Environmental and Health & Safety Management - A Guide to Compliance

ENVIRONMENTAL AND HEALTH &

SAFETY MANAGEMENT A Guide to Compliance

Nicholas P. Cheremisinoff, Ph.D. Madelyn L. Graffa

National Association of Safety & Health Professionals

NOYES PUBLICATIONS Park Ridge, New Jersey, U.S.A.

Copyright 0 1995 by Nicholas P. Chermisinoff and Madelyn L Graffia No part of this book may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying, recording or by any information storage and retrieval system, without permission in writing from the Publisher.

Library of Congress Catalog Card Number: 95-24875

Printed in the United States ISBN 0-8155-1390-9

Published in the United States of America by Noyes Publications Mill Road, Park Ridge, New Jersey 07656

10 9 8 7 6 5 4 3 2 1

Library of Congress Cataloging-in-Publication Data

Cheremisinoff, Nicholas P. Ehvironmental and health & safety management : a guide to

compliance / by Nicholas P. Cheremisinoff and Madelyn L. Cnaffia. p. an.

Includes index.

1. Environmental law--United States. 2 Industrial safety--Law ISBN 0-8155-1390-9

and legislation--United States. 3. Industrial hygiene-law and legislation--United States. I. Graffia, Madelyn, 1962- II. Title KF3775C47 1995 344.73'046--&20 [347.30446] 95-24875

CIP

To the best of our knowledge the information in this publication is accurate; however, the Publisher does not assume any responsibility or liability for the accuracy or completeness of, or consequences arising from, such information. This book is intended for informational purposes only. Mention of trade names or commercial products does not constitute endorsement or recommendation for use by the Publisher. Final determination of the suitability of any information or product for use contemplated by any user, and the manner of that use, is the sole responsibility of the user. We recommend that anyone in- tending to rely on any recommendation of materials or procedures mentioned in this publication should satisfy himself as to such suitability, and that he can meet all applicable safety and health standards.

... Vll l

PREFACE

This volume has been prepared for the Environmental and Health & Safety Manager. The EH&S manager is a new breed of corporate professionals that are faced with the responsibility of handling both environmental policy/issues and occupational safety issues within organizations. Throughout the 1980s there was a proliferation of health and safety departments, environmental compliance personnel, and technical people associated with handling pollution control and waste management. American industry has been over the last several years contracting and downsizing their operations. In doing so, many corporations, large and small, are demanding greater responsibilities be delegated to middle and line function management. In this regard, many corporations today are moving towards a single management entity, the EH&S manager, who’s responsibilities require extensive knowledge of both the environmental statutes and OSHA standards.

This desk reference has been written as a compliance source for the EH&S manager. The authors prefer to call the EH&S manager an Occupational Safety Professional and use this designation interchangeably throughout the text. This individual, as stated above, has a dual responsibility that requires both technical and managerial skills in two arenas. In this regard, this book provides the working professional a reference on both the environmental regulations and industry safety standards. Additionally, it covers management practices for on-site hazard materials handling operations and constitutes an important reference for establishing hazard communication and training programs for employees.

Nicholas P. Cheremisinoff Madelyn L. Graffia

vii

CONTENTS

1 . MANAGING THE ENVIRONMENTAL REGULATIONS AND SAFETY . . . . . . . . . . . . . . . . . . . . 1

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 Managing Federal Regulations and Toxic Substances . . . . 3

Occupational Safety Issues . . . . . . . . . . . . . . . . . . . . . . . 4 Environmental Protection Issues . . . . . . . . . . . . . . . . . . . 7 Regulations Affecting Chemical Manufacturing

andUse . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 Transportation of Hazardous Materials . . . . . . . . . . . . . . 13 Cleanup of Hazardous Wastes . . . . . . . . . . . . . . . . . . . 14

The Need for Compliance . . . . . . . . . . . . . . . . . . . . . . . 15

2 . MANAGING FACILITIES. DUE DILIGENCE AND FACILITY TRANSFERS . . . . . . . . . . . . . . . . . . . . . . . . . 31

Regulatory Overview . . . . . . . . . . . . . . . . . . . . . . . . . . 31 Principle Federal Regulations . . . . . . . . . . . . . . . . . . . . 31 Objectives of Property Transaction-Environmental

Site Assessments . . . . . . . . . . . . . . . . . . . . . . . . . . . 33 Laws Directly Affecting Property Transfers . . . . . . . . . . 34

What is CERCLA. SARA. Superfund? . . . . . . . . . . . . . 35 Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35

Comprehensive Environmental Response. Compensation. State Superfund . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36

and Liability Act . . . . . . . . . . . . . . . . . . . . . . . . . . . 36

ix

x Contents

Notification Requirements . . . . . . . . . . . . . . . . . . . . . . 38 What Happens if There is a Release? . . . . . . . . . . . . . . . 38 What About Cleanup? . . . . . . . . . . . . . . . . . . . . . . . . . 39 What Are Removal and Remedial Actions? . . . . . . . . . . 40 What is Remedial Action? . . . . . . . . . . . . . . . . . . . . . . 40 What Do Site Evaluation. Remedial Action Selection.

and Cleanup Standards Mean? . . . . . . . . . . . . . . . . . . 41 Where Does the Term "Superfund" Come From? . . . . . . 43 Who Are Responsible Parties and What Are Their

Liabilities? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44 What Are the Liabilities . . . . . . . . . . . . . . . . . . . . . . . 45 Lender Liability and the Security Interest

Exemption . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46 . . . . . . . . . . . . . . . . . . . . . . 47

What Are Defenses Against Liabilities? . . . . . . . . . . . . . 50

Laws . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51

. . . 51 New York State Toxic Cleanup Law . . . . . . . . . . . . . . . 53

The (New Jersey) Industrial Site Recovery Act . . . . . . . . 59 Summary of Federal Regulations . . . . . . . . . . . . . . . . . . 67

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67 SARA Title 111 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67

. . . . . . . . . . . 70

The Lender Liability Rule

State "Superfund" Programs and Property Transfer

The New Jersey Spill Compensation and Control Act

The 'Super Lien" Laws . . . . . . . . . . . . . . . . . . . . . . . . 55

The Resource Conservation Recovery Act A Comparison of RCRA and CERCLA . . . . . . . . . . . . . 71 Underground Storage Tanks . . . . . . . . . . . . . . . . . . . . . 72 Liability and Enforcement Actions Under RCRA

Act) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76 NPDES Permit for Storm Water Discharges . . . . . . . . . . 78

. . . . . . 75 Clean Water Act (Federal Water Pollution Control

Industrial Storm Water Dischargers . . . . . . . . . . . . . . . . 80 Industry-Specific Minimum National Effluent

Standards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80 . . . . . . . . . 81

. . . . . 81

Publicly-Owned Treatment Works (POTWs)

ment Standards for Industrial Users of POTWs) Asbestos Regulations . . . . . . . . . . . . . . . . . . . . . . . . . 82

Setting) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87

Requirements for Indirect Discharges (National Pretreat-

Federal Regulations Controlling Asbestos (Non-School

Contents xi

Polychlorinated Biphenyls (PCBs) . . . . . . . . . . . . . . . . 89 EPA’s PCB Regulations . . . . . . . . . . . . . . . . . . . . . . . . 89 Radon . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89 Toxic Substances Control Act . . . . . . . . . . . . . . . . . . . 91 Federal Insecticide. Fungicide. and Rodenticide Act . . . . 92 Safe Drinking Water Act . . . . . . . . . . . . . . . . . . . . . . . 92 Federal Clean Air Act . . . . . . . . . . . . . . . . . . . . . . . . . 93 National Ambient Air Quality Standards . . . . . . . . . . . . 93

The Importance of Due Diligence Audits . . . . . . . . . . . . 95 Consultant Issues and Stafing Considerations . . . . . . . 105

General Staffing Considerations . . . . . . . . . . . . . . . . . 105 Aspects of Cost and Cost Control . . . . . . . . . . . . . . . . 109 Affect of Audit Types on Staffing Requirements . . . . . . 110 Contracting Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . 114

Consultant Liabilities . . . . . . . . . . . . . . . . . . . . . . . . . 124 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 124 Proposals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 124 Elements of the Contract . . . . . . . . . . . . . . . . . . . . . . 125 Contract Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126 Report Preparation . . . . . . . . . . . . . . . . . . . . . . . . . . 127 Third Party Use Disclaimers . . . . . . . . . . . . . . . . . . . . 128 Contract Terminology . . . . . . . . . . . . . . . . . . . . . . . . 128 Hold Harmless and Indemnity Provisions . . . . . . . . . . . 129 Warranties and Guarantees . . . . . . . . . . . . . . . . . . . . . 129 Insurance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 130 Liability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 130 Damages . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 130 Exposure to Client and Third Party Claims . . . . . . . . . 131 Liability for Breach of Contract . . . . . . . . . . . . . . . . . 131 Liability for Breach of Warranty and Fraud . . . . . . . . . 131 Liability for Negligent Acts or Omissions . . . . . . . . . . 132 Liability for Willful Misconduct . . . . . . . . . . . . . . . . . 132 Extent of a Consultant’s Duty . . . . . . . . . . . . . . . . . . . 132 Defining the Duty . . . . . . . . . . . . . . . . . . . . . . . . . . . 133 Liability for Breach of Duty . . . . . . . . . . . . . . . . . . . . 133 Contract Negotiations . . . . . . . . . . . . . . . . . . . . . . . . 133

Insurance Industry’s Liability Issues . . . . . . . . . . . . . . 134 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 134 Insurance Coverage Litigation . . . . . . . . . . . . . . . . . . 135 Insurance Coverage Issues . . . . . . . . . . . . . . . . . . . . . 136 Pollution Exclusion . . . . . . . . . . . . . . . . . . . . . . . . . . 136

xii Contents

Expected and Intended Damages . . . . . . . . . . . . . . . . . 138 Trigger of Coverage . . . . . . . . . . . . . . . . . . . . . . . . . 139 Covered Damages . . . . . . . . . . . . . . . . . . . . . . . . . . . 141 Duty to Defend . . . . . . . . . . . . . . . . . . . . . . . . . . . . 142 Multiple Occurrences . . . . . . . . . . . . . . . . . . . . . . . . 143 Care. Custody and Control Exclusion . . . . . . . . . . . . . 144

3 . THE CHEMISTRY OF HAZARDOUS MATERIALS . . . 145 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 145 Chemical Properties and Characteristics . . . . . . . . . . . 145 Corrosive Chemicals . . . . . . . . . . . . . . . . . . . . . . . . . . 152 Properties of Organic Chemicals . . . . . . . . . . . . . . . . . 156 Flammables and the Chemistry of Fires . . . . . . . . . . . . 162 Water Reactive Chemicals . . . . . . . . . . . . . . . . . . . . . . 169

Substances That Produce Alkaline Aqueous Solutions . . 171 Substances That Produce Acidic Aqueous Solutions . . . 171

Oxidation/Reduction Reactions . . . . . . . . . . . . . . . . . . 172 Poisons . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 173 Chemical Compatibility . . . . . . . . . . . . . . . . . . . . . . . 175 Closure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 177

4 . SAFETY MANAGEMENT PRACTICES FOR LABORATORIES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183 Review of Hazardous Materials Properties . . . . . . . . . . 184

Flammability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 189 Reactivity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 191 Flammable Solvents . . . . . . . . . . . . . . . . . . . . . . . . . 191

Purchasing and Receiving Chemicals . . . . . . . . . . . . . . 192 Inventory and Control . . . . . . . . . . . . . . . . . . . . . . . . 196 Container Requirements . . . . . . . . . . . . . . . . . . . . . . . 200 Separation. Segregation and Isolation . . . . . . . . . . . . . 204 Safe Storage Methods . . . . . . . . . . . . . . . . . . . . . . . . 204 Housekeeping and Hazard Control . . . . . . . . . . . . . . . 207 Ventilation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 208 Hazard Warning Labels . . . . . . . . . . . . . . . . . . . . . . . 208

Safe Handling Practices . . . . . . . . . . . . . . . . . . . . . . . 209 General Safety Precautions . . . . . . . . . . . . . . . . . . . . . 209

Responding to Spills . . . . . . . . . . . . . . . . . . . . . . . . . . 210 Contingency Plans . . . . . . . . . . . . . . . . . . . . . . . . . . . 212

Personal Protection Equipment . . . . . . . . . . . . . . . . . . 214

Contents xiii

Handling Wastes . . . . . . . . . . . . . . . . . . . . . . . . . . . . 216

5 . RESOURCE CONSERVATION AND RECOVERY ACT AND WASTE ANALYSIS PLANS . . . . . . . . . . . . . . . . . 219

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 219 Hazardous Waste Classification . . . . . . . . . . . . . . . . . . 220

Ignitability-EPA Hazardous Waste Number DO01 . . . . 221 Corrosivity-EPA Hazardous Waste Number DO02 . . . . 221 Reactivity-EPA Hazardous Waste Number DO03 . . . . 222 EP Toxicity-EPA Hazardous Waste Numbers D004-

DO17 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 222 Hazardous Waste Generators . . . . . . . . . . . . . . . . . . . 225 Waste Accumulation . . . . . . . . . . . . . . . . . . . . . . . . . . 227 RCRA Regulations Pertaining to Laboratories . . . . . . . 229 Waste Determinations . . . . . . . . . . . . . . . . . . . . . . . . . 231 The Waste Analysis Plan . . . . . . . . . . . . . . . . . . . . . . 235

. . . . . . . . . . . . . . . . . . . 6 . HAZARD COMMUNICATION 239 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 239 Summary of the Right-to-Know Law . . . . . . . . . . . . . 240 Listing of Hazardous Chemicals . . . . . . . . . . . . . . . . . 241 Labeling Requirements . . . . . . . . . . . . . . . . . . . . . . . . 242 Training Workers . . . . . . . . . . . . . . . . . . . . . . . . . . . . 242

Elements of Right-to-Know Training . . . . . . . . . . . . . 243 Labels and Labeling . . . . . . . . . . . . . . . . . . . . . . . . . . 245

Trade Secrets and Labels . . . . . . . . . . . . . . . . . . . . . . 246 What the Label Should Look Like . . . . . . . . . . . . . . . 247 When Must Containers be Labeled? . . . . . . . . . . . . . . 247

Containers That Do Not Need to be Labeled . . . . . . . . 248 Products and Substances That Do Not Require

Special Circumstances . . . . . . . . . . . . . . . . . . . . . . . . 247

Additional Labeling . . . . . . . . . . . . . . . . . . . . . . . . 249 Understanding Hazardous Substance Fact Sheets . . . . . 251 OSHA 200 Log of Injuries and Illnesses . . . . . . . . . . . 253 Forms of the Chemical . . . . . . . . . . . . . . . . . . . . . . . . 253 Signs and Symptoms of Occupational Hazards . . . . . . 254

Common Methods Used to Recognize. Measure. Evaluate. and Control Employee Exposure to Hazardous Substances . . . . . . . . . . . . . . . . . . . . . . 256

Evaluation of Hazard Seriousness . . . . . . . . . . . . . . . . 257 Toxicology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 258

xiv Contents

Dose-Response Relationships . . . . . . . . . . . . . . . . . . 258 Chemical Safety for General Service Workers

