1、Designation: E 2365 05Standard Guide forEnvironmental Compliance Performance Assessment1This standard is issued under the fixed designation E 2365; the number immediately following the designation indicates the year oforiginal adoption or, in the case of revision, the year of last revision. A number
2、 in parentheses indicates the year of last reapproval. Asuperscript epsilon (e) indicates an editorial change since the last revision or reapproval.INTRODUCTIONThis guide provides a framework for the development of an environmental compliance assessmentprogram. It integrates environmental compliance
3、, environmental risk classification and business riskmanagement for use in decision-making. It provides a flexible, technically defensible framework toprioritize environmental compliance and associated pollution prevention, with a wide applicability toa range of facilities and environmental pathways
4、. The facilities that may find an environmentalcompliance performance assessment program useful and appropriate are domestic establishments thatperform work for consumers, business, government and other organizations. These include public andcommercial establishments, but they generally exclude indi
5、vidual households. This guide may not beappropriate where a primary manufacturing facility has already implemented a site-specific environ-mental management system (EMS). This guide could be used as a tool in conjunction with an EMS,to evaluate compliance and pollution prevention.1. Scope1.1 Overvie
6、wThis guide is an organized collection ofinformation and series of options for industry, regulators,auditors, consultants and the public, intended to measurecompliance with environmental performance standards againstestablished benchmarks. It focuses on compliance with air,water, waste prevention, w
7、aste management, and toxic reduc-tion standards for facilities in the United States. While theguide does not recommend a specific course of action, itestablishes a tiered framework of essential components, begin-ning with those standards where a deviation presents thegreatest potential public health
8、, environmental, and businessrisks. In each identified pathway, at each tier or step ofanalysis, the guide outlines ways to identify complianceoptions and reduce pollution in iterative steps. The goal inusing the guide is to lower environmental, public health andbusiness risks from Tiers 1 and 2 to
9、Tiers 3 and 4, by evaluatingthe performance standards described in this guide. While thisguide provides a simplified framework of explicit steps forusers, a qualified professional should conduct detailed, site-specific risk analysis. This guide may act as a starting point fororganizations with limit
10、ed experience in systematic environ-mental assessment. As facilities develop their specific planframework, they will find that risk is weighted by more thanjust a few parameters. For each facility risk is the complexinteraction among location, size, history, surrounding commu-nity and ecological zon
11、es.1.2 Differences Among StandardsThis guide focuses oncompliance with environmental performance standards in theUnited States. As such it includes a unique, risk-based methodto analyze specific groups of legal requirements, as well as riskreduction techniques, sometimes called “pollution prevention
12、.”1.2.1 Use of this guide provides a system to evaluate therelative priority of compliance and pollution prevention activi-ties. Unlike environmental management systems, it provides aframework to triage critical issues, based on consideration ofactual risk of harm to public health and the environmen
13、t.1.2.2 Environmental regulatory requirements in the UnitedStates are administered primarily by the United States Envi-ronmental Protection Agency (USEPA) and the parallel Stateand Local Agencies with similar regulatory authority. Certainother Federal regulatory agencies and State and local counterp
14、arts may also have legal requirements relating to environmen-tal performance standards. Examples include the Departmentsof Transportation (DOT) and Agriculture (USDA) and theOccupational Safety and Health Administration (OSHA). Un-like certain international standards, this guide uses the majorgroups
15、 of environmental regulatory standards in the UnitedStates for air and water quality, waste management, releaseprevention, and toxic materials use reduction, in order toorganize the compliance analysis framework.1.2.3 This guide derives general information about regula-tory requirements from common
16、elements of Federal, State andlocal programs, including statutes, regulations, guidance and1This guide is under the jurisdiction ofASTM Committee E50 on EnvironmentalAssessment and is the direct responsibility of Subcommittee E50.05 on Environ-mental Risk Management.Current edition approved Oct. 1,
17、2005. Published November 2005.1Copyright ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959, United States.policies. Since agencies may have overlapping authorities anddifferent emphasis for particular issues such as waste manage-ment, the user should consult th
