation.

e. Permitting of Waste Haulers: Waste-hauling companies should be permitted by

the regulatory agency based on a showing of basic knowledge about the

regulatory requirements for disposition of E&P wastes transported from their

point of generation to their final disposal site. The regulatory agency may issue

permits to individual waste haulers or to waste hauling firms.

5.10.2.4 Applicability of Waste Tracking Criteria 

These waste tracking requirements do not apply to wastes moved by pipeline. 

Operators who transport wastes by pipeline should periodically report waste 

quantities to the regulatory agency. 
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SECTION 6 | Abandoned Sites

6.1 Abandoned Oil and Gas Sites Introduction

States with current or historic oil and gas operations should develop and 

implement a program to inventory, prioritize, and remediate, as necessary, 

abandoned sites. The purpose of this section is to provide guidance for that 

program. It is not the intent of these guidelines to preclude an abandoned site 

from being returned to operation in accordance with state requirements. 

6.2 Definition of "Oil and Gas Site" and "Abandoned Site"

The terms "Oil and Gas Site" and "Abandoned Site," as used herein, have the 

following meanings: 

a. An Oil and Gas Site is land or equipment, including a wellbore, that is now or

has been used primarily for oil or gas exploration or production, or for the

management of oil and gas wastes from exploration and production.

b. An Oil and Gas Site is considered an Abandoned Site if the site:

i. Was not adequately plugged or closed at conclusion of operations such that

it constitutes or may constitute a threat to public health or the environment;

and

ii. Has no owner, operator, or other responsible person (hereinafter called

"responsible party") who can be located, or such responsible party has failed

or refused to undertake actions, where required by law, to abate the threat.

A responsible party cannot be located, among other circumstances, where

no liability for remedial actions is imposed by the state upon past or current

owners and operators.

6.3 Identification of Abandoned Sites

A state should have a procedure for identifying sites that may constitute a threat to 

public health or the environment and for determining whether a responsible party 

exists. The state should develop and maintain an inventory of abandoned sites. 

Examples of elements that may be considered in identifying sites that may 

constitute a threat to public health or the environment include agency reviews or 

inspections, referrals by other agencies, or citizen or landowner inquiries. 

Classifications or rankings may be used to separate these sites into relative risk 

categories. Examples of elements that may be considered in determining whether 
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a responsible party exists include the failure to file required data or reports, the 

failure to respond to agency inquiries, tax defaults, information in public records, or 

landowner or public inquiries. In developing an inventory of abandoned sites, the 

state should have procedures for attempting to notify the last known responsible 

party, and providing legal notice.

Emergency protocols should be included, so that remedial action can be initiated 

prior to legal notice on sites that are judged to present an immediate threat to the 

public health or environment. Where there are agencies with overlapping 

jurisdiction for abandoned sites, inventory procedures should be coordinated 

among these agencies as further discussed in Section 4.4 of these guidelines.

6.4 Funding for Abandoned Site Remediation

An effective state program to address abandoned sites should have adequate 

funds available to permit the state to undertake any necessary assessment, 

plugging, closure, or remediation of such sites.

Adequate funding involves the development of a financial assurance program as 

provided in Section 4.2.4. To ensure the continuity of financial assurance in the 

event of a change of operator, notice to the state of any such change should be 

required. Any financial assurance provided by the previous operator should remain 

in effect until the new operator's compliance with the state's financial assurance 

program is verified.

Section 4.2.4 describes some of the types of financial assurance a state should 

consider in designing a program to provide it with the necessary economic 

resources while facilitating operator compliance. As part of a financial assurance 

program, a state should consider establishing a special purpose fund to plug, 

close, or remediate an abandoned site. The state should have the authority to 

recover costs from the responsible party, where such party exists. The state 

should evaluate its needs and establish such funding mechanisms as are 

appropriate to satisfy those needs. A wide variety of funding mechanisms have 

been employed to support existing special purpose funds in various states. Those 

mechanisms include bond forfeitures; legislative appropriations to the responsible 

state agency; a percentage of the taxes on oil and gas production; fines and 

penalty assessments; equipment salvage; and a host of fees, among them fees or 

charges based on the value of oil and gas, fees or charges based on units of 

production of oil and gas, operator fees, supplemental fees in lieu of bonds, 

inactive well fees, permit fees, and waste generation fees.

6.5 Criteria for Prioritizing Remediation

The state program should include criteria for determining whether an abandoned 
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site constitutes a threat to public health or the environment and the site's priority 

for remediation. Among other things, the following criteria may be used: (1) the 

occurrence of or potential for an imminent release from the site; (2) the nature, 

extent, and degree of contamination; (3) the proximity of the site to populated 

areas, surface water, and/or groundwater; (4) whether the site is in an 

environmentally sensitive area; and (5) wellbore lithology and condition. Where 

appropriate, the state should perform a more detailed site evaluation. The state 

agency should have flexibility and discretion to consider the factors associated 

with the individual sites, including cost savings associated with simultaneous 

remediation of multiple sites that otherwise would have different priorities or similar 

financial considerations, in assigning them a priority on the inventory of 

abandoned sites.

6.5.1 Goal for Remediation

A goal of the state program should be to remediate the abandoned sites on its 

inventory in a manner that assures that reasonable and measurable progress is 

made.

6.5.2 Liability for Remediation

The state should establish a liability scheme that will ensure that the goals of its 

abandoned sites program will be achieved. States should consider a range of 

options with respect to liability for remediation, which may include among others: 

(1) liability for all current and past owner(s) and operator(s); (2) liability for the 

owner(s) and operators(s) found to be responsible for the contamination at an 

abandoned site; or (3) no liability for past or current owner(s) and operator(s) 

should the state choose to finance the abandoned sites program.

Any liability scheme established by a state should clearly define the responsibility 

for remediation. A state should allow remediation of an abandoned site by a party 

that would not otherwise be responsible for the remediation.

6.6 Standards for Remediation

The state should ensure that abandoned sites, including well bores, be plugged or 

closed in a cost-effective manner that minimizes or removes the threat to public 

health and the environment and that restores the land to an environmentally stable 

condition. 

6.6.1 Well bore Remediation
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The state should consider existing rules and regulations when determining proper 

plugging procedures for abandoned sites. However, the state should have the 

flexibility to modify those plugging procedures, while maintaining mechanical 

integrity of the well bore adequate to ensure that public health and the 

environment are protected.

In carrying out well bore remediation, the state should use existing information 

from well records including depth of well, depth of any old plugs, presence of 

casing and tubing and depths set, perforations, existence of groundwater and 

hydrocarbon-bearing zones, existence of over-pressured zones, and any junk in 

the hole to determine the condition of the well and the proper plugging procedure. 

In the absence of the above information, data such as existing geological and 

engineering field studies, water well records, interviews with nearby landowners, 

corporate records, and historical literature can be reviewed.

6.6.2 Site Remediation

The extent of surface remediation of an abandoned site should be determined 

based on surface and subsurface resources and land use. Consultation by the 

state regulatory agency with the surface owner, surface tenant, and other federal, 

state and local agencies, as appropriate, should take place prior to remediation.

As appropriate, abandoned sites should be re-vegetated in accordance with state 

regulatory agency rules, and with consideration given to recommendations from 

the surface owner, surface tenant, and federal and local agencies. As appropriate, 

soil should be evaluated to determine if hydrocarbons, chemicals, or NORM were 

spilled or leaked, and to determine remediation.

Surface equipment or materials on an abandoned site should be removed, and 

salvaged when possible, unless the state determines otherwise. Procedures 

should be identified for handling NORM, if present. Due to the expense and 

potential damage to the land, there may be situations where equipment or 

materials would not be removed, e.g., a gathering system might be abandoned in 

place with appropriate protection. When reclaiming a pit, the state should 

determine the contents of the pit and how the pit can best be remediated. Once 

emptied, cleaned and tested as appropriate, pits should be backfilled and 

contoured to prevent erosion from or ponding of surface water. Monitoring wells at 

an abandoned site should be as necessary to protect groundwater resources. The 

state should develop additional remediation criteria for commercial disposal sites, 

as appropriate.

6.6.3 Record of Remediation

Once remediation of an abandoned site has been completed, reports on how the 
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site was remediated should be maintained by the regulatory agency.

6.7 Public Participation

The state abandoned sites program should provide for public participation. At a 

minimum, the public should have: (1) access to information about the program; (2) 

the opportunity to participate in any rulemakings associated with the program; and 

(3) a statutory or regulatory mechanism to petition the state agency to change a 

site's status on the inventory and/or the level of remediation required on a site.

6.7.1 Access to Information

The state should maintain and make available to the public, records related to the 

abandoned sites inventory, including: (1) the location of an abandoned site; (2) 

the extent and degree of contamination of the abandoned site; and (3) the method 

of remediation that has been or will be required for an abandoned site. In addition, 

the state should maintain public records on the state's progress with respect to 

implementing the abandoned sites program.

6.7.2 Participation in Rulemaking

The state program should provide an opportunity for the public to participate in any 

rulemakings associated with the program.

6.7.3 Participation Regarding Priority on the Inventory and Level of Remediation

The state program should include a mechanism by which an affected person could 

petition the state to: (1) add a site to the abandoned sites inventory; (2) change 

the priority for remediation of a site on the inventory; and (3) conduct or require 

additional remediation of a site.

6.8 Avoid Future Abandoned Site Problems

Since abandoned sites may constitute a threat to public health and the 

environment, the state should:

a. Establish and implement an abandoned site program consistent with the

guidance in this section; and

b. Enforce its existing regulatory program, with modifications, if necessary,
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consistent with this guidance.

c. Evaluate its programs for financial assurance, inspection, compliance tracking,

and monitoring of inactive sites to determine whether or not the state should

make adjustments to prevent an increase in abandoned sites.
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SECTION 7 | Naturally Occurring Radioactive Materials

7.1 Background

Naturally occurring radioactive material (NORM) is present above background 

levels at some oil and gas E&P facilities and E&P service company locations. 

NORM found in E&P operations originates in subsurface oil and gas formations 

and is typically transported to the surface in produced waters. NORM may deposit 

in well tubulars, surface piping, vessels, tanks, pumps, valves, and other 

producing or processing equipment and may be found in scales, sludges, 

contaminated soil, and other associated E&P wastes. NORM is also referred to as 

Technologically Enhanced Naturally Occurring Radioactive Material or TENORM.