Measurement and Evaluation of Exposure . . . . . . . . . . 266 Industrial Hygiene Monitoring . . . . . . . . . . . . . . . . . . 266 Air Samples . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 266 Other Sampling Methods . . . . . . . . . . . . . . . . . . . . . . 267 Sampling Devices . . . . . . . . . . . . . . . . . . . . . . . . . . . 267 Planning Sampling . . . . . . . . . . . . . . . . . . . . . . . . . . 268

. . . . . . . 260

Laboratories and Analytical Methods . . . . . . . . . . . . . 268 Interpretation of Industrial Hygiene Monitoring . . . . . . 269

Prevention and Control of Exposure . . . . . . . . . . . . . . 273 What is Substitution? . . . . . . . . . . . . . . . . . . . . . . . . 273 What is Isolation? . . . . . . . . . . . . . . . . . . . . . . . . . . . 274

Ventilation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 274 Calculating Dilution Airflow . . . . . . . . . . . . . . . . . . . 278

Administrative Measures . . . . . . . . . . . . . . . . . . . . . . 278 Job Rotation vs . Frequent Breaks . . . . . . . . . . . . . . . . 278

Radiation Hazards . . . . . . . . . . . . . . . . . . . . . . . . . . . 279

7 . PROCESS TECHNOLOGY SAFETY AND HAZARD ANALYSIS . . . . . . . . . . . . . . . . . . . . . . . . . . 283

Process Safety Information . . . . . . . . . . . . . . . . . . . . . 283 Hazards of Chemicals . . . . . . . . . . . . . . . . . . . . . . . . . 284 Process Technology . . . . . . . . . . . . . . . . . . . . . . . . . . . 289 Process Equipment . . . . . . . . . . . . . . . . . . . . . . . . . . . 292 Recordkeeping . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 297 Process Hazard Analysis . . . . . . . . . . . . . . . . . . . . . . . 298

Types of Analyses . . . . . . . . . . . . . . . . . . . . . . . . . . 299 Analysis Teams . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 302 Conducting A Process Hazard Analysis . . . . . . . . . . . . 303 Analysis Findings . . . . . . . . . . . . . . . . . . . . . . . . . . . . 304 Training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 306 Pre-Startup Safety Reviews . . . . . . . . . . . . . . . . . . . . 307 Hazard Evaluation Techniques . . . . . . . . . . . . . . . . . . 308

The Need for Hazard Evaluation . . . . . . . . . . . . . . . . . 310 Safety Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 314 Checklist Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . 316 Relative Ranking . . . . . . . . . . . . . . . . . . . . . . . . . . . 318 Preliminary Hazard Analysis . . . . . . . . . . . . . . . . . . . 320 What-If Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . 321 What-If/Checklist Analysis . . . . . . . . . . . . . . . . . . . . 322

Contents xv

Hazard and Operability Study . . . . . . . . . . . . . . . . . . . 323 Failure Modes and Effects Analysis . . . . . . . . . . . . . . 326 Fault Tree Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . 329 Event Tree Analysis . . . . . . . . . . . . . . . . . . . . . . . . . 330 Cause-Consequence Analysis . . . . . . . . . . . . . . . . . . . 331 Human Reliability Analysis . . . . . . . . . . . . . . . . . . . . 331 Technique Selection . . . . . . . . . . . . . . . . . . . . . . . . . 332

8 . HAZARDOUS WASTE TRANSPORTATION . . . . . . . . 337 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 337 The Regulations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 337 Transporter Requirements . . . . . . . . . . . . . . . . . . . . . 340 Enforcement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 345 Hazardous Waste Regulations . . . . . . . . . . . . . . . . . . . 345 TSD Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . 349 Transportation of Hazardous Waste Samples . . . . . . . . 350 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 351

9 . TREATMENT. DISPOSAL AND WASTE MINIMIZA- TION MANAGEMENT PRACTICES . . . . . . . . . . . . . . 353

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 353 Regulatory Framework . . . . . . . . . . . . . . . . . . . . . . . . 353 Waste Minimization and Onsite Treatment . . . . . . . . . 355 Commercial Facilities . . . . . . . . . . . . . . . . . . . . . . . . . 357 Waste Minimization Practices . . . . . . . . . . . . . . . . . . . 360 Waste Storage Practices . . . . . . . . . . . . . . . . . . . . . . . 367

10 . MANAGING UNDERGROUND STORAGE TANKS . . . 369 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 369 Measure to PreventDetect Releases . . . . . . . . . . . . . . . 371 General Operating Requirements . . . . . . . . . . . . . . . . 372 Responses to Leaks or Spills . . . . . . . . . . . . . . . . . . . . 373 Closure and Postclosure Requirements . . . . . . . . . . . . 373

11 . FEDERAL INSECTICIDE. FUNGICIDE AND RODENTICIDE ACT . . . . . . . . . . . . . . . . . . . . . . . . . . 387

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 387 Pesticide Registration . . . . . . . . . . . . . . . . . . . . . . . . . 388 Use of Restricted Use Pesticides . . . . . . . . . . . . . . . . . . 389 Experimental Use Permits . . . . . . . . . . . . . . . . . . . . . . 389 Administrative Review; Suspension . . . . . . . . . . . . . . . 389

xvi Contents

Registration of Establishments . . . . . . . . . . . . . . . . . . 390 Recordkeeping and Inspections . . . . . . . . . . . . . . . . . . 390 Trade Secrets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 391 Other Major Issues of HFRA . . . . . . . . . . . . . . . . . . . 391 Disposal. Storage. and Transportation . . . . . . . . . . . . . 393

12 . MANAGING WORKER PERSONAL PROTECTIVE EQUIPMENT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 397

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 397 Developing A PPE Program . . . . . . . . . . . . . . . . . . . . 398

Program Review and Evaluation . . . . . . . . . . . . . . . . . 399 Selection of Respiratory Equipment . . . . . . . . . . . . . . . 400

Protection Factor . . . . . . . . . . . . . . . . . . . . . . . . . . . 405 Self-contained Breathing Apparatus (SCBA) . . . . . . . . 406 Supplied-Air Respirators (SARs) . . . . . . . . . . . . . . . . 409 Combination SCBNSAR . . . . . . . . . . . . . . . . . . . . . . 411 Air-Purifying Respirators . . . . . . . . . . . . . . . . . . . . . 411

Selection of Protective Clothing . . . . . . . . . . . . . . . . . . 414 Selection of Chemical-Protective Clothing (CPC) . . . . . 414 Permeation and Degradation . . . . . . . . . . . . . . . . . . . . 415 Heat Transfer Characteristics . . . . . . . . . . . . . . . . . . . 425 Other Considerations . . . . . . . . . . . . . . . . . . . . . . . . . 425 Special Conditions . . . . . . . . . . . . . . . . . . . . . . . . . . 426

Selection of Ensembles . . . . . . . . . . . . . . . . . . . . . . . . 426 Level of Protection . . . . . . . . . . . . . . . . . . . . . . . . . . 426

PPEUse . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 431 Training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 432 Work Mission Duration . . . . . . . . . . . . . . . . . . . . . . . 433 Air Supply Consumption . . . . . . . . . . . . . . . . . . . . . . 433 SuitEnsemble Permeation and Penetration . . . . . . . . . . 434 Ambient Temperature . . . . . . . . . . . . . . . . . . . . . . . . 434 Coolant Supply . . . . . . . . . . . . . . . . . . . . . . . . . . . . 435

Donning an Ensemble . . . . . . . . . . . . . . . . . . . . . . . . 436 Respirator Fit Testing . . . . . . . . . . . . . . . . . . . . . . . . 436

Doffing an Ensemble . . . . . . . . . . . . . . . . . . . . . . . . . 439 Clothing Reuse . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 440 Inspection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 441 Storage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 445 Maintenance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 445

Personal Use Factors . . . . . . . . . . . . . . . . . . . . . . . . . 435

In-Use Monitoring . . . . . . . . . . . . . . . . . . . . . . . . . . 439

Contents xvii

Heat Stress . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 446 Monitoring . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 447 Prevention . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 448 Other Factors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 451 Physical Condition . . . . . . . . . . . . . . . . . . . . . . . . . . 452 Level of Acclimatization . . . . . . . . . . . . . . . . . . . . . . 452 Age . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 453 Gender . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 453 Weight . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 453

Closure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 454

GLOSSARY OF EH&S TERMS . . . . . . . . . . . . . . . . . . . . . . 455

ABBREVIATIONS COMMONLY USED BY EH&S MANAGERS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 489

INDEX . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 495

1 MANAGING THE ENVIRONMENTAL REGULATIONS AND SAFETY

INTRODUCTION

Managing environmental and safety issues is challenging, time- consuming, and expensive. Being responsible for these matters is more than just saving money and protecting the company. The environmental and health and safety (EH&S) manager must also protect him or herself because the current laws make the individual personally liable for any wrongdoing, even if there is no malicious intent.

Pollution control generally involves preventing the facility from harming people or the environment and mitigating the effects of any pollutant emissions. Harm to people or the environment is difficult to prove so regulations are increasingly designed to eliminate contamination. Effluent standards are based on health effects studies but because of factors such as cancer’s long latency period, and the lack of human exposure data, standards generally include a large safety factor. The environmental manager must recognize that there is little margin for error when it comes to contamination issues.

It is also important to recognize that erring on the side of safety is usually the least expensive and most legally defensible position in the long run. Taking that position can lead an organization or company to more efficient use of raw materials, recycling, and other waste minimization tactics. However, such a program requires balance. Risks cannot be eliminated and too much error on the side of safety can result in costly overkill. The safety manager is called upon to manage both risk and resources.

Managing hazardous materials generally involves the following four major issues: identification (air and water emissions, rinsewaters, spent

1

2 Environmental and Health

raw materials, etc.), storage and handling, disposal and shipping, and recordkeeping. An industrial facility that does not have programs addressing all four of these issues should essentially not be handling hazardous materials.

The environmental and health-safety manager, referred to in this textbook as an Occupational Safety Professional (OSP), must know what his or her facility is purchasing, generating, storing, treating and disposing of in order to effectively satisfy the "cradle to grave" provisions of RCRA (Resource Conservation and Recovery Act). Good recordkeeping and communication are essential to several key elements of any pollution control and prevention program: emergency procedures, contingency planning, and employee training. For example, if a caustic line from a plating operation building breaks, how is the waste material kept out of the storm sewer in order to prevent a NPDES (National Pollutant Discharge Elimination System) violation and how large can the spill be before it constitutes a reportable quantity (RQ) under CERCLA (Comprehensive Environmental Response Compensation and Liability Act)? Contingency plans must describe actions the facility will take to minimize hazards in the event of a release and employees must be trained to respond appropriately.

Well run organizations are those which have established formal Safety and Hazardous Materials Management Programs. These programs establish corporate policy, which addresses pertinent aspects of OSHA (Occupational Safety and Health Act), TSCA (Toxic Substances Control Act), CERCLA, SARA (Superfund Amendments and Reauthorization Act), RCRA, the Hazardous Materials Transportation Act (HMTA), and other applicable regulations. The need for an integrated program and policy uniting everything from purchasing through use and disposal can be demonstrated by considering what happens if a hazardous material is purchased or generated without knowledge of the regulations. OSHA regulations could be violated because precautions for employee exposure are not taken, SARA could be violated because the requirement for notification of the presence of listed material has not been met, and RCRA regulations could be violated if waste from the material is not stored or disposed of properly. There are also potential violations of other acts such as the Clean Air Act and Clean Water Act.

The OSP must become integrated into all aspects of a facility's operations. A properly informed OSP helps limit the amount of a hazardous material stored onsite, monitors the use of the material so that

Managing the Environmental Regulations and Safety 3

right-to-know regulations are not violated, and assesses the rate at which a waste is generated to minimize spill potential and storage and disposal difficulties.

Disposal issues are increasingly important because federal regulations are dynamic, or changing. Waste minimization requirements and the land disposal ban are making waste production more expensive. RCRA requires that storage locations be specific. There must be spill containment, supplies for cleanup, controlled access, and segregation of incompatible materials. In addition, RCRA holds that a hazardous waste storage data area cannot be subject to a 100-year flood. Both on-the-job training and a written training program are necessary. Fines may result if the training is not properly documented and employees are not tested for competency.

The OSP must also be concerned with problems of acquisition and divestiture. A company cannot control pollution or its hazardous wastes by selling contaminated properties or assets, however, it can certainly add to its liabilities by purchasing contaminated property. Unfortunately, many companies already own contaminated property with projected remedial actions that may cost millions of dollars. The OSP may be called upon to plan, negotiate, and manage these expensive, and complicated hazardous waste cleanups. Too often, remedial action contracts permit a consultant to design and build with little or no oversight. If such contracts are not managed properly cost overruns and disputes can be expected. Bidders must be prequalified. Contract documents must be precise and accurate. There must be a management plan that includes numerous inspections and thorough documentation. There must also be emergency plans in the event that something goes wrong such as a spill, a fire, or explosion.

MANAGING FEDERAL REGULATIONS AND TOXIC SUBSTANCES

Toxic substances can create pervasive environmental and public health problems. The sheer volume of toxic materials manufactured and the many avenues of exposure (occupational, consumer use, and environmental residues), greatly increase the unacceptable health and environmental risks from many of these substances. Public policy has traditionally been aimed at protecting the public from toxic substances.


For example, during the latter half of the nineteenth century, federal laws were passed to prohibit the adulteration of patent medicines, to require the contents of certain consumer products to be truthfully labeled, and to regulate the transportation of explosives. While there were early attempts at federal protection of the environment, it was not until the 1970s that environmental protection became a priority. A labyrinth of federal laws were enacted to control the public’s exposure to toxic substances, thereby minimizing potential risks to public health and the environment.

These federal statutes cover five broad areas: (1) occupational protection statutes; (2) laws on transporting chemicals and hazardous substances; (3) chemical use and assessment laws; (4) environmental protection statutes and ( 5 ) laws regulating cleanup of unintentional disposal of chemicals. There are a number of federal statutes that address toxic substances; however, the major laws are the:

Federal Food, Drug and Cosmetic Act (FFDCA) Federal Insecticide, Fungicide and Rodenticide Act (FIFRA) Clean Air Act (CAA) Clean Water Act (CWA) Occupational Safety and Health Act (OSH Act) Safe Drinking Water Act (SDWA) Hazardous Materials Transportation Act (HMTA) Toxic Substances Control Act (TSCA) Resource Conservation and Recovery Act (RCRA) Comprehensive Environmental Response, Compensation and Liability

Superfund Amendments and Reauthorization Act (SARA) Act (CERCLA)

These laws and the broad areas they cover are summarized in Table 1

Occupational Safety Issues

The Occupational Safety and Health Act is the primary federal law regulating toxic substances to protect workers in the workplace. The federal law was passed as the result of increased public concern about workplace hazards and the effects of exposure to hazardous chemicals. Before passage of the law, worker safety was the responsibility of state agencies and labor groups. Federal safety requirements were confined


to specific industries (e.g., mining, railroading, longshoring). The Occupational Safety and Health Administration (OSHA) was established within the Labor Department to administer the Act.