18、e applicable program fordetailed interpretation of specific requirements in a particularjurisdiction.1.2.4 Pollution prevention is a specific term used in UnitedStates environmental compliance management programs. Theterm usually refers to source reduction actions. Unlike the term“prevention of poll
19、ution,” which is used in certain internationalenvironmental management standards, pollution preventiondoes not generally include end-of-pipe or top-of-stack controlactions.1.3 Limitations of this GuideGiven the variability of thedifferent types of facilities that may wish to use this guide, andthe e
20、xistence of State and Local regulations that may imposerequirements greater than those required by USEPA, it is notpossible to address all the relevant standards that might applyto a particular facility. This guide uses generalized languageand examples to guide the user. If it is not clear to the us
21、er howto apply standards to their specific circumstances, it is recom-mended that users seek assistance from qualified professionals.An Environmental Regulatory Compliance Audit, such asPractice E 2107, may assist a facility with areas of non-compliance and potential liabilities. This can be a start
22、ing pointfor development of facility specific environmental compliancemanagement programs.2. Referenced Documents2.1 ASTM Standards:2E 1526 Practice for Evaluating the Performance of ReleaseDetection Systems for Underground Storage Tank SystemsE 1609 Guide for Development and Implementation of aPoll
23、ution Prevention ProgramE 1990 Guide for Evaluation of Underground Storage TankSystems for Operational Conformance with 40 CFR Part280 RegulationsE 2107 Practice for Environmental Regulatory ComplianceAuditsF 1127 Guide for Containment by Emergency ResponsePersonnel of Hazardous Material Spill2.2 In
24、ternational Standard:ISO 14001:1996 Environmental Management SystemsSpecification with Guidance for Use33. Terminology3.1 Definitions:3.1.1 accumulationshort term containment of a hazardouswaste in the control of the person who generated such waste ina manner which does not constitute disposal, whic
25、h is incontainers at or near the point of generation in the process, andwhich otherwise complies with Federal Regulations.3.1.2 airthe natural, gaseous environmental medium con-tained in the troposphere that is shared in common and used forseveral purposes including breathing, cooling, combustion an
26、das a sink for pollutants. The quality of this pathway is regulatedthrough restrictions on emissions, controls and monitoring.Many programs require best or maximum available controltechnologies to restrict air emissions.3.1.3 approvalany required license, permit, certificate,formal determination, re
27、gistration, plan review, variance, ex-emption or other authorization. Regulatory agencies typicallyrequire such authorization to address releases, discharges, ordisposal of material and certain business practices and activi-ties.3.1.4 beneficial uses of waterextraction or in place use ofwater for do
28、mestic purposes (for example, drinking, bathing,boating or fishing), or commercial, agricultural, or industrialpurposes which will not harm public health or the environment.3.1.5 best management practices (BMPs)schedules ofactivities, prohibitions of practices, maintenance procedures,and other manag
29、ement practices that prevent or reduce thepollution of water. They include treatment goals, operatingprocedures, and practices to control plant site runoff, spillage,or leaks, of sludge, waste disposal, or drainage from rawmaterial storage.3.1.6 CARBthe California Air Resources Board is anorganizati
30、on that creates some state air quality standards, suchas those which regulate petroleum storage tanks. These stan-dards may or may not legally apply, depending upon thejurisdiction. The standards are useful in addressing manypollution prevention issues, especially in motor vehicle fueldispensing.3.1
31、.7 cargo tank motor vehicleas used in this standard,atruck that carries gasoline or other volatile hydrocarbon fuels inbulk, for delivery to dispensing stations.3.1.8 compliance assessmentan evaluation of environ-mental regulatory requirements. The evaluation identifies andclassifies requirements ap
32、plicable to the individual facility,group of facilities or industry sector.3.1.9 criteria air pollutantsa group of very common airpollutants regulated by EPA on the basis of criteria (informa-tion on health or environmental effects of pollution, or both).Criteria air pollutants are widely distribute
33、d all over thecountry. The six current criteria pollutants are Sulfur Dioxide(SO2), Nitrogen Dioxide (NO2), Ozone (O3), Carbon Monox-ide (CO), Particulate Matter (PM10) and Lead (Pb).3.1.10 entitya facility with regulatory requirements orpotential requirements. The facility has a specific geographic