7.2 General

States should adopt an E&P NORM regulatory program that addresses 

identification, use, possession, transport, storage, transfer, decontamination, and 

disposal to protect human health and the environment. States may choose not to 

adopt such a program if they find, based on field monitoring data and other 

scientific information, that no NORM is present in oil and gas operations in the 

State, or that the levels of NORM present in oil and gas operations in the State do 

not present such a risk to human health or the environment to warrant a regulatory 

program. States that make such a finding should periodically reevaluate the basis 

for the determinations. 

If a state determines that a regulatory program is necessary, it should tailor its 

program to NORM occurrence in the oil and gas E&P industry and an assessment 

of risks to human health and the environment. The program should include the 

elements listed in Section 7.3. E&P NORM should be managed in accordance 

with the pollution prevention and waste management hierarchy provisions of these 

guidelines. In addition, the other sections of these guidelines apply, where 

applicable, to NORM as a constituent of E&P waste. 

7.3 Elements of an E&P NORM Program

7.3.1 Definition

States should develop a definition for NORM that is consistent with that which 

occurs in the oil and gas E&P industry. For purposes of these guidelines, NORM 

is defined as any naturally occurring radioactive materials (not including byproduct, 

source or special nuclear material, or low level radioactive waste) not subject to 
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regulation under the Atomic Energy Act, whose radionuclide concentrations have 

been enhanced by human activities such that potential risk to human health or the 

environment are increased.

7.3.2 Action Levels

States should establish risk-based numerical action levels above which NORM is 

regulated taking into consideration the risk of exposure to human health and the 

environment. Such action levels should also be used to regulate the transfer or 

release of equipment, materials, and sites.

7.3.3 Surveys

States should develop standards for survey instruments and procedures for 

identifying and documenting equipment, materials, and sites that may contain 

NORM above the action levels. States should consider the types of facilities to be 

surveyed, when surveys should be performed, when survey results should be 

reported to the state regulatory agency, and any necessary training of surveyors. 

State survey requirements should provide data necessary to meet the purposes 

described in Section 5.2.1 and to administer and enforce state program 

requirements effectively.

7.3.4 Worker Protection

State regulatory programs should include applicable state and federal standards 

for worker protection from exposure to radiation, including worker protection plans, 

and other standards necessary for the protection of workers from exposure to 

NORM. States should establish NORM training or certification requirements based 

upon E&P work related duties and their associated NORM exposure risk (i.e., 

NORM awareness training may be sufficient for many common E&P work 

activities).

7.3.5 Licensing/Permitting

a. General licensing/permitting: Persons who possess E&P NORM in

concentrations or at exposure rates that exceed state-adopted action levels

should be generally licensed or permitted.

b. Specific licensing/permitting: Specific licenses or individual permits should be

required for commercial storage, removal, decontamination, remediation,

treatment or disposal of E&P NORM. A state may require specific licenses or

individual permits for the management of E&P NORM at centralized facilities as
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defined in Section 5.10.

7.3.6 Removal/Remediation

States should consider performance standards for removal, decontamination, and 

remediation that are protective of human health and the environment. 

7.3.7 Storage

States should establish standards for storage of NORM that are protective of 

human health and the environment. NORM storage facilities should be 

constructed to prevent or minimize releases. Tanks used to store E&P NORM 

should meet the requirements of Section 5.9. A state should consider adoption of 

limits on the amount of time NORM that exceeds action levels can be stored, 

depending on factors such as quantity, radioactivity, climate, proximity to the 

public, and protective controls.

7.3.8 Transfer for Continued Use

State regulatory programs should allow for the transfer of land and equipment 

containing NORM for continued operations in the production of crude oil and 

natural gas, with appropriate notification to affected parties. 

7.3.9 Release of Sites, Materials, and Equipment

State regulatory programs should address the levels below which, and conditions 

under which, equipment, materials, and sites containing NORM may be released. 

State regulatory programs should authorize the release of equipment, materials, 

and sites for unrestricted use only if NORM is below action levels. Such 

regulations should provide for appropriate notification to affected persons.

7.3.10 Disposal

State regulatory programs should authorize disposal alternatives within the state's 

jurisdiction for various E&P wastes containing NORM, including contaminated 

equipment, and should include regulatory requirements for NORM disposal that 

are protective of human health and the environment. Landowner or other

notification may be required as a condition of disposal. Commercial and 

centralized NORM disposal facilities should meet the criteria of Section 5.10. 
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7.3.11 Interagency Coordination

State radiation programs, oil and gas programs, and waste management programs 

are frequently distributed among separate agencies. Therefore, in many states, 

multiple agencies may regulate NORM. The various agencies should coordinate 

their regulatory and enforcement activities under the guidance given in Section 4.4 

of these guidelines. 

7.3.12 Public Participation

State regulatory programs for NORM should meet the public participation 

guidelines established in Section 4.2.2.

7.4 Regulatory Development and Research

The Conference of Radiation Control Program Directors has prepared suggested 

state regulations for NORM, and a number of states have developed or are in the 

process of developing NORM regulations. States that are developing their own 

NORM programs are encouraged to consult these sources as well as applicable 

federal radiation guidance and requirements for information and assistance. In 

addition, states should encourage and keep abreast of ongoing and future 

research on NORM, including risk assessment.
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SECTION 8 | Stormwater Management

8.1 General

Stormwater can become contaminated from contact with spilled or stored 

materials, from contact with E&P waste, or from the erosion of soils. E&P waste 

management practices that have a potential of contaminating stormwater include 

land application, landfarming and roadspreading. States usually have statutory 

authority for stormwater management programs through general pollution 

prevention or water pollution control legislation. States should implement 

programs to minimize the potential for contamination of surface water from 

sediment and other E&P contaminants contained in stormwater.

Stormwater management requirements should be adapted to regional 

characteristics. These characteristics include variations in topography, rainfall 

(annual average, episodic and seasonal), major soil types, proximity to surface 

waters, floodplains, seasonal and permanent swamps, wetlands and marshes, 

and vegetative cover.

States should adopt a stormwater management program based on the potential 

effects on human health and the environment. States may choose not to adopt 

such a program if they find, based on field monitoring data and other scientific 

information, that stormwater runoff does not pose a significant risk to human 

health or the environment. States that make such a finding should periodically 

reevaluate the basis for the determination. The state program need not duplicate 

applicable federal regulations for stormwater management.

Stormwater management regulatory activities should be coordinated with 

activities of other interested parties including landowners, soil conservation 

agencies, land management agencies, agencies with NPDES jurisdiction, and 

agencies with spill response authority.

8.2 State Regulatory Elements

The state agency with stormwater management or erosion control authority 

should require an operator to minimize environmental impacts caused by 

stormwater. These requirements should include a description of the action the 

operator will take to meet state program goals for the geographic location in 

which the activity will take place. These requirements may be spelled out in 

specific regulations or they may be required to be included in operator- or sitespecific plans developed by operators. State program requirements should 

specify time frames when stormwater control measurements are to be in place 

and when any state notifications are to occur. 
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In regions where stormwater has a high potential for causing environmental 

degradation, states should consider the use of permits or other authorizations to 

assure that adequate measures will be put in place. Such permits or 

authorizations should conform to Section 4.1.1. (Permitting).

State stormwater management programs should contain compliance evaluation 

capabilities as outlined in Section 4.1.2. (Compliance Evaluation), contain 

enforcement capabilities as outlined in Section 4.1.3. (Enforcement), be 

applicable to responses to spills and releases as outlined in Section 4.2.1. 

(Contingency Planning and Spill Risk Management), and contain data 

management capabilities as described in Section 4.2.8. (Data Management).

States programs should provide for outreach and training on stormwater 

management requirements and practices for operators, landowners and the 

public. These activities should conform to Section 4.2.2.2. (Public Participation). 

Similarly, training should be provided for state agency personnel as outlined in 

Section 4.3.1.5. (Training Requirements). Where stormwater management and 

E&P regulatory authority reside in different agencies, oil and gas agency staff 

should be trained so that they can, as time and staffing patterns allow, provide 

information and referrals to operators.

State stormwater management programs should be evaluated periodically in 

accordance with Section 4.2.3 (Program Planning and Evaluation). Such 

evaluations should include an analysis of all aspects of the program, and 

procedures for making any necessary program changes identified during the 

evaluation. 

8.3 State Agency Regulatory Program Criteria

8.3.1 Planning

Within the context of an E&P program, selection of the location for a well site, 

roadway, pipeline or other E&P facility is a critical component of a stormwater 

management program. Factors to be considered during the development of site 

requirements with respect to stormwater management include: minimization of 

the area to be disturbed, current land uses, site gradient, the type of facility to be 

constructed, springs and seeps, floodways, stream crossings, and the 

management of E&P wastes.

Other factors that should be considered in the development of stormwater 

management requirements include well density, distance between wells, existing 

roads, necessary temporary and permanent roads to be constructed, road 

alignment, slope, grade and length, the availability of vegetative filter strips, and 
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the management or disposal of trees and stumps to be removed during 

construction.

8.3.2 Construction

The construction of well sites, access roads, pipelines, stream crossings and 

crossings of wetlands, swamps and marshes can result in the contamination of 

stormwater and/or adjacent surface waters. Consequently, state agencies 

should develop standards or management practices appropriate for these 

activities. Similar practices may be necessary when responding to spills and 

releases when soils are disturbed or contaminants are mobilized by stormwater.

Standards or management practices should be appropriate for the region in 

which the construction activity will occur. Examples of such requirements include 

the construction of upgrade diversion channels and the collection of construction 

site runoff; the use of brush and other barriers and the stockpiling of topsoil and 

subsoil during clearing and grubbing; and the grading of cut and fill slopes, road 

embankments, road surfaces (crowned, insloping or outsloping) and roadside 

ditches to control water.

Similarly, requirements should be developed for bridges, causeways, cofferdams, 

fords and bank stabilization when surface waters are encountered. 

Requirements for temporary road or stream crossings and use of rock at 

construction entrances may be necessary.

Practices to be considered for stormwater controls during construction include 

drainage ditches, basins, sediment traps, berms, vegetative filter strips, sediment 

barriers, turnouts, culverts and cross-drains, broad-based dips and swales, 

waterbars, rock filters, straw bale barriers and fabric filter fence. Outlet 

protection should be provided for devices with outlets to surface waters.

Additional practices to be considered for pipeline construction include the use of 

ditchline barriers, timing of backfilling, materials used for trench backfill, location 

of staging areas, and the use of trench plugs. In fragile soil, wetland and marshy 

areas, and at stream crossings, construction mats, board roads or geo-textiles 

should be considered.

Criteria should be developed for temporary stabilization if permanent stabilization 

will be delayed. Temporary stabilization practices such as seeding with annual 

grasses and mulching, or seed/filter fabric combinations should be considered. 