TABLE 1

AREAS OF CONCERN ADDRESSED BY FEDERAL TOXIC SUBSTANCES STATUTES

Area of Concern Federal Statute

Occupational Protection 0 Occupational Safety and Health Act 0 Superfund Amendments and

Reauthorization Act Environmental Protection 0 Clean Air Act

0 Clean Water Act Safe Drinking Water Act

0 Resource Conservation and Recdvery Act

Chemical Manufacture Federal Food, Drug, and Cosmetic and Use Act

Federal Insecticide, Fungicide, and

0 Toxic Substance Control Act 0 Superfund Amendments and

Rodenticide Act

Reauthorization Act

Act .

Act Cleanup Actions 0 Comprehensive Environmental

Response, Compensation, and Liability Act (as amended by SARA)

Transportat ion 0 Hazardous Materials Transportation

0 Resource Conservation and Recovery


The main provisions of the Act dealing with toxic substances include:

Establishing and enforcing standards to limit exposure to various chemical substances that could induce acute or chronic health effects. Regulating substances that may cause cancer. Informing employees of the dangers posed by toxics substances through the use of Material Safety Data Sheets (MSDSs).

0 Requiring employers to maintain medical, training, and other records to track the development and incidence of occupationally induced disease.

OSHA has established standards for 22 toxic or hazardous substances and 402 toxic air contaminants. In setting standards, OSHA evaluates three types of health effects: acute (immediate), chronic (long-term), and carcinogenicity (ability to cause cancer). Pursuant to the United States Supreme Court ruling in Industrial Union Department. AFL-CIO vs. American Petroleum Institute [448 US 607, 8 OSHC 1586 (1980)], OSHA must show that a "significant risk" exists before it issues a health standard. Also under the Supreme Court's ruling in American Textile Manufacturers Institute vs. Donovan [452 US 490,9 OSHC 1913 (1981), a standard must be feasible, i.e., must adequately assure that no employee will suffer material impairment to their health to the extent that this is "capable of being done." OSHA standards include a Permissible Exposure Limit (PEL), labeling, protection equipment, control procedures, and monitoring requirements.

SARA establishes specific training requirements, funds training programs, and delegates responsibilities to OSHA and the National Institute of Environmental Health Sciences. SARA requires 40 hours of classroom and 24 hours of site specific training for nearly all workers on hazardous waste site cleanups, at commercial hazardous waste treatment, storage, and disposal facilities, and for industrial workers who will act as hazardous materials first responders. OSHA has promulgated draft regulations to cover the SARA training and working condition requirements.


Environmental Protection Issues

In the 1970s, Congress passed several environmental protection statutes beginning with the Clean Air Act and amendments to the Federal Water Pollution Control Act (renamed the Clean Water Act). While most of these initiatives were actually amendments to existing federal environmental statutes dating back 70 years, the changes were so extensive in both philosophy and scope that they are commonly thought of as new laws. These laws focused primarily on cleaning up "conventional" pollutants--smoke and sulfur oxides in the air, oxygen- depleting discharges into surface waters, and solid wastes into the land. As the 1970s ended, these laws began to focus on toxic substances that could threaten human health at even low concentrations. These statutes were amended, or new regulations and policies to handle toxics were adopted by the administering agency.

Unlike the Occupational Safety and Health Act, environmental laws address by-product discharges of toxic and hazardous substances that are released into the environment. Standards to reduce risks to public health are established in a similar manner to the OSH Act. All of the environmental laws are administered by the United States Environmental Protection Agency (EPA).

The Clean Air Act originally addressed smoky, dirty air that plagued many industrial cities. It was subsequently amended to add provisions about the effects of sources of pollution.

The 1977 amendments (PL 95-217) focused the statute on toxic air emissions. The Clean Air Act gives the EPA the responsibility to set three different kinds of air standards:

1. National Ambient Air Quality Standards (NAAQS) defining the maximum concentration of air pollutants allowable.

2. New Source Performance Standards (NSPS) establishing the allowable emission levels for different stationary sources.

3. National Emissions Standards for Hazardous Air Pollutants (NESHAPS) setting emission limitations for which no ambient air quality standards exist.


National Ambient Air Quality Standards authorized under Section 109 include both primary and secondary standards. Primary standards reflect the concentration level necessary to protect public health. Secondary standards are designed to protect public welfare from any known or anticipated adverse effect of air emissions on vegetation, soil, water, wildlife, visibility, or climate.

The Clean Air Act established emission standards for specific air pollutants that are particularly hazardous to health. Emission limits based on the Best Available Control Technology (BACT) are imposed on both existing and new sources. In setting hazardous air pollutant standards, EPA must consider both the beneficial and adverse economic, environmental and energy impacts associated with the standard.

The Clean Water Act (CWA) controls the discharge of toxic discharges into surface streams. The first national effort to control water pollutants was through the Rivers and Harbors Act, which prohibited discharges into navigable waterways that could interfere with transportation. Discharge permits, as part of the National Pollutant Discharge Elimination System (NPDES), set enforceable limitations on the types and quantities of pollutants which may be discharged.

The 1972 Act required the EPA to establish effluent standards for toxic pollutants. EPA was slow to develop these standards and environmental groups sued to force their promulgation. A consent decree in the case of NRDC vs. Train (8 ERC 2120, D.D.C., 1976) imposed a schedule for the EPA to develop such effluent limitations. The consent decree was subsequently adopted in the 1977 amendments to the law.

The EPA is required to promulgate toxic discharge requirements for 34 industrial categories covering 129 toxic pollutants. The 129 toxics include metals, volatile compounds, corrosives and pesticides. Dischargers of these pollutants are required to use Best Available Technology Economically Achievable (BATEA) .

Toxic and hazardous wastes are generated primarily from industries and farmlands. Industries discharging directly into surface streams are regulated by a so-called NPDES permit. Discharges into municipal sewer plants are required to meet pretreatment standards. Nonpoint sources, such as farmlands, are controlled through the encouragement of erosion control.

While the CWA focused on surface water quality, the Safe Drinking Water Act (SDWA) was passed in 1975 (amended in 1986), to protect


groundwater and drinking water sources. The law requires EPA to establish recommended maximum contaminant goals (RMCG) for each contaminant which may have an adverse effect on the health of an individual. Two types of drinking water standards were established to limit the amount of contamination that may be in drinking water: primary standards with a maximum contaminant level (MCL) to protect human health and secondary standards that involve the color, taste, smell or other physical characteristics of drinking water sources. The SDWA regulates 83 different contaminants, which include:

0 14 volatile organic compounds. 29 synthetic organic compounds.

0 13 inorganic chemicals. 4 microbiological contaminants.

0 2 radiological contaminants.

A second major provision of the SDWA for the purpose of protecting groundwater is the regulation of underground injection of toxic chemicals. Injection of liquid wastes into underground wells is used as a means of disposal. Controls were needed to assure that this means of disposal did not damage the quality of aquifers. Five classes of underground injection wells were established. Class IV wells where hazardous wastes are injected into or above a formation within one- quarter mile of an underground source of drinking water were phased out. Under the 1986 amendments, states adopted a program for wellhead protection. A program addresses the surface and subsurface surrounding a well or well field through which contaminants are reasonably likely to move toward a well.

Perhaps one of the most controversial and sometimes misunderstood environmental statute passed is the Resource Conservation and Recovery Act (RCRA). RCRA completed the circle of environmental laws enacted in the 1970s, focusing on the recycling and disposal of solid wastes. The law is divided into eight subsections. The three subsections of primary importance include provisions to regulate solid waste (Subtitle D), hazardous waste (Subtitle C), and underground storage tanks (Subtitle I). The law originally was drafted as a solid waste recycling and disposal law to eliminate open dumps, however, its implementation has focused heavily on regulating hazardous wastes. In 1978, chemicals abandoned at Love Canal in New York and Valley-of-the-Drums in Kentucky


received national attention. Studies during that timeframe suggested that there may be an additional 50,000 similar abandoned hazardous waste dumps around the country. The State of Illinois and environmental groups sued EPA to issue final hazardous waste regulations (Illinois vs. Costle, 12 ERC 1597 DC DC 1978). Congress appropriated increased funding for regulatory programs. The regulations promulgated by the EPA established, a cradle-to-nrave system of controlling hazardous wastes, meaning that manifests for all hazardous wastes transported offsite are required. Hazardous wastes are defined under the law as those waste materials exhibiting certain characteristics (i.e., ignitability, corrosivity, reactivity, and EP toxicity) or are specifically listed by EPA. An exception to this is polychlorinated biphenyls which are regulated by the Toxic Substances Control Act and are not defined under RCRA as a hazardous waste. Standards have been promulgated to regulate the generation, storage, transportation, treatment and disposal of hazardous wastes. A major revision to RCRA came in the 1984 amendments, where the owners of underground storage tanks containing petroleum products and regulated substances were required to notify the states of the existence, size, age, type, and uses of all underground tanks. These amendments also developed regulations concerning leak detection and prevention, and corrective actions that are required in the event of a leak.

Regulations Affecting Chemical Manufacturing and Use

The general public often view environmental laws as having their focus on the effects of toxic and hazardous substances being emitted into the workplace and/or the environment at the point of manufacture. However, both the public and the environment can also be exposed to toxic substances during the use and application of chemicals. To reduce the risk of exposure through the use of a chemical, a number of federal laws were enacted aimed at regulating what specific chemicals can be manufactured and sold.

One of the earliest federal legislation aimed at regulating the manufacture of chemicals is the Federal Food. Drug & Cosmetic Act JFFDCA). The Act provides the regulatory authority for the Food and Drug Administration (FDA) to assure the safety of foods, drugs, medical devices and cosmetics. Adulteration or misbranding of any of these consumer products is strictly prohibited. The FDA establishes standards that must be met by manufacturers before certain products may be sold.


Premarketing clearances are based on scientific data submitted by manufacturers to demonstrate that the proposed product will not have an adverse effect on human health.

Major provisions of the law include the following:

0 The banning of the intentional addition of substances known to cause cancer in animals to food products (the so-called Delaney Clause).

0 The establishment of procedures for setting safety limits for pesticide residues on raw agriculture products.

0 The required pre-use of safety assessments and approvals of all food additives.

Another consumer-oriented federal legislation is the Federal 4, which established a regulatory program to control the manufacture and use of pesticides and related products whose purpose is to kill, repel or control insects, rodents, plants, trees, algae, fungi, bacteria, or other living organisms. The first federal legislation to control chemical pesticides was passed in 1910. Like the FFDCA, the early law was aimed against adulterating or misbranding chemical pesticides to protect consumers against false advertising. Increased awareness of the health and environmental risks posed by new pesticides and by their persistent characteristics (e.g., DDD & DDT), prompted Congress to pass FIFRA. The chief thrust of the law was to prevent unreasonably adverse effects on the environment and public health. Under FIFRA, manufacturers must register all new pesticides with EPA. The EPA sets tolerance levels for residues before the substance can be used on food crops. EPA sets residue safety limits for raw (unprocessed ) meat and agricultural products, while the Food and Drug Administration, under FFDCA, sets pesticide residue limits for processed foods. In considering registration of a pesticide, EPA must evaluate not only its environmental effects, but also its economic, social and health impacts. EPA may refuse to register pesticides judged unduly hazardous, or they may impose use restrictions. All restrictions must be printed on the label and enforcement action can be taken against pesticide users who do not comply with the printed restrictions. EPA can condition the registration for general use or restricted use, i.e., that the pesticide may only be applied by trained and certified applicators. EPA has the authority to cancel the registration of a pesticide deemed to pose


an unreasonable risk. When EPA determines that an unreasonable risk exists, it issues a "rebuttable presumption against registration" (WAR), and provides the opportunity for the registrant to provide evidence before a final decision is made. Examples of canceled registrations include DDT, aldriddieldrin, 2,4,5-T/silvex, kepone, mirex, and ethylene dibromide.

The Toxic Substances Control Act was designed to close all the loopholes in the environmental protection and chemical manufacture and use laws. It gives EPA broad authority to regulate chemical substances without regard to specific use (e.g., food, drug cosmetic) or area of application (e.g., food crops) if they present a hazard to health or the environment. The law controls the chemical at its source before it is distributed into the environment and public. Excluded from coverage under TSCA are food, food additives, drugs, or cosmetics regulated under the FFDCA; pesticides regulated under FIFRA; and nuclear materials regulated by the Atomic Energy Act.

Other federal laws control the release of pollutants into the environment or workplace. However, it is very difficult to monitor and set emission standards on substances that only enter the environment in very small quantities. A need was seen to control some substances before they are dispersed into the environment. Chlorofluorocarbons, (CFC) used as a propellant in spray cans illustrate this need. When released, CFCs are so stable that they do not react with anything until they diffuse upward to the stratosphere. There they are decomposed by ultraviolet radiation and enter into a chain reaction to destroy ozone molecules. Ozone depletion enables more solar ultraviolet light to reach the earth, thereby increasing the incidence of skin cancer as well as influencing climatic changes. Since chlorofluorocarbons are not classified as air pollutants and pose no hazard in the workplace, there was for many years no means of regulating their use. The need to control toxic substances at the point of manufacture was therefore identified by congress in the passage of TSCA.

TSCA also specifically bans the manufacture of polychlorinated biphenyls (PCB). In addition, chemical manufacturers and importers must provide EPA with a Premanufacture Notice (PMN) which provides available health and environmental effects data at least 90 days prior to the manufacture and sale of any chemical. EPA can approve the chemical, request further testing, condition the manufacture and sale of the chemical, or prohibit its manufacture. The law is often thought of


as a risk/benefit type legislation similar to FIFRA. That is, the EPA is required to consider the benefits of a substance to society’s economic and social well being, the risks posed by alternative substances, and the possible health or ecanomic problems that could result from the regulation of the substance. TSCA is unique in that it is designed as a gap-filling law. EPA defers to other agencies for action if those agencies having statutory authority under another law are dealing with identified problems. When EPA has sufficient authority under another law (e.g. CAA, CWA, RCRA, etc.), EPA is directed to use the other law rather than the gap-filling TSCA.

A final legislation worth noting at this point is SARA Title Ill-- Emergency Planning and Community Right-To-Know, which regulates chemicals storage by requiring notification of Local Emergency Planning Committees (LEPC) of the storage of hazardous and extremely hazardous materials in excess of threshold planning quantities. Reportable releases, location of chemicals in-plant and safety information on the chemicals is required under this legislation.

Transportation of Hazardous Materials

The transportation of hazardous substances represents another potential route of exposure to the environment and the general public. In fact it may be argued that transportation of chemicals poses a higher risk of exposure than manufacturing, storage or disposal because of the potential risk to the general public.

The Hazardous Materials Transportation Act (HMTA) gives the Department of Transportation (DOT) authority to regulate the shipment of substances that pose a threat to health, safety, property, or the environment when transported by air, water, rail, or highway. DOT regulations require special packaging, placarding and routing for hazardous materials. The transportation of hazardous materials was originally regulated by the federal government in 1965 to protect railroads from poorly identified and packaged explosives and ammunition. The list of hazardous substances was expanded through the years to include additional substances, e.g., flammable liquids and gases, and transportation modes, e.g., air, and highways. The HMTA consolidated a variety of agencies and laws regulating different substances and transportation modes. Enforcement of materials traveling by a single mode of transport falls to the DOT branch with jurisdiction


over that type of transport, Le., Federal Railroad Administration or the United States Coast Guard. The most recent revisions to the HMTA came in the 1990s with new hazard materials regulations aimed at packaging requirements, labeling, marking of shipments, placarding, manifesting, and training requirements. The regulations are embodied in Title 49 of the Code of Federal Regulations (CFR).