34、location and owners and operators who may be public orprivate.3.1.11 environmental compliance benchmarksindustryspecific performance standards, which measure attainment ofpollution control and prevention requirements.3.1.12 environmental management system (EMS)an Envi-ronmental Management System (EM
35、S) is a framework thathelps a company achieve its environmental goals throughconsistent control of its operations. The assumption is that thisincreased control will improve the environmental performanceof the company.2For referenced ASTM standards, visit the ASTM website, www.astm.org, orcontact AST
36、M Customer Service at serviceastm.org. For Annual Book of ASTMStandards volume information, refer to the standards Document Summary page onthe ASTM website.3Available from American National Standards Institute (ANSI), 25 W. 43rd St.,4th Floor, New York, NY 10036.E23650523.1.13 environmental performa
37、nce standardsregulatoryrequirements, which, if violated, may result in enforcement bya regulatory agency.3.1.14 facilitya location or building where regulated ac-tivity occurs.3.1.15 hazardous air pollutants (HAPs)EPA definition ofcertain chemical emissions regulated by the Federal Govern-ment.3.1.1
38、6 hazardous substanceany material in whateverform which because of its quantity, concentration, or physical,chemical, infectious or radioactive characteristics, either sepa-rately or in combination with any substance or substances,constitutes a present or potential threat to human health, safety,wel
39、fare or to the environment when improperly stored, treated,transported, disposed of, used or otherwise managed. Note thatthis term is further defined as a hazardous substance pursuantto CERCLA (42 USC 9601(14), as interpreted by EPAregulations and the courts, and does not include petroleum.3.1.17 ha
40、zardous wasteany discarded material, not ex-empted under Federal Regulations, which because of itsquantity, concentration, or physical, chemical or infectiouscharacteristics may cause or significantly contribute to anincrease in serious irreversible or incapacitating reversibleillness or pose a subs
41、tantial present or potential hazard tohuman health, safety, welfare or the environment when im-properly treated, stored, transported, used, disposed of orotherwise managed. This definition varies from one jurisdic-tion to another and may or may not include waste petroleum.3.1.18 high priority violat
42、ioncontravention of a regula-tory limitation, which, by its nature, concentration, extent orduration, warrants formal enforcement.3.1.19 mediaenvironmental pathways or locationsthrough which pollution can travel or accumulate, or both. Forexample, air, water, or soil.3.1.20 pollution prevention “P2”
43、the act of reducing oreliminating the use, release, or generation of a pollutant orpotential pollutant through source reduction, recycling, reuse,reclamation, or modification of operating practices. It shouldbe noted that ASTMs definition of “pollution prevention,” ascontained in Guide E 1609, is di
44、fferent from the definition usedby the Environmental Protection Agency. See, for example, 58Fed. Reg. 6478 (Jan 29, 1993, Council on EnvironmentalQuality), and 58 Fed. Reg.41,981 (Aug. 6, 1993, ExecutiveOrder).3.1.21 release preventionactivities that reduce the risk ofhuman and environmental exposur
45、e to petroleum or hazardoussubstances. In the United States, underground storage tank(UST) and toxic materials use reduction regulations are ex-amples of such requirements.3.1.22 reportable quantity releasesthe concentration oramount of oil or hazardous materials, in or released to soil,groundwater,
46、 air or surface water which requires notification tothe local, state or federal authority.3.1.23 self-certificationa program designed for facilitiesto comply with a set of environmental performance standardsin lieu of permitting or other direct approval. Certification isreviewed and can be renewed a
47、nnually based on the results ofreports from and multimedia inspections of the facility3.1.24 service facilitiesdomestic establishments that per-form work for consumers, businesses, governments, and otherorganizations. These include public and commercial establish-ments doing business, but excluding
48、manufacturing and indi-vidual households.3.1.25 significant noncompliancecontravention of a regu-latory limitation on facility operations, which, by its nature,concentration, extent or duration, warrants enforcement.3.1.26 small businessthe federal government definessmall businesses as facilities th
49、at have less than 100 full timeequivalent employees. Some states define small businesses asfacilities that have less than 10 full-time equivalent employees.3.1.27 storagethe containment of hazardous waste for atemporary period in a manner which does not constitutedisposal, at the end of which period, the hazardous waste willbe used, treated, disposed of, transported or stored elsewhere.3.1.28 toxic air contaminantsEPA has defined hazardousair pollutants (see 3.1.15) as chemicals that can cause serioushealth or environmental hazards. Various state progr
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