Permanent stabilization can occur through the application of rock to well sites 

and roads, and achieving adequate growth of (or sodding with) permanent 

vegetation. Factors to be considered during revegetation include calculation of 

acreage, soil types and distribution, seed bed preparation, seed mixtures 

(temporary, permanent), soil amendments, and mulching and anchoring.
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8.3.3 Operation and Maintenance

States should require that stormwater control measures be operated and 

maintained in a manner that will assure their effectiveness during site 

preparation, well drilling and production, and until the site is restored. These 

measures should be operated and maintained to control sediment as well as 

E&P waste and spills. Requirements regarding the frequency and type of 

inspection, preventative maintenance and repairs are appropriate.

8.3.4 Restoration and Reclamation

Where appropriate, states should incorporate stormwater management during 

the development of standards for site restoration and reclamation. These 

requirements should apply to the restoration of recently active sites, orphan sites, 

remediation sites, and sites where prior restoration efforts failed.

Where appropriate, stormwater management criteria should be developed for the 

removal of equipment, restoration of pits, disconnection and abandonment of 

pipelines, backfilling and grading, and access road reclamation.
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SECTION 9 | Hydraulic Fracturing

9.1 Background 

The practice of completing oil and gas wells through hydraulic fracturing, while not new, 

has evolved into a key technology in the development of unconventional oil and gas 

resources, such as coal bed methane or shale gas. This has resulted in questions 

about the potential impacts on water resources due to the volume of water needed for 

hydraulic fracturing, the potential impacts to groundwater by the hydraulic fracturing 

process, or the proper management or disposal of waste and other fluids associated 

with hydraulic fracturing.

9.2 General 

States should evaluate potential risks associated with hydraulic fracturing, taking into 

account factors such as depth of the reservoir to be fractured, proximity of the reservoir 

to fresh water resources, well completion practices, well design, and volume and nature 

of fluids. Where necessary and recognizing the local and regional differences 

discussed in Section 3.3, states should have standards to prevent the contamination of 

groundwater and surface water from hydraulic fracturing. State programs for hydraulic 

fracturing should ensure establishment and maintenance of well control; protection of 

groundwater zones, other mineral resources.

9.2.1 Standards 

State programs for hydraulic fracturing should include standards for casing and 

cementing to meet anticipated pressures and protect resources and the environment. 

The state should have the authority as necessary to require the performance and/or 

submittal of diagnostic logs or alternative methods of determining well integrity. The 

state program should address the identification of potential conduits for fluid migration in 

the area of hydraulic fracturing and the management of the extent of fracturing where 

appropriate. The program should require monitoring and recording of annular pressures 

during hydraulic fracturing operations. The program also should address actions to be 

taken by the operator in response to operational or mechanical changes that may cause 

concern, such as significant deviation from the fracture design and significant changes 

in annular pressures.

State programs for hydraulic fracturing should consider baseline groundwater 

monitoring protocols that address appropriate factors which may include distance/radius 

from the well, timing/frequency of testing, test parameters, reporting and management 

of and access to data, existing/new development or existing production in area, 

responsibility for sample collection, testing, cost, location/gradient, surface owner 
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consent, laboratory accreditation, and remedial actions. 

Surface controls, such as dikes, pits or tanks, should meet the criteria in Sections 5.5 

and 5.9. In addition to pit technical criteria for authorization, construction, operation, pit 

integrity monitoring, and closure contained in Section 5.5, states should address unique 

characteristics of impoundments associated with hydraulic fracturing, including the use 

of centralized and commercial facilities, operatorship, size, location, duration, closure, 

retention for other use, and characteristics of contained fluids. States should consider 

erosion and safety issues such as embankment integrity associated with fresh water 

impoundments associated with hydraulic fracturing.

Contingency planning and spill risk management procedures that meet Section 4.2.1 

should be required. Waste characterization should be consistent with Section 5.2. The 

waste management hierarchy contained in Section 5.3 (source reduction, recycling, 

treatment and disposal), including the provisions relating to toxicity reduction, should be 

promoted. The tracking of waste disposed at commercial or centralized facilities should 

meet the requirements of Section 5.10.2.3. Procedures for receipt of complaints related 

to hydraulic fracturing should be consistent with Section 4.1.2.1.

9.2.2 Reporting 

The regulatory agency should require appropriate notification prior to, and reporting 

after completion of, hydraulic fracturing operations. Notification should be sufficient to 

allow for the presence of field staff to monitor activities. Reporting should include the 

identification of materials used, aggregate volumes of fracturing fluids and proppant 

used, and fracture pressures recorded.

State programs should contain requirements for public disclosure of information on type 

and volume of base fluid and additives, chemical constituents, and actual or maximum 

concentration of each constituent used in fracturing fluids. States are encouraged to 

require disclosure of such information online. State programs should contain 

mechanisms for disclosure of chemical constituents used in fracturing fluids to the state 

in the event of an investigation and to medical personnel on a confidential basis for 

diagnosis and/or treatment of exposed individuals. Where information submitted is of a 

confidential nature, it should be treated consistent with Section 4.2.2.

9.2.3 Staffing and Training 

In addition to the personnel and funding recommendations found in Section 4.3, state 

staffing levels should be sufficient to receive, record and respond to complaints of 

human health impacts and environmental damage resulting from hydraulic fracturing. 

Staff should receive adequate training to stay current with new and developing hydraulic 

fracturing technology. 
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9.2.4 Public Information 

State agencies should provide for dissemination of educational information regarding 

well construction and hydraulic fracturing to bridge the knowledge gap between experts 

and the public as provided in Section 4.2.2.2. This is especially important in areas 

where development has not occurred historically and in areas where high volume water 

use for hydraulic fracturing is occurring.

9.2.5 Coordination

In addition to coordination as contained in Section 4.4, states should consider interstate 

coordination of regional multi-state issues such as source water, transportation and 

waste management related to hydraulic fracturing.

9.3 Water and Waste Management

Fundamental differences exist from state to state, and between regions within a state, in 

terms of geology and hydrology. The state should evaluate and address, where 

necessary, the availability of water for hydraulic fracturing in the context of all competing 

uses and potential environmental impacts resulting from the volume of water used for 

hydraulic fracturing. The use of alternative water sources, including recycled water, 

acid mine drainage and treated wastewater, should be encouraged. 

Waste associated with hydraulic fracturing should be managed consistent with Sections 

4.1.1 and 7.

States should encourage the efficient development of adequate capacity and 

infrastructure for the management of hydraulic fracturing fluids/wastes, including 

transportation (by pipeline or otherwise), recycling, treatment and disposal. State 

programs should address the integrity of pipelines for transporting and managing 

hydraulic fracturing fluids off the well pad.
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SECTION 10 | Air Quality

10.1 Background

As a result of the increased development of oil and natural gas from shale 

formations in recent years, concerns about air emissions have become more 

focused. On August 16, 2012, EPA published 3 final rules for the Oil and Natural 

Gas Sector (NSPS OOOO, for the control of VOC and SO2 emissions; and 

NESHAP HH/HHH, for the control of hazardous air pollutant emissions). The 

NSPS applies to sources that are new, modified or reconstructed since August 

2011. It requires that companies reduce completion flowback emissions from 

hydraulically fractured and refractured gas wells by employing reduced emissions 

completions (aka “green completions”), control emissions from storage vessels by 

95%, use low or no bleed pneumatic controllers in the production segment, use no 

bleed controllers at gas plants, replace reciprocating compressor seals every 

26,000 hours of operation or three years, reduce wet seal centrifugal compressor 

emissions by 95%, and implement more stringent leak detection and repair 

programs at gas plants.

The NESHAP HH/HHH rules amended provisions to currently codified rules. In 

particular, the amendments set new standards for small glycol dehydrators, 

lowered the leak detection threshold at gas plants and amended the definition of 

“associated equipment” used in making major source determinations at well sites. 

In response to petitions for administrative reconsideration of the 2012 rules, EPA is 

working on changes over the next several years to improve the effectiveness and 

practicability of programs.

10.2 Administrative

Where necessary, and recognizing the local and regional differences discussed in 

Section 3.3, states should have standards to prevent the contamination of air. 

While oil and gas regulatory agencies have many environmental responsibilities for 

oil and gas operations, the air programs are typically regulated by sister state 

environmental protection or health agencies and are given statutory and regulatory 

powers as described below. The state should develop procedures for regular 

evaluation and consideration of the appropriateness and adequacy of the 

regulatory program.

10.2.1 Scope of Authority
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1. An effective state program for the regulation of air emissions from oil and

gas exploration and production activities should include, at a minimum:

2. Statutory authority that adequately details the powers and duties of the

respective regulatory body or bodies;

3. Statutory authority that grants the regulatory body (or bodies) the power to

oversee air emissions from upstream oil and gas activities, including

production, gathering, compression and processing. This authority should

include the ability to promulgate appropriate rules and regulations and meet

the state’s obligations under federal law;

4. Statutory authority to promulgate specific requirements that are more

stringent than required under the federal Clean Air Act or regulations where

necessary and appropriate to protect public health and the environment;

5. Authority to accept delegation of federal air quality programs specific to oil

and gas;

6. Authority to consider cost effectiveness in setting air emission standards

when appropriate, as well as to exempt facilities or sources based on

criteria such as de minimis emissions or by type of source or facility;

7. Statutes and implementing regulations which adequately and clearly define

necessary terminology;

8. Provisions to ensure adequate funding for the staff and program to carry out

its objectives and duties;

9. Mechanisms for coordination among stakeholders (including the public,

federal and state agencies, and the regulated industry); and

10.Technical criteria for air emission controls.

10.2.2 Jurisdiction and Cooperation Between Agencies

The Clean Air Act establishes a dual federal/state system for establishing 

requirements to protect public health and the environment, and to oversee air 

pollution sources, including oil and gas exploration and production (E&P) 

operations. Under this framework, states are required to establish State 

Implementation Plans (SIPs) that contain sufficient requirements to attain and 

maintain compliance with National Ambient Air Quality Standards. Separate from 

the SIP process, states may, but are not required to, accept delegation of certain 

federal air quality requirements such as the preconstruction Prevention of 

Significant Deterioration (PSD) permitting program, the Title V permit program or 
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New Source Performance Standards. If a state does not accept delegation of a 

particular federal requirement, EPA retains responsibility for implementing and 

enforcing that requirement. 

Within states that do accept delegation, jurisdiction over air quality issues related 

to E&P facilities may be split between the state air quality agency, local air quality 

agencies and/or the agency with jurisdiction over oil and gas drilling and 

production. Finally, because states have no jurisdiction over air pollution sources 

on tribal lands, responsibility for implementation and enforcement of air quality 

requirements for E&P sources on these lands is held by EPA or the tribes.