The Resource Conservation and Recovery Act also addresses transportation issues but only for hazardous wastes. Transporters of hazardous waste must register with the EPA and carry hazardous waste manifests required under RCRA. They must also comply with all DOT rules concerning labeling, packaging, and placarding. If bulk shipments are traveling by rail or water, DOT shipping papers rather than EPA hazardous waste manifests are required.

Cleanup of Hazardous Wastes

Despite strict federal laws which prohibit intentional releases of toxic and hazardous substances, it is impossible to completely eliminate accidentally released mishaps. In addition there are an estimated 50,000 sites where toxic and hazardous substances have been disposed in the past that are now posing significant health and environmental risks.

It was with these problems in mind that Congress passed the Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA) in 1980 (amended by SARA in 1986). Unlike the other laws, it does not regulate toxic substances. Instead it provides a system for identifying and cleaning up chemical and hazardous substances released into the air, water, groundwater and on land. It defines "hazardous substance" by incorporating into its language those substances listed in the Clean Water Act, Resource Conservation and Recovery Act, Clean Air Act, and the Toxic Substances Control Act. CERCLA established a $1.6 billion trust fund, commonly called "Superfund" ($8.5 billion in 1986), to pay for cleaning up environmental contamination where no responsible party can be found. The need for such a trust fund clearly became evident at Love Canal when the state of New York spent in excess of $35 million for remedial measures and the relocation of 200 families. The trust fund is provided through a tax on crude oil, petroleum products, and 40 feedstock chemicals.


CERCLA also requires that spills or discharges of over 700 substances in excess of 1 to 5000 pounds (depending on the substance) be reported immediately to the National Response Center (NRC) originally established under the Clean Water Act. The Center is inspected by the United States Coast Guard who will contact EPA and other federal agencies to initiate an emergency response.

CERCLA and the Clean Water Act authorize three types of emergency responses:

0 Immediate removal of spills during emergency situations. 0 Planned removal of releases where immediate response is not

needed. 0 Remedial actions to permanently remove toxic and hazardous

substances.

In the event of a release of a hazardous substance the procedures and methods to be followed are set forth in the National Contingency Plan (NCP). The Plan was originally prepared under the Clean Water Act and includes procedures and standards for responding to hazardous releases. These procedures include discovery, investigation, evaluation and removal activities. As part of the plan, EPA is directed to list national priorities (National Priorities List - NPL) for cleanup of known or threatened releases. Sites which fall on the NPL are referred to as Superfund Sites.

A summary of the environmental regulations overviewed in this chapter are provided in Table 2. The reader should review this table to become familiar with the major objectives of each legislation.

THE NEED FOR COMPLIANCE

The need for strict compliance of the environmental and safety legislations can be reduced to one word: liability. When it comes to this subject, the reader should bear in mind the old saying--"He who would be his own lawyer has a fool for a client." Even competent attorneys hire another lawyer to represent themselves, and this is especially true when dealing with the environmental statutes.

To understand the legal system in this country, we must separate the subject into two categories: common law and statutory law. Common

16 Environm

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Managing the Environm

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ental and Health


law is a body of rules and procedures designed to govern and protect persons and properties. It originated in the customs and practices of the Anglo-Saxon people of England. These practices and traditions evolved into a set of laws affirmed by the courts through judicial decisions. Common law is flexible and adapts to change. It is sometimes referred to as "court-made law" or "case law," but it is just as real as any law passed by the United States Congress or any other legislative body. Since state court systems operate independently and are subject to federal review only on constitutional issues and in certain prescribed situations, the common law may differ in its interpretation from state to state. If a person is involved in litigation under the common law, he should obviously retain an attorney familiar with common law practices in that state. There is also a federal common law, though this is invoked much less frequently. Some states have codified parts of the common law, making it very important to seek the advice of an attorney familiar with the laws of the jurisdiction where one is involved. Statutory law is the result of enactments by a legislative body, and it forms the basic part of the jurisprudence of most of the states.

The class of common law actions encountered in environmental cases is called Tort Law. Torts are civil actions as distinguished from criminal procedures, though in some cases there can be both civil and criminal causes of action deriving from the same set of circumstances. A tort is a civil wrong that does not arise from a specific and explicit agreement between parties such as in a contract, but from a generalized duty of any citizen to avoid harming his neighbor. Court actions can arise from injury or damage to property and from injury to a person including not only his body, but also his reputation or sensibilities.

Violations of these private rights can be abated by award of monetary damages or injunctive relief. Monetary damages can be actual, punitive or exemplary. An injunction is an order of the court to do or refrain from doing a certain act. Injunctions can be temporary or permanent. Generally, temporary injections are issued to provide time for a case to be litigated. Permanent injunctions are intended to provide permanent relief, and are normally issued as the outcome of a trial. Courts have great flexibility in determining whether to issue injunctions, but they generally follow certain rules. First, does the plaintiff appear to have a complaint that would prevail when and if the case came to trial? Second, is the alleged injury of such a nature to be irreparable and especially to be incapable of abatement by later award of monetary damages? Third,


would granting the injunction be an unreasonable present burden to the defendant? And, fourth, wherein lies the public interest? For example, would granting an injunction provide relief to a few, while throwing many out of work? There are other rules as well, but again the practices in a local jurisdiction must be studies in an actual case.

The types of torts encountered in the environmental field are: (1) nuisance, (2) trespass, (3) negligence, and (4) strict liability. Long before the enactment of current environmental statutes, tort actions have afforded remedies to private individuals harmed by exposure to hazardous wastes.

The most common of the environmental torts is nuisance. According to Black's Law Dictionarv, nuisance is "the class of wrongs that arise from the unreasonable, unwarrantable, or unlawful use by a person of his own property, either real or personal, or from his own lawful personal conduct working an obstruction or injury to the right of another, or of the public and producing material annoyance, inconvenience, discomfort, or hurt." By and large, a person may act as he sees fit or use his property as he sees fit. The limitation is that the person must act in a reasonable manner avoiding material injury or annoyance to another. The injury or annoyance must be material, such that it tangibly affects the physical comfort of ordinary people under normal circumstances.

There are generally four elements of proof in an environmental tort case. These apply to negligence, but they are effective standards for any environmental tort. First, the defendant did or failed to do an act which, second, he owed to the plaintiff by virtue of a legal duty. Third, this act caused material injury to the plaintiff or his property. And, fourth, the act was the proximate cause of the injury. Proximate cause is that which forms a natural and continuous sequence and which, if unbroken by an intervening act, produces the injury and without which the injury would not have occurred.

Nuisances may be private or public. A private nuisance affects a limited number of people while a public nuisance affects the community as a whole. Private citizens bring private nuisance suits, but a public official normally abates a public nuisance. Public nuisances are generally defined by statute or ordinance and are customarily criminal acts. A public nuisance, though a crime, may also be a tort and a private nuisance if the plaintiff can show that he has suffered special damages. The damages must be individual to the plaintiff and not those which he shares with the rest of the public.


Nuisances can arise from noise, smoke, dust, odors, and exposure to hazardous substances. For example, the Earthline Corporation was licensed and began to operate a hazardous waste recovery, treatment, storage, and disposal site, near the town of Wilsonville, Illinois. Wilsonville sued Earthline to stop the operation and remove all hazardous wastes and toxic substances from the site. The Court ruled that the site was a publidprivate nuisance and issued an injunction not only against further operation of the site but also requiring Earthline to remove all wastes and contaminated soil. This case raises a critical issue. Possession of a Droperlv issued permit in full compliance with all government regulations is not a defense against a common law tort action. Negligence is not a material element in a cause of action for nuisance. Negligence and nuisance are separate torts. Nuisance is a condition and not a negligent act or failure to act.

Trespass is wrongful interference with the plaintiff's possessory interest in land, personal property, or his or her own person. Traditionally, the cause of action for trespass arises when the defendant unlawfully enters upon another's land. Trespass may also occur when the plaintiff's land is invaded by some instrumentality or object under defendant's control. An owner of land may recover where the intrusion of hazardous waste on or under his property impairs his or her legal interests.

Negligence is conduct that "falls below the standard established by law for the protection of others against unreasonable risk or harm. I' The standard of care required by law is that degree which would be exercised by a person of ordinary prudence under the same circumstances. This is often related to the famous "reasonable man" rule; namely, what a reasonable person would have done. Persons harmed as a result of careless and improper disposal or handling of hazardous waste can recover for their losses under a negligence cause of action. Both state and federal courts have long recognized recovery against defendants who engage in the negligent disposal of pollutants such as hazardous wastes. While havinp an amromiate uermit and being in full comuliance with all government regulations is not a defense against negligence, noncomdiance with regulations or uermit conditions may be prima facie evidence (proof without any more evidence) of liability under a negligence cause of action.

Strict liability differs from negligence in that the defendant may be liable even though he may have exercised reasonable care. Not all states


have applied the doctrine of strict liability to hazardous waste disposal actions, but the trend is toward broadening of this application. Certain courts have already ruled that a person who keeps a potentiallv dangerous substance which, if Dermitted to escape. is certain to iniure others, must make good the damage caused bv the escape of the substance regardless of negligence on the defendant's Dart. The theory is that a person engaged in an ultra-hazardous or dangerous activity for profit should bear the burden of compensating others who are harmed by his activities.

Regarding hazardous wastes, there has been a judicial expansion of the common law concerning liability in recent years. Plaintiffs injured by hazardous wastes have often found it difficult to establish common law liability against individuals and companies who may have managed or disposed of those wastes. At abandoned disposal sites, records are scanty or nonexistent. Many different generators may have used a particular disposal site, and the plaintiff generally has the burden of proving which of the multiple defendants caused his injury in order to establish liability. Damage to human health from exposure of hazardous wastes often involves long latency periods which make it difficult for a plaintiff to prove his case.

Recently, courts and legislatures have taken steps to ease these burdens. Most states now delay commencement of the statute of limitations until the injury has been discovered. Several alternative theories of liability have also been developed to alleviate the plaintiff's burden of proof on identifying a proper defendant. At least four theories have evolved: concert of action, enterprise liability, alternative liability, and market share liability.

Under the concert of action theory, a defendant may be held liable if he negligently or intentionally harms someone in concert with others who all have a common design. There need not have been an express agreement. All defendants properly joined in such a case are held jointly and severally liable for injuries to plaintiffs. Thus, each defendant is potentially liable for the damage caused by all the defendants.

Under the enterprise liability theory, a similar rationale is applied on an industrywide level. A plaintiff must establish that his injuries were caused by members of a class of defendants engaged in a particular enterprise or industry. Once this showing has been made, enterprise liability shifts the burden of proof to the individual class members to show that they did not cause the plaintiff's injury.


Alternative liability allows a plaintiff to recover against several nonconcerting defendants where only one committed the wrongful act, but where it is extremely difficult to ascertain which defendant was responsible. The plaintiff must prove that he or she suffered injury and that he or she has joined in the lawsuit all potential defendants. The burden then shifts to the defendants who must each prove that they did not harm the plaintiff.

Market share liability relieves the plaintiff's burden of having to join all potential defendants in the lawsuit as a prerequisite to shifting the burden of proving causation; joinder of all defendants is not necessary as liability is apportioned by the court on an industrywide basis in accordance with the market share held by each manufacturer. This theory of apportionment has not yet been specifically applied in the context of hazardous waste management, but it does represent a mood of judicial expression in the broad field of toxic tort litigation.

Common law is still evolving with regard to toxic and hazardous waste management. Many courts appear to be easing the burden of proof for plaintiffs and imposing broader liability on those who handle hazardous wastes. Expanded common law tort liability poses added risks and costs of doing business for any company handling hazardous substances. A major consideration for individuals and corporations is the matter of insurance protection. Hazardous substance liability insurance it disappearing or becoming prohibitively expensive. Liability faced by owners and operators of hazardous waste facilities under current law is too uncertain for traditional underwriting practices. It is extremely difficult to assess the potential risks when liability is so strict that even careful hazardous waste management practices will not prevent liability. Liability may be "joint and several" resulting in the need for duplicative and wasteful insurance coverage. Liability may also be retroactive in that past practices may cause harm at some indefinite time in the future, further complicating and overlapping statutes and common law liabilities.

With regard to criminal liability of corporate officials, the environmental laws and regulations provide for a wide range of civil and criminal penalties for failure to comply. The courts are no longer holding only a corporation liable under the statutes for a fine, but are holding individuals personally liable, even for imprisonment, in their corporate roles. The Supreme Court provided a landmark case in the United State vs. Park. In this case, the court held that a corporate official could be criminally liable under the Food, Drug, and Cosmetic


Act if he had the corporate authority and responsibility for preventing violations of the statute but failed to do so.

Park was president of Acme Markets. He was convicted of violating the Federal Food, Drug, and Cosmetic Act which states that "any person who violates a provision . . . shall be imprisoned for not more than one year or fined but not more than $1000, or both." Park was aware that certain foods held in a warehouse had become adulterated by exposure to rat poison. He had delegated responsibility for remedying the situation to some employees. The Trial Court held that because he knew of a previous violation that had been ineffectively remedied and had delegated responsibility to the same people, his delegation in the second case was not a sufficient attempt to remedy the problem. The judge held that Park could be found guilty "even if he did not consciously do wrong" and even is he had not "personally participated in the situation," if it were proved beyond a reasonable doubt that he "had a responsible relationship" to the situation.

In general, criminal violation requires some element of scienter or conscious criminal intent. In this case, the Supreme Court upheld Parks' conviction based only on his being the responsible corporate official. The court noted that a finding cannot be based solely on the officer's position in the company. There must be some measure of "blameworthiness." The test which the Supreme Court used was that the official could be held criminally liable if he had "by reason of his position in the corporation, responsibility and authority to either prevent in the first instance, or to promptly correct the violation complained of, and that he failed to do so."

It is clear that the government's position is strict criminal enforcement against corporate officials in the environmental field. Individuals who would be tempted to violate the pollution control laws are professional and business people with positions to uphold in the community. These are people for whom an indictment alone, even without conviction or imprisonment, could be a catastrophe. Therefore, vigorous criminal enforcement is a truly effective deterrent to such persons and results in better pollution control. There is an apparent trend toward increasing severity in dealing with violations of statutory law in matters relating to pollution control and to include imposition of criminal liability upon individuals in positions of corporate authority. This situation makes responsible corporate officers more aware and thoughtful about their actions.


With regard to statutory provisions of liability and compliance, there is a vast and bewildering array of paragraphs and sections of the numerous acts. In discussing liability and compliance in the statutory sense, it is essential to broaden these considerations to include inspection, reports and enforcement. It is under all of these subject headings that one must study the provisions of any particular enactment such as RCRA and CERCLA. There are similarities between the separate provisions of the various environmental statutes, but one needs to study each act to be certain.