Where multiple state, federal or tribal authorities have jurisdiction over air quality 

issues, mechanisms should be in place to avoid duplication, regulatory gaps or 

inconsistent air quality requirements or enforcement of such requirements. Such 

mechanisms could include formal Memoranda of Understanding, established 

interagency task forces, regular periodic meetings between agency staff, and joint 

inspections of facilities. In addition to ensuring proper coordination, agencies 

should communicate with the regulated community and the public to make it clear 

which agency has jurisdiction over a particular area or is responsible for enforcing 

a given set of air quality requirements.

10.2.3 Permits, Authorizations and Exemptions

States with approved Clean Air Act permitting authority should adopt an air quality 

permitting program for emission sources in the oil and gas industry that is legally 

and practically enforceable and harmonizes with federal requirements to avoid 

confusing and duplicative requirements for operators. The program should allow 

the state to adopt additional air quality requirements beyond federal requirements 

to address state-specific air quality issues. State permits should clearly establish 

what performance standards and/or emission control requirements are required for 

each covered source.

State air quality permitting programs should be designed to protect human health 

and the environment while allowing oil and gas development to proceed promptly 

and efficiently to provide continued, responsible growth in US oil and natural gas 

production. Therefore, state air quality permitting programs should be 

straightforward for operators to understand and implement, and administratively 

efficient for the regulatory agency to minimize cost in time and resources. To 

accomplish this, states are encouraged to simplify the application process, make 

available accepted emission estimation methods, make permit application 

assistance tools available to the operator, establish and make clear permit 

exemption criteria, and employ construction general permits or permits by rule that 

also serve as final permits to operate.

When emissions are difficult to estimate due to uncertainty of source throughput 

and composition, states should also consider mechanisms, similar to some federal 
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rules (e.g., the storage vessel provisions of the Oil and Gas NSPS OOOO that 

allow an established period for emissions determination before requiring control), 

that allows operators to construct and operate certain source types for a limited but 

sufficient period of time to determine actual facility emissions prior to permitting to 

ensure that permit conditions, including emission control requirements and Federal 

applicability, are properly informed. States should consider requiring appropriate 

levels of control during this evaluation period to avoid exceeding regulatory 

emission thresholds. It is important to note that the construction of a major source 

without a permit is prohibited by the Clean Air Act.

10.2.4 Compliance Monitoring, Demonstration & Assurance

State programs should contain the following compliance monitoring, demonstration 

and assurance capabilities:

1. Procedures for the receipt, evaluation, retention, and investigation of all 

notices and reports required of permittees and other regulated persons. 

These procedures should ensure that the notices and reports submitted are 

adequate in both content and frequency to assess compliance with 

applicable requirements. States should consider integrating electronic 

reporting systems to improve efficiency and timeliness of data received. 

Duplicative or unnecessary reporting should be minimized. Investigation for 

possible enforcement action should include determination of failure to 

submit complete notices and reports in a timely manner. Effective data 

management systems, as described in Section 4.2.7, can be used to track 

compliance. 

2. Inspection and monitoring procedures that are independent of information 

supplied by regulated persons and which allow the state to determine 

compliance with program requirements, including:

a. The capability to conduct comprehensive investigations, that may 

include advanced monitoring techniques as appropriate, of facilities and 

activities subject to regulation in order to identify a failure to comply with 

program requirements by responsible persons;

b. The capability to conduct regular inspections of regulated facilities and 

activities at a frequency that is commensurate with state priorities based 

on the risk to health, safety and the environment; and

c. The authority to investigate information obtained regarding potential 

violations of applicable program and permit requirements.

3. Procedures to receive and evaluate information submitted by the public 

about alleged violations and to encourage the public to report perceived 
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violations. Such procedures should not only involve transparent 

communications with the public (to apprise it of the process to be followed in 

filing reports or complaints), but should also communicate how the state 

agency will assure an appropriate and timely response.

4. Authority to conduct unannounced inspections at a reasonable time of any

regulated site or premises where oil and gas activities are being conducted,

including the authority to inspect, sample, monitor, or otherwise investigate

compliance with permit conditions and other program requirements, such as

proper operation of control devices, process operating conditions and

control device operating parameters.

5. Authority to enter locations where records are kept during reasonable hours

for purposes of copying or obtaining electronic copies and inspecting such

records.

6. Procedures to ensure that documents and other evidence are maintained

and/or managed such that they can be admitted in any enforcement

proceeding brought against an alleged violator, noting that some information

may be entitled to confidential treatment (however, it is the source’s

obligation to identify which information is confidential business information).

7. Authority to require regulated persons to conduct stack testing or other

measurements to establish or verify compliance with applicable emission

standards, to allow the state to be present for such tests, be given adequate

notice of the tests, and to conduct its own tests when deemed appropriate.

8. Authority to require, under statute, regulation or permit, regulated persons

to:

a. Establish and maintain records;

b. Make reports;

c. Install, use, and properly maintain monitoring equipment, and use audit

procedures, or methods;

d. Sample emissions in accordance with prescribed methods;

e. Provide stack test protocols and test reports;

f. Perform parametric monitoring where direct emissions measurement is

impracticable;

g. Submit compliance certifications; and

h. Provide other information needed to determine compliance on a onetime, periodic or continuous basis.
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10.2.5 Enforcement

10.2.5.1 Enforcement Tools

The state agency should have effective enforcement tools to address any 

violations of the state air program, which may include the following actions:

1. Issue a notice of violation with a compliance schedule;

2. Restrain, immediately and effectively, any person by order or by suit in state

court from engaging in any impending or continuing unauthorized activity

which is causing or may cause damage to public health or the environment;

3. Establish the identity of emergency conditions which pose an imminent and

substantial human health or environmental hazard that would warrant entry

and immediate corrective action by the state agency after reasonable efforts

to notify the operator have failed;

4. Sue or cause suit to be brought in courts of competent jurisdiction to enjoin

any impending or continuing violation of any program requirement, including

any permit condition, without the necessity of a prior revocation of the

permit;

5. Require, by administrative order or suit in state court, that appropriate action

be undertaken to correct any harm to public health and the environment that

may have resulted from a violation of any program requirement, including,

but not limited to, establishment of compliance schedules or requiring the

source to apply for and obtain permits for previously unpermitted emissions;

6. Encourage Beneficial Environmental Projects or Supplemental

Environmental Projects to secure additional environmental benefits through

enforcement settlements;

7. After administrative review, revoke, modify, or suspend any permit, or take

other enforcement action deemed appropriate by the state, when the state

agency determines that the permittee has violated the terms and conditions

of the permit, failed to pay an assessed penalty, or used false or misleading

information or fraud to obtain the permit;

8. Assess administrative penalties or seek, in court, civil penalties or criminal

sanctions including fines and/or imprisonment; or

9. Resolve compliance issues informally, through mechanisms such as

settlement agreements or warning letters, in lieu of a formal notice of

violation, administrative order, or court order.
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As an alternative to the enforcement tools identified above, state programs should 

have incentives (such as penalty mitigation and auditing/self disclosure policies) to 

encourage sources to voluntarily disclose and correct violations.

10.2.5.2 Penalties

States should develop guidance for calculations of penalties that include factors 

such as the economic benefit resulting from the violation, willfulness, harm to the 

environment and the public, duration of the violation, the operator’s compliance 

history, and the operator’s good faith efforts to comply. Some of the benefits of 

having guidance for calculation of penalties include: 1) an opportunity to encourage 

voluntary disclosure of violations; 2) providing consistency and transparency in the 

assessment of penalties; and 3) providing for the development of readily defensible 

assessments. Penalties should be such that an operator does not benefit 

financially from unlawful conduct, and should provide compliance incentive to other 

operators. States should evaluate their enforcement options and policies to assure 

that the full range of actions available are effectively used.

10.2.5.3 Right of Appeal

The right to appeal or seek administrative and/or judicial review of agency action 

should be available to any person having an interest which is or may be adversely 

affected, or who is aggrieved by any such action.

10.2.6 Staffing and Training

In addition to the general personnel and funding recommendations found in 

Section 4.3, state staffing levels should be sufficient to receive, record and respond 

to complaints of human health impacts and environmental damage resulting from 

air emissions. Staff should receive adequate training to stay current with federal 

and state air regulatory requirements, state airshed goals, and industry production 

practices and technology, especially new and developing air pollution control and 

monitoring technology. This training should include an oil and gas industry 

overview to familiarize state agency staff with the sources and monitoring 

equipment they will be regulating. Training programs to accomplish these goals 

could include:

1. Training courses or resource materials available through US EPA, multistate air planning organizations, private sector, industry associations,

consortiums and universities;

2. Field visits and tours to oil and gas facilities in the state;
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3. Engagement with other states’ air regulatory programs;

4. Conference attendance; and

5. Coordination and frequent discussions with other state agencies regulating 

oil and gas operations, including state oil conservation commissions and 

divisions.

Additionally, agencies should have a mechanism to assess and implement 

strategies designed to recruit and retain key agency staff such as:

1. Maintaining competitive salary levels;

2. Creation of new technical positions (air specialists, oil and gas sector 

specialists, etc.) in the permitting and enforcement programs; and

3. Increasing staff responsibilities via promotion of staff to higher positions 

(project leaders, team leaders, etc.).

10.2.7 Data Management

In addition to the data management recommendations found in Section 4.2.7, 

states should ensure that appropriate data is shared between agencies so that the 

air quality program has access to the inventory, which includes the level of detail 

needed to conduct an effective program ( locations of oil and gas facilities and a 

unique identifier for the regulated activity (e.g., API well number)). as necessary to 

conduct an effective program. After appropriate quality assurance, public 

information, such as emissions data, should be made available to the public, air 

quality researchers and managers, in appropriate user-friendly electronic formats 

(e.g., data downloads, web services).

10.2.8 Public Involvement

State agencies should provide for the electronic dissemination of educational and 

other appropriate information regarding air emissions from oil and gas activities to 

bridge the knowledge gap between experts and the public. This should occur as 

part of an ongoing process through which information is exchanged in an open 

forum as provided in Section 4.2.2.2. This is especially important in areas where 

development has not occurred historically. The public should also have the ability 

to ask questions and receive responses through the agency website. States should 

also use advisory groups of industry, government, and public representatives, or 

other similar mechanisms, to obtain input and feedback on the effectiveness of 

state programs as provided in Section 4.2.2.3.
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10.2.9 Outreach

In addition to the public participation provisions found in Section 4.2.2, states 

should take measures, such as web postings, FAQs, and distribution of fact 

sheets, to ensure that the industry, other state agencies and the public are aware 

of the delineation of responsibilities between the air quality program and the oil and 

gas program. Provisions should also be made for the availability of speakers to 

make presentations to interested groups.

10.2.10 Strategic Program and Resource Planning 

State air programs for oil and gas will require adequate resources to fulfill state and 

federal mandates to ensure healthy air quality while providing adequate response 

time to permit applications and other needs from industry. As with other growing 

sectors, the oil and gas industry’s potential for rapid growth in production basins 

can challenge the planning process for air programs, since large numbers of 

facilities can be deployed in production basins and cumulative emissions from new 

and existing facilities can potentially have significant impacts on air quality.

To address these challenges, and as set forth in these guidelines, states should 

have adequate resources to conduct necessary regulatory development, 

permitting, enforcement, monitoring, modeling, inventory development and public 

outreach activities. Additionally, states should have strategic planning capabilities 

to ensure that these resources remain adequate in light of dynamic growth in the 

oil and gas sector and rapid evolution in production technologies. 

10.3 Air Program-Specific Elements

10.3.1 Delineation of Sources

States should consider developing an inventory of sources and activities not 

previously registered or permitted, for example grandfathered facilities and 

equipment, and non-permitted sources and activities, if information about 

emissions from those sources is critical for planning and analysis for agency 

priorities such as efficiently ensuring compliance with air quality standards. 

This inventory should be comprehensive but straightforward and relatively simple 

to administer. However, the state or tribe should make efforts to avoid capture of 

inconsequential (de minimis) sources that do not impact air quality.
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10.3.2 Source-Specific Requirements

These guidelines are developed with particular emphasis on VOC and HAP 

emissions, and control of these pollutants often reduces methane emissions as a 

co-benefit. However, there may be some sources that emit dry gas with little or no 

VOC or HAP content, but that emit methane emissions.. Since 1993, industry 

partners in the EPA voluntary Natural Gas STAR Program have developed and 

employed a variety of innovative techniques for mitigating methane emissions in 

the oil and gas sector. The state should be aware of which operators participate in 

EPA’s Natural Gas STAR program and make others aware of the program. States 

should be aware of regulatory initiatives of other states to address methane/dry 

gas emissions.

A state’s air quality program should identify oil and gas industry emission source 

types that must be represented in applications for air quality permits or 

authorizations. Oil and gas emissions source types and activities may include 

stationary engines and turbines, well completions or recompletions, venting and 

leaking gas from compressors, gas-powered pneumatic devices, dehydration units, 

gas processing plants, transmission and storage facilities, storage vessels and 

condensate handling, wellbore liquids unloading, produced water management 

facilities, sweetening units and flares.

The state requirements for these source types and activities should align with 

Federal requirements unless the state needs to establish additional or more 

stringent requirements. When specific air issues demand more stringent 

requirements, states may consider adopting, as consistently as possible, 

provisions by other states that have been implemented to address similar air 

quality issue, to minimize the impact on state resources.

State air quality programs may want to address unplanned and episodic emissions 

due to such things as fugitive air emissions upstream of gas processing plants, 

process upsets, wellbore liquids unloading, third party equipment downtime, and 

equipment failure. The programs should require incident reporting and corrective 

actions where possible, to avoid incident recurrence. However, the state should 

also consider safety aspects when developing new requirements for unplanned 

emissions.

Finally, because there is a growing concern over wasted gas from drilling 

operations, the state air quality regulator should consider coordination with the 

state oil and gas conservation regulator on a process to quantify and minimize the 

flaring or venting of associated gas from oil wells.

10.3.3 Air Quality Monitoring Networks

Air quality monitoring is an essential tool both to determine compliance with 
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National Ambient Air Quality Standards and to assess the impact of air pollution 

sources on air quality. State programs should have an air quality monitoring 

network in place that meets these needs. In developing an air quality monitoring 

network, states should consider several parameters, including but not limited to: 

the number of monitors, the types of pollutants to be monitored, the location of 

monitors, specific monitoring instrumentation to be used, frequency of monitoring, 

and appropriate QA/QC procedures. In placing air quality monitors, states should 

consider factors such as emission source location, population density, topography 

and meteorology.

Many of the air quality monitoring requirements for states are set forth in 

implementing regulations for the various National Ambient Air Quality Standards. 

Additionally, federal permitting requirements for major stationary sources include 

certain source specific monitoring requirements. States should have appropriate 

mechanisms in place to ensure that this source specific monitoring is conducted in 

accordance with established standards and methods.

States may also consider whether to conduct ambient air quality monitoring that 

goes beyond the standards established under federal law. While states should 

have considerable latitude in determining whether and how to conduct such 

additional monitoring, appropriate procedures should be established to ensure that 

such monitoring, if undertaken, accurately assesses ambient air quality levels. As 

part of this additional monitoring, states should consider, where possible, 

establishing baseline air quality levels in order to assess the impact of emission 

source changes.

Areas with significant oil and gas production activity may have few or no regulatory 

air quality monitors, because these areas may not meet typical criteria for siting of 

monitors, such as population density. States should consider whether to add 

monitors in these areas to assess emissions from present or anticipated increases 

in oil and gas activity. 

Once it has gone through appropriate QA/QC procedures, air quality data should 

be publicly available. Options for making data available could include putting it online or publishing regular air quality reports. US EPA makes limited criteria air 

pollutant data from state air monitors available through federal websites, such as 

AIRNow.gov. Agencies should consider whether to make data additionally 

available through their own websites to allow greater context and address local 

issues and concerns.

10.3.4 Reporting, Emission Inventories & Recordkeeping

States should develop and periodically update accurate and robust emission 

inventories as necessary to conduct good air quality planning and program 

assessment. States should establish emission reporting requirements for air 
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pollution sources that adequately support their efforts to develop high quality 

emission inventories. For individually small sources of air pollution that don’t report 

(commonly called nonpoint sources), states should use the best available 

methodologies to quantify emissions. As states review and update their 

inventories they should work with industry and other stakeholders to identify the 

types of oil and gas sources which can produce significant emissions, and 

determine when updates to inventories are needed due to new information, 

changes to emission inventory compilation methodologies, or changes in 

production or operational practices. 

States should consider using the EPA’s oil and gas emissions tool(s) for computing 

nonpoint sources of oil and gas emissions. EPA provides the tool, instructions, and 

other guidance for computing these emissions as part of its National Emissions 

Inventory (NEI) program available on the Clearinghouse for Inventories & 

Emissions Factors (CHIEF). The tool allows for local inputs to be added by states 

to improve their emissions estimates. EPA also develops projection methods 

available on the CHIEF Emissions Modeling Clearinghouse for use by states.

Every three years, states are required to submit to EPA all sources of emissions of 

criteria pollutants and their precursors (Air Emissions Reporting Requirements, 40 

CFR Part 51, Subpart A). This includes both point and nonpoint sources for the oil 

and gas sector.

States should also develop well-founded emission projections, to ensure that air 

quality standards will continue to be met in the future. Best available data and 

methods should be used for these projections. As with other growing emission 

sectors, development of oil and gas can result in rapid increases in emissions in a 

given area, so states should develop programs that can keep pace Projections 

which consider emissions under a range of alternative future conditions, such as 

the effect of changing industry practices and regulations, will yield better results 

than those that are based on single factors.

After administrative review, emission inventories and projections and reported 

emission data should be readily available to the public, including documentation of 

methodology, data sources, and assumptions made in producing the inventory. 

The inventory development process should include stakeholder review so that the 

general public and the regulated community can provide input. Furthermore, 

consistent calculations methods, based on the gas and condensate compositions 

for specific formations and basins, should be applied. If included in SIPs, the 

public review process is a requirement for those current and projected inventories 

used for both nonattainment area inventories as well as modeling inventories.

10.3.5 Corrective Actions & Emergency Response

The states should establish clear criteria for the emergency reporting of significant, 
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non-routine releases to air. These criteria should consider factors such as the 

mass and type of constituents released and the proximity of the release to 

sensitive receptors.

Agencies responsible for receiving emergency notifications of reportable releases 

to air should be identified and be responsible for the coordination, as appropriate, 

of any necessary response action with the operator, state and local emergency 

responders, environmental and/or public health agency and any other agency 

responsible for public protection.

States should ensure that community residents are notified when potentially 

hazardous air releases occur and should ensure that companies, in addition to 

emergency responders, take necessary actions to minimize public exposure.

States should require operators to submit reports that contain information on the 

cause of the release, the type(s) and amount(s) of pollutants released and the 

corrective actions the company implemented, to aid in the prevention of incident 

recurrence.

State air regulators should have appropriate air monitoring equipment necessary to 

support emergency response activities.

10.3.6 Long-Term Planning, Prioritization & Evaluation

In addition to the program planning and evaluation provisions found in Section 

4.2.3, states should have a good understanding of oil and gas operations, including 

exploration and production; gathering, boosting, processing, and transmission; and 

accurate inventories and projections of air emissions. Because emissions 

characteristics, operational requirements, and operational approaches can vary 

widely by basin, it is critical for regulators to involve interested stakeholders 

(including oil and gas producers and environmental and citizen groups) in the 

planning and evaluation processes., Periodic analyses should be completed to 

ensure that air quality will remain protective of public health and the environment, 

in accordance with state and federal statutes and regulations, as industry evolves 

and grows.

There are and will be a number of federal regulations applicable to oil and gas 

operations that must be assessed for state adoption, incorporated by reference 

into state regulations, or left to US EPA for implementation. In most states, these 

federal regulations become the base of the state air regulatory program. State air 

regulatory program planning must consider the air quality impacts of federal 

regulations. Airsheds with oil and gas basins that have measured or modeled 

concentrations of air pollutants near or above the NAAQS, considerable existing or 

planned development, and/or geographic conditions (topography and meteorology) 

that can create stagnant air, may require specific, specialized analyses to assess 
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the short-term and long-term status of compliance with the NAAQS. Collaboration 

with industry and other stakeholders is very important to ensure that the analyses 

are comprehensive, scientifically sound and adequately address the relevant 

questions and issues. Technical collaborations may be more successful when 

accomplished within a structured process that clearly defines the roles and 

responsibilities of participants, procedures for widely disseminating analysis 

design, solicitation of comments, processes for responding to comments, and other

opportunities for feedback.

Analyses of criteria pollutant trends, comprehensive emissions trends, and 

projections of pollutant concentrations, visibility, and deposition are important 

indicators for evaluation of state air programs. In the process of developing a 

strategic plan, states may develop specific airshed goals to reduce the impacts of 

pollutants. The development of these goals should be based upon careful analysis 

of state needs, priorities, available resources, and applicable state and federal 

regulations.