Environmental violations may result in reactions by more than one governmental body under more than one provision of more than one statute. Since the environmental laws, generally, are framed for delegation to the states, there may be concurrent violations of both state and federal law. Some states are more diligent even than the federal government in enforcing environmental requirements. This means that differences in enforcement practices from one state to another can be substantial. It is important to study the enforcement attitudes and the abilities of a state as well as the written laws on the state’s books.

One must also recognize that the federal government is not a monolithic structure. Though the enforcement scheme for federal laws is intended to be set by the EPA, that agency itself is made up of a number of different offices in its own headquarters and ten regional offices across the country. Attitudes and interpretation of policy may differ substantially between offices and between regions. EPA has stated that it encourages the use of persuasion, administrative action and other alternatives before going to court for judicial action. The practice and the announced policy may not always coincide.

Cases referred for trial in federal court by the EPA are actually handled by the United States Department of Justice. This provides another possibility for differences in interpretation and action. Program offices within the EPA, legal offices in the EPA, the headquarters of the Department of Justice, and the various United States Attorneys (who are the local representatives of the Department of Justice) may all have vastly different ideas of appropriate measures to force compliance. One must be aware of all these potential variations.

Even beyond the environmental statutes, one must also be aware of possible violations of such laws as those covering mail fraud. Liability may be established simply by mailing a false report to EPA. Other


statutes, for example, address making false official statements to federal officials.

Most environmental statutes permit citizen suits. Citizens may act even as “Private Attorney Generals” to allege violations of federal law and go to court even if EPA does not agree. Some state laws also permit citizen suits. In some cases, the government may investigate a situation and decide to pursue some alternative correction mechanism instead of a law suit. Private citizens, can gain access to the government’s reports (when the investigations might not even have been within their financial means or authority) and go directly to a judge rather than having to wait for the government’s action.

The complexities of common law liability added to the incredible array of statutory laws and regulations existing through multiple government agencies at federal and state levels, plus the complications of possible citizen suits under statutory law, should make any individual dealing with hazardous substances take a realistic look not only at his or her company’s liabilities, but also at their own personal concerns. What is your company’s policy on defense of individuals and what is the extent of the company’s insurance coverage for damage actions? To protect your company and yourself, one must be familiar with the legal requirements and never knowingly violate them.

2 MANAGING FACILITIES, DUE DILIGENCE AND FACILITY TRANSFERS

REGULATORY OVERVIEW

Principle Federal Regulations

In 1986, the Superfund Amendments Reauthorization Act (SARA) was signed into law to provide important corollaries to CERCLA. SARA significantly broadened the definition of parties potentially responsible for a property's cleanup. For example, SARA 8 107 provides for financial liability for environmental cleanup regardless of "ownership. It Under SARA, liability extends to owners, operators, and legal entities holding title to the property, regardless of whether such ownership was transferred through bankruptcy, foreclosure, abandonment, or payment of delinquent taxes.

Together, CERCLA (Comprehensive Environmental Response and Cleanup Liability Act) and SARA define "strict, joint, several, and retroactive liability" for hazardous waste cleanups. Strict liability indicates that contributory negligence is not a prerequisite for determining responsibility under the statute. The purchaser, current owner, or operator on the property, may be liable for cleanup costs even if the property was contaminated prior to purchase. The original owner can be held liable for all or part of the cleanup costs despite compliance with all regulations in effect at the time of property transfer. Joint and several liability suggests that one or several parties may be responsible for cleanup costs. Furthermore, corporate lenders, creditors and shareholders can be named potentially responsible parties (PW's) and may have to assume some, or all, of a property's cleanup costs. Only when the financial resources of identified responsible parties have been

31


exhausted do the federal Superfund moneys (and/or the state " superfunds ") become available.

Costs associated with environmental impairment of real property resulting from releases of hazardous substances are eligible for cost recovery under Superfund. The original intent of SARA (the 1986 amendments to CERCLA) was to provide potential defense against liability for "innocent" purchasers of property affected by listed hazardous substances. The environmental site assessment process, developed to respond to the need to perform due diligence under SARA, has expanded to include evaluations of environmental issues such as wetlands and degradation of property by petroleum product releases, asbestos, radon, and lead, for instance, all directly affecting the collateral value, though not necessarily a liability under Superfund, to potential owners and parties to the transaction process. How these related issues will be evaluated and the corresponding level of risk assessed should be carefully and completely discussed by all parties to the transaction prior to commencement of the environmental assessment process. The purchase price and ability of the purchaser to obtain financing are directly affected by actual cleanup costs and perceived risks associated with the presence of toxic and hazardous substances in site buildings, soil and groundwater.

Following CERCLA, several states adopted hazardous waste liability laws. Some states, including Massachusetts, New Jersey, Connecticut, and New Hampshire, have enacted so-called super lien laws which provides states the authority to impose a lien on any property requiring cleanup that involves state expense. The super lien law takes precedence over all other encumbrances, including first mortgages.

While various states passed super lien legislation, New Jersey enacted the Environmental Cleanup Responsibility Act (ECRA). Under ECRA, the New Jersey government has become aggressively involved in regulating property transfers by requiring proof that commercial and industrial properties are "clean" prior to a change in ownership. In effect, New Jersey has the authority to void property transactions if an environmental site assessment and cleanup of hazardous materials present on the property have not been completed. New Jersey's ECRA, has been amended and retitled ISRA (discussed later). It is important to understand both the ECRA and ISRA legislation, because many aspects of ECRA still apply and are under enforcement.

Managing Facilities, Due Diligence and Facility Transfers 33

Other states require disclosure of known environmental impacts during transfer of residential property under civil codes. In California, sellers must disclose knowledge of the presence of substances which may be an environmental hazard such as asbestos, formaldehyde, radon gas, lead-based paint, fuel or chemical storage tanks, and contaminated soil or water on the property.

CERCLA, SARA, ECRA (or I S M ) and similar federal and state environmental acts have established the legal boundaries within which liability can be assigned. Buyers and lenders are now sensitized to the costs associated with encountering and resolving environmental problems. Indeed, hazardous waste cleanup costs can potentially exceed the value of the property itself.

It is not uncommon for regulatory agencies to impose fines up to $25,000 per day for environmental violations: for instance ten to hundreds of thousands of dollars in fines can be imposed for ongoing noncompliance with air quality regulations. Environmental issues have affected all aspects of property transactions. Because of the potential magnitude if financial liabilities, property transfers are now subject to unprecedented scrutiny by borrowers, lenders, and other potentially responsible parties (PRPs) financially involved in the transaction. Identifying and evaluating environmental liabilities and risks is essential in limiting liabilities to parties to the transaction.

Objectives of Property Transaction Environmental Site Assessments

A standard for performing real property transaction environmental site assessments involve independent investigation of key issues or facts related to potential environmental liabilities associated with the property transaction. A complete site assessment includes independent verification of historical documents and facts about the property’s use.

Objectives of the environmental site assessment include identification O f

0 Onsite liabilities associated with past or current practices involving the use, storage, treatment, or disposal of hazardous materials (hazmat) or substances.

0 Offsite contingent liabilities involving past or current offsite hazmat storage or disposal practices.


Regulatory compliance and permit status of the site operations may also be evaluated, depending on specifics of the transaction.

The property value is typically a significant factor in establishing the extent and content of the site assessment. Real estate transactions on lower value properties generally require a lower level of effort than transactions involving high-risk industrial properties, higher value properties or transactions with larger loan-to-value ratios. Some lenders impose assessment requirements that remain standard, regardless of the size of the transaction involved.

Laws Directly Affecting Property Transfers

In response to public outcry following the discovery of dangerous contamination at Love Canal, New York, and thousands of other sites around the country, the U.S. Congress and state legislatures enacted laws intended to identify and ensure the cleanup of contaminated sites. Some contamination has resulted from disposal site practices that were previously accepted as adequate by the responsible government agencies. Other contaminated sites are associated with leaking underground storage tanks (USTs), or with leaks or spills that occurred during chemical use at industrial sites or in transit. Additional contamination results from conscious illegal disposal: in remote areas, along roadsides, into sewers and ditches.

To fund cleanup of contaminated sites, Congress enacted the Comprehensive Environmental Response, Compensation, and Liability Act of 1980 (CERCLA--also known as “Superfund”) and its subsequent amendments. New Jersey’s Spill Compensation and Control Act (N.J. Stat. Ann. 5 58: 10-23.11) served as the model for the federal legislation. The Contamination at Love Canal drew national public attention to toxic contamination and helped solidify action to pass Superfund. Love Canal was such a dramatic incident that it gained a reputation throughout the nation and galvanized efforts at the federal and state levels to pass cleanup legislation. It signaled the beginning of an era of heightened political and public awareness and recognition of the threat chemicals pose to land and water.

The Love Canal incident continues to draw attention. Many residents had to be relocated and their properties purchased; part of Superfund’s purpose was to compensate victims for their losses.


Another high profile example is Times Beach, Missouri, where waste oil laced with dioxin was spread on the town's dirt roads to suppress the dust. There, too, residents had to be evacuated and millions have been spent to relocate them.

WHAT IS CERCLA, SARA, SUPERFUND?

Overview

The basic premise of Superfund is that the polluter pays. Like no other environmental legislation, however, Superfund has invoked extreme emotional criticism. Industry representatives argue that society shares the blame for contamination because modern lifestyles are dependent on the chemical industry, which simply responds to what society demands. Moreover, many caught in the Superfund net are troubled by the fact that the practices that led to contamination often conformed to standards accepted at that time. From this standpoint it seems highly unfair to apply present-day standards to the results of disposal methods that were practiced only a few decades ago. On the other hand, advocates of Superfund argue that although there may be some inequities in the system, it if fairer for the responsible parties to pay than for the taxpayer to bear the financial burden of environmental remediation. Moreover, Superfund acts as a deterrent to prevent irresponsible practices that might lead to contamination.

There are numerous other criticisms of the Superfund process. May proponents claim that the process is ineffective, too slow, and hindered by litigation. Litigation is a particularly sore spot for many critics of Superfund since it is claimed that the only real winners are the lawyers who reap huge profits from the litigation process, thereby diverting money away from cleanups.

There is also the long-debated question of "how clean is clean," amidst allegations that the program's cleanup standards are too rigid or stringent given the relative risks, and that the risks associated with sites slated for cleanup are inflated. Lending institutions also assail the program as too far-reaching and perhaps too altruistic.

Some suggestions for changing the Superfund process include altering the strict liability standard of the law and restructuring the funding mechanism to force localities to bear some of the cleanup costs. The


latter idea is based on the premise that, because communities are not faced with remediation costs themselves, they don't appreciate the cost of cleanup in proportion to the risks of a particular site. If communities had to pay directly for part of the cleanup, they would be less likely to demand that stringent standards be met when less compre!iensive cleanup methods would suffice. Conversely, many argue that a purely economic analysis ignores certain aspects of fairness. Lower cleanup standards or cost-sharing may make some sense when limited federal funds are being used for cleanup and responsible parties cannot be identified or made liable for reimbursement. However, when responsible parties can be identified, it seems only equitable to force those parties to restore contaminated property to its original state since their actions were the direct cause of the contamination. Many see it as especially fair and necessary if large corporations with "deep pockets" had profited from activities that resulted in contamination.

State Superfund

Many states have created programs similar to Superfund. Generally, these state laws are intended to help finance the state's share for cleanup of sites under the federal Superfund program, and to finance cleanups at state sites that are not considered a priority or slated for cleanup under the federal program. While some contaminated sites are considered extremely important to a particular state, or are in fact a threat to public health and the environment, federal resources are spread thin, and cleanup under the federal program is unlikely unless a site poses a tremendous danger to public health and the environment. Consequently, only the most pervasively contaminated sites are addressed under the federal program.

Comprehensive Environmental Response, Compensation, and Liability Act

CERCLA created national policy and procedures for containing and removing releases of hazardous substances, and for identifying and cleaning up sites contaminated with hazardous substances. It was amended and strengthened by the Superfund Amendments and Reauthorization Act of 1986 (SARA). SARA left the objectives and the basic structure of CERCLA intact, but substantially expanded the scope


of hazardous waste cleanup and the size of the Superfund, and imposed tougher and more specific cleanup requirements.

Superfund creates a reporting scheme to assure adequate emergency response to contain and clean up unauthorized hazardous substance releases. The statutes most notable purpose is to provide standards and financial assistance for site cleanups and to impose liability on parties responsible for such contamination. In addition to correcting environmental damages, Superfund is also designed to ensure that victims of hazardous substance releases are compensated for their injuries. Responsible parties, however, are often unable to fund expensive cleanups, may be difficult to identify, and/or no longer exist. For this reason, Superfund provides governmental funding when necessary for remediation and removal projects.

CERCLA is implemented by the U.S. Environmental Protection Agency (EPA), but specific elements allow state agencies to lead site cleanups; there are also extensive provisions in the law for public participation. Local governments are not explicitly assigned any Superfund responsibilities, but are eligible for reimbursement of certain site mitigation expenditures, and are generally included in the provisions for "public participation" at Superfund sites.

Under Superfund, "hazardous substances" are defined to include:

0 All toxic pollutants and hazardous substances listed under the federal Clean Water Act. Hazardous wastes regulated under RCRA.

0 Any hazardous air pollutant under the federal Clean Air Act. 0 Chemicals designated as "imminently hazardous" under the Toxic

Substances Control Act (TSCA).

CERCLA excludes crude oil, petroleum products, and natural gas products [although the National Oil and Hazardous Substances Pollution Contingency Plan (commonly called the National Contingency Plan, or simply NCP) does address oil spills pursuant to CWA.] CERCLA allows EPA to designate additional substances, if they present a substantial danger to the public health or welfare or the environment when released. By early 1989, EPA had established reportable quantities (RQs) for 719 hazardous materials and wastes. On May 24, 1989, RQs were added for approximately 1,500 radionuclides; RQs were set based on the levels of radiation emitted from the individual materials.


Notification Requirements

The initial step in the Superfund process involves identification of sites that may be contaminated with hazardous substances. Two general requirements imposed on owners and operators of facilities and vessels are intended to identify contaminated sites: release reporting requirements for facilities and vessels, and notification of the existence of hazardous waste disposal sites by owners and operators of these facilities.

What Happens if There is a Release?

Superfund requires owners and operators of facilities or vessels who know of a release of hazardous substances to immediately report to the National Response Center all such releases which equal or exceed specified RQs established by EPA. This reporting requirement, as well as the designation of hazardous substances and their associated RQs, is part of the NCP, and closely parallels provisions of CWA which originally required the development of the NCP. CERCLA expands the scope of the NCP and reporting requirements to include additional substances. Moreover, CERCLA requirements apply to all spills and releases into the environment, rather than just actual or threatened spills into waterways. If notifying the National Response Center is not applicable, notification may be made to the Coast Guard, EPA, or the On-Scene Coordinator (OSC) designated for the geographic area where the discharge has occurred. The OSC is designated by EPA or the Coast Guard to coordinate and direct federal cleanup efforts.

Failure to notify the National Response Center in the event of a release, or knowing submission of false or misleading information, is punishable by a fine or term of imprisonment of not more than three years, or five years for a second or subsequent conviction. Notification of a release may not be used in a criminal case against the person reporting the information, except in prosecutions for perjury or giving a false statement. Therefore, even if cleanup costs are charged or incurred, the consequences of not reporting may be more severe than if reporting is satisfied.