Additional program goals could include (i) the development and implementation of 

an effective stakeholder outreach and education program; (ii) the development of 

incentives for additional pollution control, such as streamlined permitting programs, 

permits by rule, and other permitting options that simplify the application and 

review process while promoting air pollution control; (iii) the development and 

posting of guidelines, policies and templates that result in efficiencies in the 

permitting and enforcement processes while encouraging good practice; (iv) the 

creation of voluntary programs that recognize operators adopting additional air 

pollution measures; and (v) the development or improvement of an air monitoring 

network in areas with oil and gas activity, emissions inventories and calculation 

methods, and air modeling tools.

Regarding evaluation, performance metrics could include an evaluation of ambient 

pollutant concentrations, emissions trends, permit response time, appropriateness 

of permitting options, and clarity of conditions required for compliance. States 

should give consideration to the frequency of the evaluation of these types of 

metrics as well. Evaluation of emissions trends and modeling data may be more 

suited to an annual or periodic basis, whereas other metrics, such as stakeholder 

outreach and monitoring, may be done more frequently. The state agency should 

identify the set of measures that is most applicable to the goal and then determine 

the schedule for program evaluation.
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SECTION 11 | Reused and Recycled Fluids

11.1 Definitions

State regulatory programs should define fluids that may be reused and recycled. 

For the purposes of these guidelines, these are fluids that are generated during the 

drilling, completion (e.g. hydraulic fracturing flowback), and production stages of a 

well. The term “reused fluids” is commonly used to refer to fluids that require only 

minimal processing to remove suspended solids. The term “recycled fluids” is 

commonly used to refer to fluids that typically require more advanced treatment or 

processing to reduce the salinity of the recycled fluid. Reused and/or recycled 

fluids are used for well drilling (generally below the base of protected water), well 

workover, and completion.

11.2 Water Management Planning

Operators should be encouraged to develop Water Management Plans that 

consider reuse and recycling options. Water Management Plans should address 

all aspects of water management from acquisition through final disposition. Plans 

should be tailored to particular projects. State programs should recognize barriers 

that would limit an operator’s ability to reuse or recycle fluids generated during 

drilling, completion, and production such as technological limitations, fiscal 

constraints, lease or surface use constraints, stage of development, fluid quality, 

and agency approval timeframes. States should encourage the use of fresh water 

alternatives for the drilling and completion of wells where available sources are 

feasible and where environmental risks can be adequately identified and 

controlled. See Section 9.3 for additional information concerning water and waste 

management related to hydraulic fracturing.

Where jurisdictional issues exist between multiple state agencies, river basin 

commissions, and other parties involved in the management of reused and/or 

recycled E&P fluids, coordination should be pursued as discussed in Section 4.4.

11.3 Waste Management

Fluids that are to be reused or recycled should be managed and regulated as a 

waste up to the point the fluids are used in the drilling, workover, or completion of a 

well. State programs should consider having a regulatory process to designate 

fluids as a non-waste when they are treated to a level satisfactory to the State and 

the fluid is reused or recycled. Regulatory responsibility for the reused or recycled 

fluids should lie with the operator of the facility that is storing, transporting, or 

processing the fluids. See Sections 5.1 – 5.3 for information concerning technical 
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criteria of waste.

11.4 Transportation

The fluids to be reused or recycled are generally transported through pipelines or 

by truck. 

11.4.1 Pipelines

Pipelines should be constructed of a material that is compatible with the fluid being 

transported. They should be constructed and operated in compliance with the 

manufacturer’s specifications. Pipelines transporting fluids to be reused or 

recycled should be demarked so that personnel and inspectors can clearly identify 

the pipeline. Rules should differentiate between above ground temporary lines and 

buried lines. The location of buried lines should be made available to regulators.

Leak detection should be performed prior to and during the operation of pipelines. 

The leak detection program should account for the length of service, composition 

of fluid being transported, and pressure. There should be a means of accounting 

for and reporting waste quantities transported by pipeline and leaks as discussed 

in Section 5.10.2.4. 

11.4.2 Trucks

Truck transportation of fluids to commercial or centralized facilities should be 

addressed in accordance with the waste tracking and reporting provisions of 

Section 5.10.2.3. States should encourage operators to utilize smart truck routing 

to minimize traffic through residential areas, damage to roadways, and to avoid 

problems associated with spill exposure and complaints.

11.5 Treatment and Storage

Rules for the treatment and storage of fluids to be reused and recycled should be 

based on the potential risk presented by the treatment or storage of the fluid. Risk 

factors to consider include location and duration of fluid treatment or storage, 

chemical content and characteristics of the fluid and waste resulting from the 

treatment process, the volume of the fluid stored or treated, type of storage 

structure to be used (i.e. pits, tanks, or modular aboveground storage structures).

Permit processes for the storage of reused or recycled fluids should be streamlined 

and minimized for activities deemed to be of low risk. For example, the temporary 

storage and reuse of fluids on an Operator’s lease might be approved during the 

well permitting process, or by other authorization, while facilities used for long-term 

storage and treatment of fluids may require separate prior authorization by the 
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State.

Reporting requirements should include records of amounts of waste processed 

and, where appropriate, laboratory results for treated waste. See section 5.10.2.3 

for more information on waste tracking requirements. Where appropriate, States 

should require groundwater monitoring consistent with the provisions of Section 

9.2.1.

State regulatory programs should differentiate between centralized and 

commercial wastewater treatment facilities. See Section 5.10 for additional 

information regarding the permitting, construction, operation and closure of these 

facilities. 

State regulatory programs should regulate the waste generated during the 

treatment of fluids in a manner as described in the technical criteria in Section 5. 

Those criteria address waste characterization, waste management hierarchy, pits, 

land application, tanks, and centralized and commercial facilities.

State regulatory programs should include a methodology for the determination of 

whether or not Naturally Occurring Radioactive Material (NORM) is present to the 

extent that it is regulated. See Section 7 for additional information on the 

identification, use, possession, transport, storage, transfer, documentation, and 

disposal of materials containing NORM. 

States should evaluate air emissions at facilities used for the storage and 

treatment facilities of fluids to be reused or recycled and determine whether a 

permit or exemption is required. See Section 10.2.3 for additional information 

regarding air quality permits, authorizations and exemptions.
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SECTION 12 | Recommendations for Future Work

1. Industry, the federal government, state-affiliated academic institutions, and publicinterest groups are encouraged to conduct and support research into effective

ways of minimizing and reusing wastes generated in the nation's oil and gas fields.

2. EPA is urged to continue to support and work with IOGCC, STRONGER, and all

interested parties in advancing the state review process.

3. While these guidelines expressly provide for the protection of air quality, few

specifics are now included in this area. Accordingly, these guidelines will continue

to be reviewed for possible additional air quality recommendations.

4. These guidelines should be updated as state reviews progress and additional

information and experience is gained in their application.

SECTION 13 | References

REFERENCES

Interstate Oil Compact Commission, 1990. EPA/IOCC Study of State Regulation of Oil 

and Gas Exploration and Production Wastes IOCC (Oklahoma City, OK)

Sylvia Lowrance, 1989. Memorandum dated June 9: "Draft Report on Waste 

Management Practices on Alaska's North Slope C Draft for Public Comment." EPA 

Office of Solid Waste and Emergency Response (Washington, D.C.), page 1.

U.S. Environmental Protection Agency, 1987. Report to Congress: "Management of 

Wastes from the Exploration, Development, and Production of Crude Oil, Natural Gas, 

and Geothermal Energy." EPA Office of Solid Waste and Emergency Response 

(Washington, D.C.), December 31.

U.S. Environmental Protection Agency, 1988. "Regulatory Determination for Oil and 

Gas and Geothermal Exploration, Development and Production Wastes." 53 FR, pages 

25446-25459, July 6.

API Environmental Guidance Document, 1989. "Onshore Solid Waste Management in 

Exploration and Production Operations." American Petroleum Institute, 1220 L Street, 

N.W., Washington, D.C.

Lloyd E. Deuel, Jr., Ph.D., "Evaluation of Limiting Constituents Suggested for Land 

Disposal of Exploration and Production Wastes", March 1990.
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U.S. Environmental Protection Agency, 1993. "Clarification" 58 FR 15284-15287, 

March 22, 1993.

Interstate Oil and Gas Compact Commission, 1990. Guidelines for the States: 

Exploration and Production Data Management.

APPENDIX A | Glossary of Terms

The following is a glossary of selected terms used in the Interstate Oil and Gas 

Compact Commission Environmental Guidelines for State Oil and Gas Regulatory 

Programs. The glossary is included only as an aid for the convenience of the reader. It 

is not intended as an exhaustive compilation of the terms used in the Report, nor are 

the definitions set forth intended to be preclusive of other potential meanings. Terms 

expressly defined in the text of the Report are not included in this glossary.

A

Acid: A chemical compound, one element of which is hydrogen, that dissociates in 

solution to produce free-hydrogen ions. For example, hydrochloric acid, HCI, 

dissociates in water to produce hydrogen ions - H+, and chloride ions, CI-.

Ambient Air Quality – The concentration of pollutants present in the portion of the 

atmosphere, external to buildings, to which the general public has access, measured in 

the form of mass of the pollutant per volume of air or as a certain number of parts of the 

pollutant per million (ppm) or per billion (ppb). See generally 40 C.F.R. § 50.1(e).

Aquifer: A geological formation, group of formations, or part of a formation that is 

capable of yielding water to a well or spring.

B

Barrel: A measure of volume for petroleum products. One barrel is equivalent to 42 

U.S. gallons.

Basic Sediment and Water (BS&W): The water and other extraneous material 

present in crude oil.

Biodegradation: The process of breaking down matter into innocuous products by the 

action of living things, such as microorganisms.

Blowdown: The material discarded as a result of depressurizing a vessel or well.
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Brackish Water: Water that contains relatively low concentrations of soluble solids. 

Brackish water has more total dissolved solids than fresh water, but considerably less 

than sea water.

Brine: Water that has a large quantity of salt, especially sodium chloride, dissolved in 

it; salt water and certain produced water are considered brines. 

C

Characteristic Waste: Waste that is considered hazardous under RCRA because it 

exhibits any of four different properties: ignitability, corrosivity, reactivity, and toxicity.

Clean Air Act (CAA): The federal act that regulates air emissions from area, 

stationary, and mobile sources codified at 42 U.S.C. Ch. § 7401 et seq.

Clean Water Act (CWA): The act that sets the basic structure for regulating 

discharges of pollutants to surface waters of the United States. CWA imposes 

contaminant limitations or guidelines for all discharges of wastewater into the nation’s 

waterways.