After a spill or release is reported, EPA (or the Coast Guard if the release is into navigable waterways) then notifies other appropriate agencies and begins any necessary emergency response or cleanup


actions. The lead agency is authorized to undertake removal or remedial action in the event of a release or substantial threat of a release into the environment that may present an imminent and substantial danger. Response actions must conform with the NCP. Responsible parties are liable for costs associated with removal and abatement. Sites that have been severely contaminated by releases may subsequently be evaluated for listing as a "Superfund site" on the National Priorities List (NPL; also known as the Superfund list).

All owners and operators (including former owners and operators) of hazardous substance TSD facilities were required to report the existence of these facilities to EPA by June 11, 1981. This notification was to include the location of the site, the amount and type of material, and any known or suspected releases. These reports are intended to identify sites where wastes were disposed of routinely, as opposed to the reporting of accidental or unauthorized releases.

The hazardous waste disposal site reporting requirements were designed to locate facilities that were not already regulated by EPA as TSD facilities under RCRA. In fact, there was not duty to report a hazardous waste facility operating with a RCRA permit. Since 1981, many additional facilities and hazardous waste dump sites have been identified by state and local governments as well as by the public. EPA has incorporated information on approximately 30,000 sites into its CERCLA Information System, i.e., "CERCLIS" data base.

What About Cleanup?

The ultimate goal of Superfund is the cleanup of contaminated sites. The program therefore includes extensive provisions for site investigations, selection of methods to be used for cleanup, and levels of eventual cleanup to be achieved. Cleanup operations are generally directed by EPA. EPA also has authority to approve response actions by responsible parties after the agency determines that the person carrying out these actions will investigate and respond promptly and properly to site conditions. States may also be granted responsibility to conduct cleanup operations and enforce CERCLA.

States are also required to enter into "cooperative agreements" with EPA as a condition for any remedial action under Superfund. These agreements reflect a variety of procedural and financial commitments. Procedurally, states must comply with EPA requirements, and assure the


availability of licensed hazardous waste disposal facilities. Financially, states pay a 10 percent share of remedial action costs not forthcoming from responsible parties, including all future maintenance, at sites where the federal Superfund pays for cleanup; states pay 50 per-cent or more of such costs if the facility in question was operated by the state, either directly or through a contractual relationship, at the time of disposal.

What Are Removal and Remedial Actions?

There are two types of response actions for cleanup. Removal actions are short-term actions of limited scope and are carried out by the EPA or the Coast Guard when there is a reported release of a hazardous substance. Other cleanups are categorized as remedial actions.

When a release occurs the lead agency may remove or arrange for removal of the contamination. Under SARA, removal actions are generally limited to those which take no more than one year and cost no more than $2 million. However, there are exceptions that allow the lead agency to continue removal actions or roll removal actions into ongoing site remediation. Also, when EPA or the Coast Guard determines that an actual or threatened release may present "imminent and substantial endangerment" to the public health and welfare or the environment, EPA or the Coast Guard may request that the Attorney General secure an abatement order in federal district court to force the property owner to stop the release and/or prevent future releases. The Courts have considered various factors in determining whether there has been imminent and substantial endangerment, including evidence of amounts of, and hazards associated with, the substances released, as well as the potential for exposure.

SARA also establishes a mechanism for reimbursement by the Superfund of costs incurred by a person who receives and complies with an abatement order. To obtain reimbursement, however, a party must show that it is not liable for response costs, and that the reimbursable costs are reasonable as measured by the terms of the EPA order.

What is Remedial Action?

Superfund establishes priorities for cleanup of sites severely contaminated through releases and past hazardous waste disposal practices based on a Hazard Ranking System (HRS). A part of NCP, EPA has established the


NPL, a list of contaminated sites ranked most hazardous by the HRS to guide the expenditure of cleanup funds. The NPL includes abandoned and uncontrolled hazardous waste sites, which EPA updates periodically. The NCP excludes sites already subject to EPA's jurisdiction under RCRA, where facility operators are required, under their hazardous waste permits, to prevent and clean up contamination.

EPA lists sites on the NPL based on the quantitative HRS. The HRS consists of several analytical methodologies for estimating the potential health risks through any of five potential pathways of exposure:

Ground water. Surface water. Air.

0 Direct contact with materials. 0 Fire and explosion.

The HRS employs a weighting process to assure that a high risk, via any one or more of the pathways described above, will tend to produce a high ranking, and so a high priority for cleanup. Sites which receive the highest ranking under HRS are placed on the NPL and thus become eligible to have cleanup activities financed by the Superfund. The NPL includes abandoned and uncontrolled hazardous waste sites.

What Do Site Evaluation, Remedial Action Selection, and Cleanup Standards Mean?

The site evaluation and cleanup selection (or Remedial Investiga- tiordFeasibility Study) process is referred to as the "RI/FS" process. Remedial investigation covers site assessment activities, under which lead agencies evaluate the nature and extent of site contamination and general site conditions, and begin to identify possible cleanup methods. The remedial action selected must attain a specified degree of cleanup and control of further releases which, at a minimum, assure protection of human health and the environment. EPA establishes the cleanup standards to impose, taking into account the risk posed to human health and the environment, as well as "applicable or relevant and appropriate requirements" (ARARs) for environmental quality found in other federal, state, and local environmental and health laws. This includes selection of a remedial action that enables attainment of maximum


contaminant level (MCL) goals established under the federal Safe Drinking Water Act (SDWA) and water quality criteria established under CWA.

In the feasibility study process, comprehensive cleanup options are developed and evaluated to select alternatives. SARA specifies a list of seven minimum factors which EPA must consider in assessing alternative remedial actions. However, in 1990 EPA listed nine criteria to be considered when evaluating and selecting alternatives:

Overall protection of human health and the environment. Compliance with ARARs. Long-term effectiveness and permanence. Reduction of toxicity, mobility, or volume through treatment. Short-term effectiveness. Ability to implement. cost. State acceptance. Community acceptance.

SARA states that cleanup methods in which treatment "permanently and significantly reduces the volume, toxicity or mobility of . . . hazardous substances . . . are to be preferred over remedial actions not involving such treatment. " Consequently, permanent solutions to hazardous waste problems are preferred in site cleanups, as opposed to mere containment or redisposal of contaminated materials (in potentially leaky landfills, for example). Consistent with the emphasis on treatment technologies, SARA does not favor the transport and disposal offsite of hazardous substances.

EPA approves cleanup plans, including cleanup standards, in a formal document called the Record of Decision (ROD). Final cleanups should reduce contamination to levels that meet CWA and SDWA standards, as well as potentially more stringent ARARs standards. Provisions are made, however, for cost-based exceptions to these requirements.

CERCLA provides that Superfund response action contractors (RACs) are not liable to any person for injuries, costs, damages, expenses, or other liability resulting from an actual or threatened release not caused by RACs' negligence or intentional misconduct. In 1990, this was amended to clarify that issuers of surety bonds for cleanups have the


same protection from liability. The amendment applies only to sureties that provide bid, performance, or payment bonds to RACs.

CERCLA also gives EPA discretionary authority to indemnify RACs for releases of hazardous substances or pollutants, or for contamination arising out of negligence in conducting response activities at sites on the NPL and in removal actions.

To be eligible for indemnification by EPA, a RAC must have made diligent efforts to obtain insurance coverage from non-federal sources. The goal of the guidelines is to ensure that an adequate pool of qualified RACs is willing to work at Superfund sites. However, EPA does not intend to offer indemnification if it receives a sufficient number of qualified bids or proposals but only to offer it if lack of response can be linked to the absence of indemnification. This is disappointing to contractors since the policy will favor those contractors that carry their own insurance. Moreover, many are concerned that the liability coverage of $50 million ($75 million for long-term contracts of five years or more) is insufficient, given the high risk of liability to which they are exposed. The term of the coverage offered by EPA is for 10 years.

Where Does the Term "Superfund" Come From?

The purpose of CERCLA was to create a substantial fund (hence, the name "Superfund") to finance cleanup at sites where no financially viable responsible parties could be identified, and to cover costs of the extensive RUFS evaluation process. The Superfund was set at $1.6 billion for its first five years; SARA expanded the fund to $8.5 billion for the following five years. The Superfund was originally financed by a tax on domestic crude oil, imported petroleum products, and sales of certain feedstock chemicals. SARA raised the tax on petroleum and added a broad-based tax on business income to finance the Superfund's expansion. Both imported and domestic oil are charged a tax of 9.7 cents per barrel.

When no financially viable responsible parties can be located or identified, Superfund's federal money is available for 90 percent of the full range of cleanup activities in states that contribute the remaining 10 percent. At state-owned sites on the NPL, the cost division between


federal and state is 5050. States are not required to contribute matching funds to the cleanup of federal facilities.

Who Are Responsible Parties and What Are Their Liabilities?

Superfund includes extensive provisions for the identification of parties responsible for site contaminations. EPA and state agencies seek to identify "potentially responsible parties" (PRPs) and ultimately "responsible parties" who can be required to finance cleanup activities, either directly or through reimbursement of expenditures from the federal Superfund.

Owners and operators of vessels or facilities from which releases occur are considered PRPs. These owners and operators are usually discovered through the release reporting requirements discussed above. However, PRPs may also be identified through the hazardous waste disposal site notification requirements.

A PRP may be any person who:

Currently owns or operates a facility where hazardous substances have been or are being released. Owned or operated a facility when the disposal of hazardous materials occurred. Arranged for the treatment, disposal, or transportation of a hazardous substance to the facility from which the release has occurred or may occur. Transported a hazardous waste to a facility from which a release or threatened release occurs.

Responsible parties are strictly liable under CERCLA. Thus, CERCLA requires only a past or present release or threatened release from a facility to impose liability. This means that negligence or other wrongdoing is not required. Parties identified may be held liable for cleanup costs even if procedures followed at the time of disposal were reasonable and met then-current regulatory requirements. It is because of the strict liability nature of CERCLA that site assessments have become routine practice in the transfer of any commercial property. Purchasers that ignore this practice may be subjecting themselves to potential liabilities.


The Courts have also agreed that CERCLA authorizes the imposition of joint and several liability. Whether or not joint and several liability applies in a given case depends on whether the harm caused is "divisible" or "indivisible. " If the harm is indivisible, any single responsible party may be held liable for the entire harm. Courts will not impose joint and several liability, however, when the harm is divisible and a reasonable basis exists for apportioning the harm. Superfund's liability provisions are so broad that even state governments may be held liable for response costs. The U.S. Supreme Court held that SARA'S broad liability provisions strip state governments of their traditional immunities against lawsuit, so that states may now be named as responsible parties and charged with cleanup costs.

What Are the Liabilities?

Under Superfund, responsible parties are ultimately liable for:

0 All costs of a removal or remedial action incurred by the federal or state government not inconsistent with the NCP.

0 Any other necessary costs incurred by any other persons consistent with the NCP.

0 Damages for injury, destruction, or loss of natural resources and the cost of possessing such damages.

SARA also establishes responsibility for interest on the cost of response activities. However, Superfund establishes dollar limits on liability based on the type of "facility" involved. These limits are as follows:

0 Vessels--the greater of $300 per gross ton or $5 million. 0 Motor vehicles (including aircraft)--$5 million.

Pipelines--$50 million. 0 All other facilities, including incineration vessels--all response

costs plus $50 million for any damages.

Failure to give notice of an unauthorized release waives these limitations. Also, failure to comply with an applicable federal standard through willful misconduct or willful negligence resulting in the release of a hazardous material also vitiates these limitations.


Lender Liability and the Security Interest Exemption

The term "owner or operator, 'I is defined to specifically exclude any "person, who, without participating in the management of a . . . facility, holds indicia of ownership primarily to protect his security interest in the . . . facility. " This provision, known as the security interest exemption, may be invoked to shield secured creditors from liability as "owners or operators" under CERCLA. A great deal of interest has therefore arisen regarding the exact meaning of the exemption, and in particular about what constitutes 1) "participating in the management" of a facility, and 2) holding "indicia of ownership primarily to protect" a security interest.

The federal courts have been asked to distinguish between activities that a secured creditor may engage in that are consistent with the security interest exemption and activities that expose the creditor to CERCLA liability. After the Eleventh Circuit Court of Appeals advanced a particularly controversial interpretation of the security interest exemption in 1990, EPA formulated a rule purporting to establish, with precision as well as finality, the precise contours of the exemption.

The Eleventh Circuit's decision in the so-called FZeet Factors case disturbed many in the lending community, particularly those who read the opinion to suggest that the mere "capacity" to affect hazardous waste treatment or disposal activities could subject a creditor to CERCLA liability. The ensuing debate over the meaning and implications of Fleet Factors was interrupted by the Ninth Circuit's decision in Bergsoe Metal Cor-. v. The East Asiatic Co. Although the court formally refused to adopt a rule delineating the degree of control a secured creditor may exert before it incurs liability under CERCLA, it was careful to emphasize that some actual management of the facility must be involved. Since the conduct of the secured party in the case did not amount to actual management, the court found it unnecessary to define the precise parameters of "participation in management. The court did assert that the mere holding or reservation of a right to engage in activities at the secured property, in the absence of the actual exercise of that right, did not constitute participation in management for purposes of the security interest exemption.


The Lender Liability Rule

Fleet Factors increased the risk that lenders would be subject to CERCLA liability when attempting to protect their interests, and it resulted in a mass outcry from lenders and financial institutions for reform. Otherwise incompatible decisions, as exemplified by the divergent Ninth and Eleventh Circuit philosophies on the issue, provided a source of consternation for the financial and lending community. Many commentaries on the subject also exaggerated the implications of Fleet Factors and caused added confusion and turmoil. EPA and Con- gress were then heavily lobbied to ameliorate the possible damaging results of Fleet Factors. Consequently, in 1992, EPA published a final rule clarifying the scope of CERCLA’s security interest exemption and specifying a range of activities that a secured creditor might engage in without losing the protection of the exemption. The rule provides relief or certainty to lenders in the wake of Fleet Factors and related case law.

One reason for EPA’s diligence in promulgating this rule was the predicament of the Resolution Trust Corporation (RTC) and the Federal Deposit Insurance Corporation (FDIC). RTC and the FDIC were created by Congress to handle failed banking institutions and are now conservators and receivers of many real property holdings--which include contaminated parcels--in the aftermath of the savings and loan debacle. A clear rule on the issue dispels any anxiety that these institutions might have had.

The key provisions of the rule are those defining the phrase “participation in management. ” The term is limited to actual participation in the management or operation of a facility, and excludes “the mere capacity to influence, or ability to influence, or the unexercised right to control facility operations.” When the debtor is in possession of the facility, the secured party is considered to be participating in management only if at least one of the following two circumstances applies :

0 The secured party exercises decision-making control over the debtor’s environmental compliance, such that the secured party has undertaken responsibility for the debtor’s hazardous substance handling or disposal practices.


The secured party exercises control at a level comparable to that of a manager of the debtor's enterprise, such that the secured party has assumed responsibility for the overall management of the enterprise encompassing the day-to-day decision-making of the enterprise with respect to either 1) environmental compliance, or 2) all or substantially all of the operational aspects of the enterprise other than environmental compliance.