Climatology: The science that deals with climates (the prevailing influence or 

environmental conditions characterizing a group or period) and their phenomena.

Completion Fluid: A special fluid used when a well is being completed. It is selected, 

not only for its ability to control formation pressure, but also for its properties that 

minimize formation damage.

Completion Operations: Work performed in an oil or gas well after the well has been 

drilled to total depth. This work includes, but is not limited to, setting the casing, 

perforating, artificial stimulation, production testing, and equipping the well for 

production, all prior to the commencement of the actual production of oil or gas in 

paying quantities, or in the case of an injection or service well, prior to when the well is 

plugged and abandoned.

Corrosivity: The characteristic which identifies wastes that are acidic or basic 

(alkaline) and can readily corrode or dissolve flesh, metal, or other materials. The 

hazardous characteristic of corrosivity, for purposes of RCRA, is defined in 40 CFR 

261.22, and generally includes aqueous solutions with a pH less than or equal to 2.0, or 

greater than or equal to 12.5, and/or liquids which corrode SAE 1020 steel at a rate 

greater than or equal to 6.35 mm per year.

Crude Oil: Unrefined liquid petroleum. It ranges in gravity from 9 to 55 API and in 

color from yellow to black, and it may have a paraffin, asphalt, or mixed base. If a crude 

oil, or crude, contains a sizable amount of sulfur or sulfur compounds, it is called a sour 

crude; if it has little or no sulfur, it is called a sweet crude. In addition, crude oils may be 
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referred to as heavy or light according to API gravity, the lighter oils having the higher 

gravities.

D

Delegated Authority – A state’s assumption, after US EPA approval, of partial or 

complete responsibility for administering EPA’s CAA programs.

De-listing: A site-specific petition process whereby a handler can demonstrate to 

EPA that a particular waste stream generated at its facility that meets a listing 

description does not pose sufficient hazard to warrant RCRA regulation. Owners and 

operators can also use the de-listing process for wastes that are hazardous under the 

mixture and derived-from rules that pose minimal hazard to human health and the 

environment.

Derived-from Rule: A rule that regulates residues from the treatment of listed 

hazardous wastes. This rule is found at 40 CFR 261.3.

Disking: The process of using a tractor-pulled set of disks to mix surface soil with 

waste for the purpose of treating and/or disposing of E&P wastes.

Disposal Well: A Class II well permitted under the SDWA which is employed for the 

injection of produced water and certain other E&P wastes into an underground 

formation.

Drill Cutting: The formation rock fragments that are created by the drill bit during the 

drilling process.

Drilling Fluid: The circulating fluid used in the rotary drilling of wells to clean and 

condition the hole and to counterbalance formation pressure. Drilling fluids are 

circulated down the drill pipe and back up the hole between the drill pipe and the walls 

of the hole usually to a surface tank. Drilling fluids are used to lubricate the drill bit, to 

lift cuttings, to seal off porous zones, and to prevent blowouts. A water-based drilling 

fluid is the conventional drilling mud in which water is the continuous phase and the 

suspended medium for solids, whether or not oil is present. An oil-based drilling fluid 

has diesel, crude, or some other oil as its continuous phase, with water as the dispersed 

phase. Synthetic drilling fluid has a synthetic material such as esters or olefins as the 

continuous phase and water as the dispersed phase. In some circumstances air or 

another gas is used as a drilling medium. 

E

Electrical Conductivity (EC): A numerical expression of the ability of a material to 

carry a current; the reciprocal of resistivity; normally expressed in milliohm/meter. It is 

frequently used in soil analysis to evaluate a soil's ability to sustain plant growth.
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Emulsion: A mixture in which a liquid, termed the dispersed phase, is uniformly 

distributed (usually as minute globules) in another liquid, called the continuous phase or 

dispersion medium. In an oil-water emulsion, the oil is the dispersed phase and the 

water the dispersion medium; in a water-oil emulsion, the reverse holds. For example

emulsions occur during production processes where crude oil is prepared for pipeline 

transportation.

Exploration: The search for reservoirs of oil and gas, including aerial and geophysical 

surveys, geological studies, core testing, and the drilling of exploratory wells, also 

known as wildcats.

Exchangeable Sodium Percentage (ESP): The extent to which the absorption 

complex of a soil is occupied by sodium.

ESP = exchangeable sodium x 100

 cation exchange capacity

Where the units for both the numerator and denominator are in milliequivalents per 100 

grams of soil.

F

FAQs – “Frequently Asked Questions” reference document created, updated, and made 

publically available by a state that clarifies issues involving the delineation of 

responsibilities between a state’s air quality program and oil and gas program.

Field: A geographic area in which a number of oil or gas wells produce from a 

continuous reservoir. A field may refer to surface area only or to underground 

productive formations as well. In a single field, there may be several separate 

reservoirs at varying depths.

Formation: A bed or deposit composed throughout substantially the same kinds of 

rock; a lithologic unit. Each different formation is given a name, frequently as a result of 

the study of the formation outcrop at the surface and sometimes based on fossils found 

in the formation, and is sometimes based on electric or other bore-hole log 

characteristics.

Formation Water: The original water in place in a formation at the time production 

commences.

Fracturing: A method of stimulating production by increasing the permeability of the 

producing formation. Under hydraulic pressure, a fluid is pumped down the well and out 

into the formation. The fluid enters the formation and parts or fractures it.
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Fracturing Fluids: The fluids used to hydraulically fracture a rock formation. In some 

cases, a proppant is deposited in the fractures by the fracturing fluid, which is 

subsequently pumped out and recovered.

G

Gas Processing Plant: A plant for the processing of natural gas, by other than solely 

mechanical means, for the extraction of natural gas liquids, and/or the fractionation of 

the liquids into natural gas liquid produces such as ethane, butane, propane, and 

natural gasoline.

Gas Treating Plant: A plant for the purification of natural gas (e.g., the removal of 

water and/or acid gases such as hydrogen sulfide) and recovery of condensate.

Generator: Any person whose act first creates or produces a waste.

Groundwater: Water below the land surface where there is sufficient water present to 

completely saturate the soil or rock.

Groundwater Monitoring: Sampling and analysis of groundwater for the purpose of 

detecting the release on contaminants.

H

Hazardous Waste: A waste with properties that make it dangerous or capable of 

having a harmful effect on human health and the environment. Under the RCRA 

program, hazardous wastes are specifically defined as wastes that meet a particular 

listing description or that exhibit a characteristic of hazardous waste.

Hydrocarbon: Organic compound of hydrogen and carbon, whose densities, boiling 

points, and freezing points increase as their molecular weights increase. Although 

composed of only two elements, hydrocarbons exist in a variety of compounds because

of the strong affinity of the carbon atom for other atoms and for itself. The smallest 

molecules of hydrocarbons are gaseous; the largest are solid.

I

Ignitability (RCRA): The characteristic which identifies wastes that can readily catch 

fire and sustain combustion. The hazardous characteristic of ignitability for purposes of 

RCRA is defined in 40 CFR 261.21 and is generally a liquid with a flash point less than 

140 F., a non-liquid that causes fire under a friction condition, an ignitable compressed 

gas, or is an oxidizer.

L
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Land Disposal:For purposes of RCRA Subtitle C regulation, placement in or on the 

land, except in a corrective action unit, and includes, but is not limited to, placement in a 

landfill, surface impoundment, waste pile, injection well, land treatment facility, salt 

dome formation, salt bed formation. underground mine or cave, or placement in a 

concrete vault or bunker intended for disposal purposes. 

Landfill: For purposes of RCRA Subtitle C, a disposal unit where non-liquid 

hazardous waste is placed in or on the land.

Lease: A legal document executed between a landowner (or a lessor) and a company 

or individual as lessee, that grants the right to exploit the premises for minerals or other 

products. The lease is sometimes referred to as the area where production wells, stock 

tanks, separators, and production equipment are located.

Legally and Practicably Enforceable – All terms or conditions included in a permit 

issued under a federally approved program – including delegated authority – authorizing 

EPA to enforce such terms or conditions. Federally enforceable programs under the 

CAA include, but are not limited to, the New Source Review program, the New Source 

Performance Standards program under Section 111 of the CAA, the Title IV acid rain 

program, the National Emission Standards for Hazardous Air Pollutants program under 

Section 112 of the CAA, the Title V program, and state permit programs approved by 

EPA in the state’s SIP.

Liner: Continuous layer of natural or synthetic materials, beneath and on the sides of a 

surface impoundment, landfill, or landfill cell, which restricts the downward or lateral 

escape of waste, waste constituents, or leachate.

Listed wastes: Wastes that are considered hazardous under RCRA because they meet 

specific listing descriptions.

Loading Criteria: A numeric level, normally expressed in pounds per acre, below 

which a specific chemical compound may be applied to the soil.

Location: Place at which a well is to be or has been drilled.

M

Mixture Rule: A rule that is intended to ensure the regulation of mixture of listed 

wastes with non-hazardous solid wastes. 

Molecular Sieve: Absorbents that are used to remove small amounts of H2S and/or 

water from natural gas, capable of being regenerated.

Municipal Solid Waste: Durable goods (e.g. appliances, tires, batteries), non-durable 

goods (e.g. newspapers, books, magazines), containers and packaging, food wastes, 
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yard trimmings, and miscellaneous organic wastes from residential, commercial and 

industrial non-process sources.

N

National Ambient Air Quality Standards (NAAQS) – Nationwide air quality levels, 

promulgated pursuant to section 109 of the CAA ,42 U.S.C. § 7409, for six criteria 

pollutants – sulfur dioxide, particulate matter, nitrogen oxide, carbon monoxide, ozone, 

and lead – of which a state is responsible for achieving, maintaining, and enforcing 

pursuant to section 110 of the CAA, 42 U.S.C. § 7410, through its approved SIP for 

each given pollutant. 

National Emissions Standards for Hazardous Air Pollutants – Nationally applicable 

standards under section 112(b) the CAA, 42 U.S.C. § 7412(b), for emissions of 

hazardous air pollutants listed under section 112(d) the CAA, 42 U.S.C. § 7412(d), that 

apply to major and area stationary sources as defined under section 112 of the CAA, 42 

U.S.C. § 7412.

Natural Gas: Naturally occurring mixture of hydrocarbon and non-hydrocarbon gases 

found in geologic formations beneath the earth's surface. The principal hydrocarbon 

constituent is methane.

New Source Performance Standards – Nationwide technology-based emissions 

standards for new or modified stationary sources in specified industrial source 

categories promulgated pursuant to section 111 the CAA, 42 U.S.C. § 7411. The 

standards reflect the degree of emission limitation achievable through the application of 

the best system of emission reduction, taking into account the cost of achieving such 

reduction and any health and environmental impact and energy requirements, that EPA 

determines is adequately demonstrated.

O

Operator: The person or company, either proprietor, contractor, or lessee, actually 

operating a well, lease, or disposal facility.

P

Permeability: The ability of a formation to transmit fluids.

pH: A measure of acidity or alkalinity of a solution, numerically equal to 7 for neutral 

solutions, increasing with increasing alkalinity and decreasing with increasing acidity.

Plug and Abandon (P&A or Plugging): The placement into a well of a plug or plugs 

designed to restrict the vertical movement of fluids after abandonment.
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Process Upsets – unintended mode of operation of a unit which could result in 

impaired functionality.

Produced Sand: The formation solids which flow into the wellbore with the produced 

formation fluids. In general, the lower the formation competency, the greater the 

produced sand volumes.

Produced Water: The fluid brought up from the hydrocarbon-bearing strata during the 

extraction of oil or gas. It can include formation water, injection water, and any 

chemicals added downhole or during the oil/water separation process.

Production: The phase of the petroleum industry that deals with bringing the wellfluids to the surface and separating them, and with storing, gauging, and otherwise 

preparing the product for sale.

Q

QA/QC – “Quality Assurance/Quality Control” are criteria and procedures that must 

satisfied to ensure the quality of data and the calibration, repair, and evaluation of air 

quality monitoring instruments.

R

Reactivity: The characteristic identifying wastes that readily explode or undergo violent 

reactions. The hazardous characteristic of reactivity for purposes of RCRA is defined in 

40 CFR 261.23 and generally includes wastes with highly exothermic reactions or 

wastes which create toxic gases when mixed with water. 

Reclaimed: For purposes of defining a material as a solid waste under RCRA Subtitle 

C, a material is reclaimed if it is processed to recover a usable product, or regenerated 

by processing it in a way that restores it to usable condition.

Reclamation: The process of returning a site or contaminated soil to an appropriate 

state of environmental acceptability.

Recycled: For purposes of defining a material as a solid waste under RCRA Subtitle C, 

a material is recycled if it is used or reused, or reclaimed. 

Recycled Fluids: Commonly used to refer to fluids that typically require more 

advanced treatment or processing to reduce the salinity of the fluid prior to reuse in well 

drilling, workover, and completion. 

Reused Fluids: Commonly used to refer to fluids that require only minimal processing 

to remove suspended solids prior to reuse in well drilling, workover, and completion. 
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Recycling: The separation and collection of wastes, their subsequent transformation 

or remanufacture into usable or marketable products or materials, and the purchase of 

products made from recyclable materials.

Reservoir: A subsurface, porous, permeable rock body in which oil or gas or both are 

stored. Most reservoir rocks are limestones, dolomites, sandstones, or a combination of 

these. The three basic types of hydrocarbon reservoirs are oil, gas, and condensate. 

An oil reservoir generally contains three fluids; gas, oil, and water-with-oil, the dominant 

product. In the typical oil reservoir, these fluids occur in different phases because of the 

variance in their gravities. Gas, the lightest, occupies the upper part of the reservoir 

rocks; water, the lower part; and oil, the intermediate section. In addition to occurring as 

a cap or in solution, gas may accumulate independently of the oil; if so, the reservoir is 

called a gas reservoir. Associated with the gas, in most instances, are salt water and 

some oil. In a condensate reservoir, the hydrocarbons may exist as a gas, but when 

brought to the surface, some of the heavier constituents condense to a liquid or 

condensate. At the surface, the hydrocarbons from a condensate reservoir consist of 

gas and a high-gravity crude (i.e., the condensate). Condensate wells are sometimes 

called gas-condensate reservoirs.

S

Safe Drinking Water Act (SDWA): The act designed to protect the nation’s drinking 

water supply by establishing national drinking water standards (maximum contaminant 

levels, (MCL’s), or specific treatment techniques), and by regulating UIC wells.

Salinity: The quantitative level of salt in an aqueous medium.

Salt Section: A formation, or part of a formation, which is predominately made up of 

salt; typically sodium chloride.

Sodium Absorption Ration (SAR): A ratio of the concentration of sodium to the 

square root of the sum of the concentrations of calcium and magnesium.

 Na+ 

SAR= -[Ca+ + Mg2+] 

Where the cation concentrations are in millimoles per liter. It is a measurement 

frequently used in soil analysis to evaluate a soil's ability to sustain plant growth.

Solid Waste: Any garbage; refuse; sludge from a wastewater treatment plant, water 

supply treatment plant, or air pollution control facility; and other discarded material, 

including solid, liquid, semisolid or contained gaseous material resulting from industrial, 

commercial, mining, and agricultural operations and from community activities. For the 

purposes of hazardous waste regulation, a solid waste is a material that is discarded by 

being either abandoned, inherently waste-like, a certain waste military munition, or 

recycled.
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Solids Separation Equipment: Equipment used in drilling and workover/completion 

operations to remove drill cutting or formation solids from the drilling or 

workover/completion fluid. May include liquid/solids separation devices such as shale 

shakers, hydrocyclones, centrifuges, and filtration units. 

SPCC: Spill prevention Control and Countermeasures. Regulations establishing spill 

prevention procedures and equipment requirements for non-transportation related 

facilities with certain above-ground or underground storage capacities (e.g., crude oil 

tanks) that could reasonably be expected to discharge oil into or upon the navigable 

waters of the United States or adjoining shorelines.

Spent Materials: Materials that have been used and can no longer serve the purpose 

for which they were produced without processing.

State Implementation Plan (SIP) – The body of air quality rules including, but not 

limited to, enforceable source-specific emissions limitations, monitoring plans, and 

permit programs established by each state which are designed to either attain or 

maintain the NAAQS and to implement other requirements established by the Clean Air. 

Each state’s SIP must include, at a minimum, the elements prescribed under CAA 

section 110(a)(2), 42 U.S.C. § 7410(a)(2), and must be approved by EPA before it 

becomes effective.

Subtitle C: That portion of the Resource Conservation and Recovery Act (RCRA) 

which defines and legislates the management of hazardous wastes.

Sweetening – The removal of hydrogen sulfide and other organosulfur compounds 

from “sour” natural gas. Natural gas is considered “sour” if it contains hydrogen sulfide 

in amounts greater than 5.7 milligrams per normal cubic meters. 

T

Tank Bottoms: Produced sand, formation solids, and/or emulsions that settle-out in 

production operation process vessels.

Title V Permit Program – A federally mandated operating permit program under the 

CAA that requires implementation by the states. See generally 42 U.S.C. §§ 7661-

7661f; 40 C.F.R. Parts 70 and 71. The Title V permit program applies to: all “major 

sources” as that term is defined in CAA section 501(2), 42 U.S.C. § 7661(2); sources 

subject to a standard or regulation under the NSPS program, 42 U.S.C. § 7411, or the 

NESHAP program, 42 U.S.C. § 7412; “affected” sources under the Acid Rain Program; 

sources required to have a PSD or NSR permit; and any other sources as designated 

by EPA. See 40 C.F.R. § 70.3 (applicability of Title V program). Title V permits 

consolidate all of these applicable CAA requirements into one legally enforceable 

document.
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Topography: The physical features of a district or region, such as are represented on 

maps, taken collectively; especially the relief and contour of the land.

Toxicity: The characteristic which identifies wastes that are likely to leak dangerous 

concentrations of toxic chemicals into groundwater. The hazardous characteristic of 

toxicity for purposes of RCRA is defined in 40 CFR 261.24 and includes eight metal and 

thirty-one organic compounds. The toxicity characteristic is determined in accordance 

with a prescribed test procedure (the toxicity characteristic leaching procedure -TCLP).

Toxicity Characteristic Leaching Procedure (TCLP): A lab procedure designed to 

predict whether a particular waste is likely to leach chemicals into groundwater at 

dangerous levels.

Transporter:A person engaged in the off-site transportation of waste. 

Treatment: Any method, technique, or process designed to physically, chemically, or 

biologically change the nature of a hazardous waste.

Treatment, Storage and Disposal Facilities: Facilities engaged in the treatment, 

storage, or disposal of hazardous waste. These facilities are the last link in the cradleto-grave hazardous waste management system.

U

Underground Source of Drinking Water (USDW): An aquifer which supplies drinking 

water for human consumption or for any public water system, or contains fewer than 

10,000 mg per liter total dissolved solids, and does not contain minerals or 

hydrocarbons that are commercially producible, and is situated at a depth or location 

which makes the recovery of water for drinking water purposes economically or 

technologically practical. While EPA defines an USDW as containing less than 10,000 

mg per liter TDS, certain states, such as California and Texas, have adopted a 3,000 

mg per liter TDS definition for the Class II UIC injection well programs.

Universal Wastes: Commonly referred to as recycled wastes with special 

management provisions intended to facilitate recycling. There are three categories of 

universal wastes; hazardous waste batteries; hazardous waste pesticides that have 

been recalled or collected in waste pesticide collection programs; and hazardous waste 

thermostats.

Used Oil: Any oil that has been refined from crude or synthetic oil that has been used, 

and as a result of such use, is contaminated by physical or chemical impurities.

V

Vadose Zone: A subsurface soil zone that contains suspended water. The vadose 

zone is above the zone of continuous water saturation.
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W

Waste Minimization: The reduction, to the extent feasible, in the amount of waste 

generated prior to any treatment, storage, or disposal of the waste. Because waste 

minimization efforts eliminate waste before it is generated, disposal costs may be 

reduced, and the impact on the environment may be lessened.

Waterflood: A method used to enhance oil recovery in which water is injected into a 

reservoir to remove additional quantities of oil that have been left behind after the 

primary recovery. Usually, a waterflood involves the injection of water into strategically 

placed wells so that it sweeps through the reservoir and moves remaining oil to the 

producing wells.

Workover: One or more of a variety of remedial operations performed on a producing 

well to try to increase production. Examples of workover operations are deepening, 

plugging back, pulling and resetting the liner, squeeze-cementing, perforating additional 

horizons, etc.

Workover Fluid: A special fluid used to keep a well under control when it is being 

worked over. A workover fluid is composed carefully so it will not cause formation 

damage. Also used to stimulate a well to enhance productive capacity such as a frac 

fluid, acid, etc.

Workover Wastes: Wastes resulting from well workover operations. The wastes 

usually include workover fluids, similar to drilling fluids and could include various small 

volume wastes such as tubing scale, wax/paraffin, and cleaning or painting wastes.