The term "operational aspects" refers to functions handled by a facility or operations manager, chief operating officer, or chief executive officer. Operational aspects do not include "financial or administrative aspects," which encompass functions similar to those of a credit, accounts, or personnel manager; controller; or chief financial officer. The rule further specifies activities of secured parties that do not constitute management participation for purposes of the security interest exemption. These include conducting or requiring an environmental inspection of a prospective debtor's facility. Included are "policing" or "work out" activities performed prior to foreclosure, provided that the secured party does not by such actions participate in the management of the facility. "Policing" activities include requiring the debtor to clean up the facility or to comply with applicable environmental and other laws, and monitoring or inspecting the facility or the debtor's business or financial condition. "Work out" activities are those undertaken by the secured party to prevent, cure, or mitigate a default by the debtor or to preserve or prevent the diminution of the security's value. Restructuring or renegotiating the terms of a security interest and providing specific or general financial or other advice or suggestions are examples of work out activities.

"Indicia of ownership" includes legal or equitable title acquired via foreclosure. These indicia are deemed to be held after foreclosure primarily to protect a security interest if both of the following are true:

The rule also addresses post-foreclosure activities.

0 The holder undertakes to divest itself of the property "in a reasonably expeditious manner, using whatever commercially reasonable means are relevant or appropriate.

0 The holder did not participate in management prior to foreclosure.


A holder affirmatively establishes that ownership indicia continue to be held primarily to protect a security interest when it does either of the following within 12 months following foreclosure (or acquisition of marketable title):

0 Lists the facility with a broker, dealer, or agent who deals with the type of property in question. Advertises the facility at least monthly in a publication or newspaper specified in the rule.

A holder that did not participate in management prior to foreclosure and that otherwise complies with the above rules regarding post- foreclosure may conduct any of the following activities without voiding the security interest exemption:

Sell or release property held pursuant to a lease financing transaction.

0 Maintain business activities. Liquidate or wind up operations.

0 Undertake a response action under CERCLA. Take measures to preserve, protect, or prepare the secured asset prior to sale or other disposition.

Such a holder will incur CERCLA liability with respect to a facility it possesses after foreclosure only if it does either of the following:

0 Arranges for disposal or treatment of a hazardous substance, as provided by CERCLA. Accepts for transportation and disposes of hazardous substances at a facility selected by the holder, as provided by CERCLA.

A holder does not incur liability by virtue of taking any response action under CERCLA.

It is important to note that if a plaintiff brings suit under CERCLA, he has the burden of establishing that the defendant is liable as an owner or operator.

States are also developing lender liability rules under their state programs. For instance, the Oregon Environmental Quality Commission adopted rules exempting those lenders and trust companies that act as


fiduciaries from liability for contaminated properties if certain procedures and rules are followed; government entities are also exempt from liability. Oregon rule also exempts trust companies.

Finally, the most dramatic break for lending institutions has come from the state with the most prolific cleanup programs: New Jersey. New legislation limits the liability of banks and other lenders under the state’s superfund law, the Spill Compensation and Control Act (N.J. Stat. Ann. 0 58: 10-23.1 1). The lender exemption provided by this law is based on the same principles as EPA’s lender liability rule (e.g., lenders will be exempt as long as they do not actively participate in the management of the facility prior to foreclosure). Lenders could be still held liable under the law for hazardous substance releases that continue after foreclosure. However, they can only be held liable for such contamination if they are found “negligent.” For instance, if a bank was aware of a release from drums of hazardous wastes after foreclosure, the bank could be held liable under a negligence standard if proper containment precautions were not taken to prevent the spread of contamination. This is a striking departure from the usual strict liability standard imposed under federal and state Superfund laws and is quite a coup for lending institutions.

What Are Defenses Against Liabilities?

Superfund does not impose liability when a release is caused solely by an ”act of God” or an act of war. There is also no liability when the sole cause of a release is the act of a third party (other than an employee, agent, or independent contractor of the defendant). A key point though is that the defendant must prove that due care was exercised and precautions taken against foreseeable acts. These defenses are not available to persons who fail to report releases.

SARA added an important defense for property owners who acquire land and subsequently discover that hazardous substances were disposed of on the property without their knowledge. This is known as the ”innocent landowner defense. ” This defense is available only if a person acquired property after the disposal or placement of the hazardous substances on the property, exercised due care with respect to the substances, and took reasonable precautions against foreseeable acts or omissions of third parties. The property owner must also establish at least one of the following:


0 He or she did not know and "had no reason to know" of the presence of hazardous substances on the property when it was acquired.

0 The property owner is a governmental entity that acquired the property involuntarily or by eminent domain.

0 The property was acquired by inheritance or bequest.

The courts generally consider a variety of factors to assess the property owner's level of knowledge or innocence, including any specialized knowledge or experience and the ability to detect contamination by an appropriate inspection. As awareness of the likelihood of site contamination spreads, the viability of this defense narrows.

STATE "SUPERFUND" PROGRAMS AND PROPERTY TRANSFER LAWS

Introduction

State superfund programs are designed to provide for the state to share in projects funded under CERCLA and to provide added resources for remediation of sites not slated for cleanup under the federal program. These programs generally parallel the federal cleanup program, with some exceptions: for instance, CERCLA excludes petroleum, but relevant state cleanup programs do not.


The New Jersey Spill Compensation and Control Act (the Spill Act--N.J. Stat. Ann. 5 58: 10-23.11) focuses on discharge prevention and standards for facilities storing hazardous substances and petroleum. The program adds site cleanup provisions to many of the mechanisms found in other federal laws, such as the Clean Water Act. Like CERCLA, the Spill Act also has provisions for notification [which is given to the state Department of Environmental Protection and Energy (DEPE), response, and removal of unauthorized or accidental discharges. Liability under the Spill Act is strict, joint, and several--just as it is under CERCLA. All removal and cleanup under the Spill Act must, to the greatest extent


0 He or she did not know and "had no reason to know" of the presence of hazardous substances on the property when it was acquired.

0 The property owner is a governmental entity that acquired the property involuntarily or by eminent domain.

0 The property was acquired by inheritance or bequest.

The courts generally consider a variety of factors to assess the property owner's level of knowledge or innocence, including any specialized knowledge or experience and the ability to detect contamination by an appropriate inspection. As awareness of the likelihood of site contamination spreads, the viability of this defense narrows.

STATE "SUPERFUND" PROGRAMS AND PROPERTY TRANSFER LAWS

Introduction

State superfund programs are designed to provide for the state to share in projects funded under CERCLA and to provide added resources for remediation of sites not slated for cleanup under the federal program. These programs generally parallel the federal cleanup program, with some exceptions: for instance, CERCLA excludes petroleum, but relevant state cleanup programs do not.


The New Jersey Spill Compensation and Control Act (the Spill Act--N.J. Stat. Ann. 5 58: 10-23.11) focuses on discharge prevention and standards for facilities storing hazardous substances and petroleum. The program adds site cleanup provisions to many of the mechanisms found in other federal laws, such as the Clean Water Act. Like CERCLA, the Spill Act also has provisions for notification [which is given to the state Department of Environmental Protection and Energy (DEPE), response, and removal of unauthorized or accidental discharges. Liability under the Spill Act is strict, joint, and several--just as it is under CERCLA. All removal and cleanup under the Spill Act must, to the greatest extent


possible, be conducted in accordance with the NCP for removal of oil and hazardous substances.

Like CERCLA's Superfund, the Spill Act created the New Jersey Spill Compensation Fund (the Fund) to support cleanup and removal costs incurred by DEPE and third parties, and to pay direct and indirect damages to innocent persons who sustained losses due to hazardous substance discharges. The Fund derives its money from a state tax on barrels of hazardous substances transferred, and by costs and damages recovered from dischargers. Like EPA's authority under CERCLA, the administrator of the Fund may settle disputes with responsible parties over monies disbursed by the Fund. The Spill Act directs the administrator to promote and arrange for settlements between claimants and responsible parties--where identifiable--to avoid recourse against the Fund. If responsible parties cannot be identified, the administrator is directed to seek settlement of claims against the Fund.

As under CERCLA, any person who has discharged a hazardous substance or is in any way responsible for any hazardous substance is held strictly liable, jointly and severally, without regard to fault, for all cleanup and removal costs, no matter who incurred them. In contrast, CERCLA does not explicitly set forth the standard of liability to be imposed. Strict liability under the Spill Act and CERCLA is applied retroactively to discharges that occurred before the enactment of the Spill Act.

Under the Spill Act, liability for cleanup and removal costs can reach up to $50 million for each major facility and $150 per gross ton for each vessel. These limitations do not apply in cases of gross negligence, willful misconduct, or gross or willful violations of safety, construction, or operating standards.

The Spill Act provides for more extreme penalties than CERCLA does for certain types of violations. Also the Spill Act imposes "punitive" measures for severe discharges to the land and/or waters of the state: " [Alny person whose intentional or unintentional act or omission proximately results in an unauthorized releasing, spilling, pumping, pouring, emitting, emptying, or dumping of 100,000 gallons or more of a hazardous substance, or combination of hazardous substances, into the waters or onto the lands of the State, or entering the lands or waters of the State from a discharge occurring outside the jurisdiction of the State, is liable to a civil administrative penalty or civil penalty of not more than $10,000,000 . . . In assessing a penalty pursuant to this section, [DEPE]


shall take into account the circumstances of the discharge, the conduct and culpability of the discharger, or both, prior to, during, and after the discharge, and the extent of the harm resulting from the discharge to persons, property, wildlife, or natural resources. " N.J 58: 10-23.1 1.1.

New York State Toxic Cleanup Law

In 1978, the state legislature passed a measure directing 1 State Department of Health (DOH) to conduct a study to evaluate the effects on public health associated with "exposure to toxic substances emanating from certain landfills." N.Y. Pub. Health Law 0 1386. This study was the direct result of Love Canal. Subsequent to this measure, the state legislature passed the New York Inactive Hazardous Waste Sites Law (the Inactive Sites Law). Although the Inactive Sites Law was enacted prior to the federal Superfund program, the Inactive Sites Law's provisions for public financing of contaminated sites were not born until after the passage of CERCLA.

Under the New York State Hazardous Waste Site Remedial Plan, which has been mandated by the Inactive Sites Law, the New York State Department of Environmental Conservation (DEC) has established an aggressive cleanup schedule. DEC is attempting to begin remediation at 500 of the state's identified sites by the year 2000, a clear sign of intense commitment. The total number of sites that will require remediation under the program is expected to reach over 700.

Although DEC appears to be on track toward meeting its self- imposed deadline of the year 2000 for beginning remedial actions, final cleanup of these sites will take many more years. DEC estimates that the average time to complete remediation efforts at contaminated sites is five years. However, many sites are sure to take much longer to fully remediate. Nevertheless, DEC's attempt to begin cleanup at 500 sites is a sign of its strong commitment.

The scope of the New York program is more narrow than that of CERCLA. The Inactive Sites Law provides for the identification, listing, and remediation of "inactive hazardous waste disposal sites," which it defines as "any area or structure used for the long term storage or final placement of hazardous waste including, but not limited to, dumps, landfills, lagoons and artificial treatment ponds, as to which area or structure no permit or authorization issued by [DEC] or a federal agency

Stat. AA. 5

le New York


for the disposal of hazardous waste was in effect after the effective date of this [law]." N.Y. Envtl. Conserv. Law 0 27-1301(2). This definition is much narrower than that employed by the federal Superfund program, which does not exclude hazardous waste sites that are permitted after 1979, the effective date of the Inactive Sites Law. Moreover, the Inactive Sites Law merely applies to "hazardous waste sites" and does not include the broader category of all sites contaminated with "hazardous substances" covered under CERCLA. Because of this limited coverage, remediation of New York sites that pose a threat to public health and the environment may require the assistance of the federal Superfund program. However, the use of state funds for the state matching share under the federal Superfund program is permitted. Therefore, if a site is being addressed under the federal program, the state's "superfund" may be used for the state matching share.

The New York State DEC (under the Inactive Waste Sites Law) has developed a comprehensive registry of inactive hazardous waste sites (the registry) in the state. The registry lists inactive sites, defines the scope of cleanup problems, sets priorities, and tracks progress at individual sites. The registry is reviewed continuously and updated annually on March 31. In maintaining the registry, DEC annually reassesses, in cooperation with DOH, the relative need for action at each site. DEC classifies each site similarly to the way EPA does under HRS. The ultimate purpose of the Inactive Sites Law is to provide for cleanup of contaminated sites. In pursuing this goal, the most severely contaminated sites are usually addressed first since they generally pose the greatest threat to public health and the environment. In this way the expenditure of funds and time are approached with reference to the relative need for action at the sites. By ranking and prioritizing the sites, DEC determines which enter the remedial process first and schedules enforcement efforts in pursuing responsible parties.

The Inactive Sites Law's preferred source of funding cleanups is responsible parties. DEC is directed to identify private parties responsible for contamination, and to enforce payment of cleanup costs. DEC attempts to negotiate consent orders to secure voluntary cleanup by responsible parties. Where no financially solvent responsible party can be located, DEC may develop and implement any remedial program. If responsible parties are later identified, DEC can recover from them costs, penalties, and monetary damages, or may require such parties to continue the development and implementation of a remedial program.


The Hazardous Waste Remedial Fund is the state superfund for funding emergency abatement measures, remedial activities that responsible parties are unwilling to perform, remedial activities when responsible parties cannot be identified, and the state share of cleanup costs under the federal Superfund program. This state superfund is financed through assessments on the generation and disposal of hazardous wastes and petroleum surcharge fees, and fines and penalties and it also receives appropriations from the state's general fund. Where possible, DEC attempts to secure funding for site remediation through the federal Superfund program. In 1986, the state Legislature responded by passing the Environmental Quality Bond Act of 1986 (Bond Act). The Bond Act added a considerable financial commitment to the state superfund effort, providing $1.45 billion for a variety of environmental programs, with $1.2 billion of that targeted for hazardous waste remediation projects.

Under the Inactive Sites Law, owners and operators of sites on the registry must notify DEC and DOH before substantially changing the use of their sites. Written notice must be provided at least 60 days prior to a change in use or physical alteration of land or construction. Substantial changes include erection of buildings, paving of roadways and parking lots, or the creation of a park or recreation facility. A substantial change in use requires notice only, and not DEC and DOH approval, unless DOH declared "a condition dangerous to life or health resulting from an inactive hazardous waste disposal site. " In these cases, initiation of changes to the site may not begin prior to written approval being issued by both DEC and DOH. The agencies cannot approve the changes if the new use would interfere with a remedial program or increase risk to the environment or human health.

The "Super Lien" Laws

Some states have gone beyond CERCLA and SARA by enacting a priority lien or ""super lien" provision as part of their Superfund laws. A priority lien allows the state to impose the lien with priority over all other claims. New Jersey has led the way in allowing liens for cleanup costs.

In 1980, the New Jersey's Spill Act was amended to include a super lien provision designed to prevent responsible parties from escaping liability by claiming bankruptcy. This predated SARA, which included a much weaker federal lien provision.


Any expenditure made for cleanup and removal is a debt of the discharger to the New Jersey Spill Compensation Fund:

The debt shall constitute a lien on all property owned by the discharger when a notice of lien, incorporating a description of the property of the discharger subject to the cleanup and removal and an identification of the amount of cleanup, removal and related costs expended from the fund is duly filed with the clerk of the Superior Court ... Upon entry by the clerk, the lien, to the amount committed by the administrator for cleanup and removal, shall attach to the revenues and all real and personal property of the discharger, whether or not the discharger is insolvent. N.J. Stat. Ann. 0 58: 10-23.1 lf(f).

The lien constitutes a priority lien--meaning it creates a lien with priority over all past and future claims or liens filed--on the property which is the subject of the cleanup and removal costs. A typical lien may apply to all other property that the discharger owns:

The notice of lien . . . which affects any property of a discharger other than the property subject to the cleanup and removal, shall have priority from the day of the filing of the notice of the lien over all other claims and liens filed against the property, but shall not affect any valid lien, right, or interest in the property filed in accordance with established procedure prior to the filing of a notice of lien . . . N.J. Stat. Ann. 0 58: 10-23.1 lf(f).

The priority lien or super lien "does not come into existence and is not recorded until expenditures are made out of the Spill Compensation Fund. Therefore, the state cannot simply assert the lien on property in anticipation of, or prior to, cleanup; it can only assert the lien once it has spent money on cleanup efforts.

As originally enacted, the priority lien provision extended to all assets of the responsible party. However, mass criticism of the statute's scope forced later amendments. In 1985, the priority lien provision became limited to "dirty assets "--those associated with un-authorized discharges--although a typical lien is available for other assets.

With the advent of liabilities stemming from the so-called super lien laws, it has become standard practice for purchasers to perform site


assessments prior to real property transfers. Severe contamination can not only result in excessive liability for responsible parties and landowners, but also be a "deal breaker": if a site is severely contaminated, a potential buyer may walk away from purchasing the property. Lenders are also particularly leery of such properties. The site could still be useful as a commercial property, however, even if there are leaking USTs or the land has been contaminated through other commercial activities, e.g., a bus yard where years of leaking fuel and oil have contaminated the land (if such problems are not remediated, they can, of course, lead to further troubles at a later date). In many of these circumstances, a buyer may still be willing to purchase a contaminated property if remediation of the property is a condition of the sale.

Many contractual options are available. Agreements between sellers and purchasers can be structured so that the seller either performs cleanup or reimburses the buyer for the cleanup costs. As with many types of contractual arrangements, there are pitfalls. The type of agreement chosen will depend on the buyer's and seller's respective needs and their willingness to negotiate. For instance, if the seller takes on the burden of cleaning the property, there may be a dispute over "how clean is clean." Conversely, if the buyer agrees to remediate the property conditional upon reimbursement from the seller, a dispute may arise over remediation costs with the seller refusing to pay above a certain level. A cap on remediation costs in the sales agreement will prevent the buyer from forcing the seller to restore the property to a pristine condition if it is unnecessary under the circumstances.

Despite the now-routine site assessments conducted when commercial properties are transferred, there are additional state requirements that mandate either the performance of these assessments or the notification of buyers that contamination exists. These types of state laws provide added protection for buyers and place the burden on sellers to perform site assessments and to be candid about the site's history. In states without such statutes, the burden is on the buyer to ensure that the property is clean before it is purchased. In either type of state, however, both buyers and sellers may wish to get their own consultants to ensure the accuracy and honesty of the assessments; the buyer wants to avoid liabilities and the seller does not want to be saddled with unnecessary or inflated cleanup costs.

The types of pretransfer statutes may vary from those that merely require sellers to notify buyers of contamination (for example, the Illinois


Responsible Property Transfer Act of 1988 and the Indiana Responsible Property Transfer Law) to those that require an actual pretransfer cleanup as a condition of the sale (such as the Connecticut Property Transfer Act). New Jersey, however, has been the benchmark by which all these statutes are judged as it has developed one of the most innovative programs in the nation.

New Jersey’s Industrial Site Recovery Act (ISRA) is a pretransfer cleanup law developed to promote cleanup of toxic contamination. I S M requires industrial establishments to disclose and remove contamination located on their properties prior to transfer of the establishment or the contaminated property, or when operations at these sites cease. The owners and operators (sellers in the case of a transfer) of the properties or businesses are responsible for the costs and implementation of cleanup. In essence, ISRA imposes a precondition on the transfer or closure of an industrial site or establishment and forces the use of private funds--rather than public funds like Superfund--to clean up contaminated industrial sites.

ISRA serves as a model to other states. Among the national and state legislation dealing with toxic contamination, ISRA is unique; only a small number of states (e.g., Connecticut) have enacted similar laws that require actual cleanup prior to transfer. Even among those states with similar programs, ISRA is recognized as the most powerful law of its kind.

Although some states, such as California and Massachusetts, discussed the possibility of enacting similar pretransfer statutes, the vast majority avoided such a program, possibly for fear of disenfranchising industry and creating turmoil in the commercial real estate market. Many also viewed it as unnecessary since fear of Superfund liability had made site assessments routine practice as part of commercial property transfers, ISRA, however, also mandates site assessments for an expanded variety of activities. For instance, site assessments are required every time operations at a site are discontinued or drastically changed. In these instances, it is not even necessary to transfer property to trigger cleanup requirements. New Jersey does not want site owners merely to cease operations, let their sites deteriorate, and later become a burden for taxpayers by needing cleanup under the state Superfund program. Moreover, even though cleanup may occur as a practical matter in states that do not have pretransfer statutes, in New Jersey such cleanups have been conducted with oversight by the state.


The (New Jersey) Industrial Site Recovery Act

New Jersey has the distinction of being the state with the highest number of NPL hazardous waste sites, Le., sites requiring cleanup under CERCLA. The residents of the most densely populated state in the nation have to contend not only with Superfund sites, but also numerous chemical and pharmaceutical facilities. Stringent environmental initiatives, considered some of the most aggressive in the country, have been created as a result of these circumstances.

ISRA requires industrial establishments to disclose and remove contamination located on their properties prior to the transfer of these establishments or contaminated properties, or when the operations at such sites cease. The owners and operators (sellers in the case of a transfer) of the properties (or businesses) are responsible for the cleanup costs and implementation. In essence, ISRA imposes a precondition on the transfer or closure of an industrial site or establishment and forces the use of private funds--rather than public funds like CERCLA--to clean up contaminated industrial sites. Thus, ISRA has made it mandatory to perform site assessments prior to the transfer of property.

Until a major legislative amendment in 1993, ISRA was called the Environmental Cleanup Responsibility Act (ECRA). The original law became effective in 1983.

While ECRA supporters hailed the program as a huge success, critics claimed that it strained New Jersey’s economy (and local economies) by causing both delays in real estate transactions and additional financial and legal burdens to be placed on business--ultimately forcing business to leave the state in search of more favorable treatment. ECRA was viewed as a continuing cause of the relocation of New Jersey’s manufacturing base and a major reason for chilling the movement of new business into the state. Even ECRA supporters recognized that ECRA has been problematic for urban redevelopment efforts. Both the state Department of Environmental Protection and Energy (DEPE) and a state legislator who sponsored the original legislation have been sensitive to these problems and have implemented initiatives or proposed legislation to address these shortcomings.

Despite the fact that the law was very successful in forcing an astonishing number of site cleanups, the political landscape had entirely changed and complete reform of the landmark law became inevitable. Pressure by industry lobby groups together with a deep recession and a


dramatic shift from a Democrat-controlled legislature to a Republican- controlled one, helped create the momentum for an overhaul of ECRA. Many Republicans criticized the law as a symbol of government overregulation.

On June 16, 1993, the Governor signed the long-awaited revision to ECRA. When signing the 66-page bill (S 1070), Governor Florio commented that the bill restored a proper balance between environmental protection and economic development. S 1070 was the result of months of discussions with environmentalists, business interests, and DEPE. The intent of S 1070’s sponsors was to improve New Jersey’s business climate by reducing regulatory burdens and spurring redevelopment of New Jersey’s vast industrial and commercial lands. ECRA was renamed ISRA; the stigma attached to the old law was apparently enough to warrant the change of name. Not surprisingly, neither environmentalists nor industry viewed the amendments as going far enough in their respective directions. It was, indeed, a carefully prescribed compromise.

While ECRA was a law characterized by its inflexibility in application, ISRA is expressly written to provide for waivers and deferrals that can apply depending upon the circumstances of a given facility or site history. Specifically, ISRA made the following changes in ECRA:

Site owners no longer have to provide separate financial assurance--such as a bond--for cleanup while using other financial resources to undertake the cleanup. Although a site owner must still establish how cleanup will be funded, so as to ensure that actual cleanup proceeds, money can now be drawn from that source to pay for cleanup. Environmental reviews at sites that have undergone state- approved cleanups in the past will be expedited. Most soil cleanups will be allowed to proceed without state oversight, however, oversight of ground water and surface waters will be increased. Property owners will be permitted to transfer ownership of up to one third--or larger in some cases--of the value of the site without triggering mandatory cleanup. The utilization of caps, fences, restrictions on site use, and other practices will be permitted to a greater extent as alternatives to permanent remediation.


Government entities that acquire property involuntarily (e.g., from tax delinquency, bankruptcy) will be exempt.

ISRA also permits the use of differential cleanup standards depending on whether property will be used for residential or non-residential purposes. The premise is that non-residential properties need not be as clean as residential properties. Nevertheless, the law does impose an across-the-board risk level no matter what cleanup standard is used. That is, ISRA standards prevent exposure to any pollutant that would result in an additional cancer in one-in-one million persons during a lifetime of exposure.

Finally, ISRA establishes a $50-million Hazardous Discharge Site Remediation Fund that will provide grants and loans to small businesses and municipalities to aid in cleanup. This program will be funded by a one-percent annual surcharge on cleanup funding sources.

ECRA was created with two purposes in mind. The program provides insurance against the creation of future Superfund sites in New Jersey--a state with more than its fair share when you consider its size--and provides for a unique "buyer protection plan" by requiring that all contamination be disclosed and cleanup completed prior to sale or transfer. These basic principles still operate under I S M , although in a less rigid form.

It is important to note that ISRA pertains only to industrial establishments engaged in activities falling into the major Standard Indus- trial Classification (SIC) code groups 22 - 39 (manufacturing), 46 - 49 (transportation; communications; electric, gas, and sanitary services), 5 1 (wholesale trade, nondurable goods), and 76 (miscellaneous repair services). Refer to Table 1. Additionally, these businesses must be engaged in the generation, manufacture, refining, transportation, treatment, storage, handling, or disposal of hazardous substances and/or wastes. ISRA exempts facilities subject to certain state laws. DEPE also has exempted certain operations and transactions, and certain subgroups or classes within these SIC categories (e.g., sewage systems) from the ISRA program. New Jersey courts have thus far deferred to DEPE's interpretation of ISRA and its applicability. Given the fact that ISRA slightly narrows the scope of the state's cleanup law, courts may continue to defer to DEPE's interpretation of the law.


TABLE 1

INDUSTRIES COVERED UNDER ISRA

SIC Code Industry Description

22 23

24 25 26 27

28 29 30 31 32 33

34

35 36 37 38

39

46 47 48 49

51

76

Manufacturing Groups

Textile Mill Products Apparel and Other Finished Products Made from Fabrics and Other

Similar Materials Lumber and Wood Products, except Furniture Furniture and Fixtures Paper and Allied Products Printing, Publishing, and Allied Products

Chemicals and Allied Products Petroleum Refining and Related Industries Rubber and Miscellaneous Plastics Products Leather and Leather Products Stone, Clay, Glass, and Concrete Products Primaly Metals Industries

Fabricated Metal Products, except Machinery and Transportation Equipment

Machinery, except Electrical Electrical and Electronic Machinery, Equipment, and Supplies Transportation Equipment Measuring, Analyzing, and Controlling Instruments;

Photographic, Medical and Optical Goods; Watches and Clocks

Miscellaneous Manufacturing Industries

Transportation, Communications, Electric, Gas, and Sanitary Services Groups

Pipe Lines, except Natural Gas Transportation Services Communication Electric, Gas, and Sanitary Services

Wholesale Trade Groups

Wholesale Trade, Nondurable Goods

Services Group

Miscellaneous Repair Services


ISRA compliance is necessary in the following two instances:

0 The transfer of ownership of a property or a business. 0 The closure of a business (cessation of operations).

The statute and DEPE regulations list a number of specific circumstances that constitute transfer, As mentioned above, DEPE amended its regulations regarding applicability. Despite the fact that ISRA had not yet become law, DEPE proceeded with amendments to ECRA rules to comply with a court-imposed deadline and ruling. In In re adoption of N. J.A. C. 7:26B, the New Jersey Superior Court upheld DEPE’s rules promulgated under ECRA, but remanded certain provisions regarding which transactions trigger an ECRA review (i.e., applicability) to DEPE for further rulemaking. DEPE proposed amendments to its rules on March 30, 1992, to conform to the court’s ruling, but, on July 23, 1992, ISRA was introduced in the state legislature. DEPE still proceeded with its rulemaking despite the possibility that ISRA would affect the applicability provisions of ECRA.

DEPE finalized the proposed rules on March 1, 1993; portions of the new rules were not mandated by the court’s decision. The rules clarified which business transactions trigger ECRA. DEPE has said that the new rule was consistent with the then-pending ISRA. DEPE’s new regulations became effective when Governor Florio signed I S M . Further rulemaking on the applicability issue may be forthcoming.

If requested by a site owner or operator, DEPE will perform an applicability determination for a fee. Applicability determinations enable establishments to be certain of whether they need to comply with ISRA.

Owners and operators of industrial establishments are responsible for compliance with ISRA. Once ISRA is triggered, the owner or operator must submit to DEPE a Pre-transaction Notice [corresponding to the General Information Submission (GIS) that was formerly required] in conformity with N.J. Stat. Ann. 6 13:1K-9(4). Unless a waiver or deferral should apply, after the Notice has been submitted, the ISRA- triggering party must remediate the property “in accordance with criteria, procedures, and time schedules established by the department. “ N.J. Stat. Ann. 0 13: 1K-9. Approvals for an ISM-regulated transaction include either an approved negative declaration, an approved remedial action workplan, a no further action letter, or a remediation agreement approval.


ISRA has addressed several sensitive issues involving landlordhenant relations when the cleanup law has been triggered. Pursuant to ISRA, the tenant must supply the landlord with the information the landlord needs to comply with the law and vice versa. Additionally, when a lease makes it clear who (either landlord or tenant) is to comply with ISRA in the case of a trigger, the other party may petition DEPE to compel the responsible party’s compliance.

With respect to cleanup criteria, ISRA, for the first time, requires DEPE to establish minimum soil remediation standards that differentiate between residential and non-residential uses. There is additional flexibility built into ISRA: alternative cleanup criteria may be adopted by DEPE for a given site, and engineering controls (such as capping) and institutional controls (such as deed restrictions) may be enlisted with the permission of DEPE. Furthermore, remediation beyond natural background levels of a given contaminant will not be required and remediation of contamination originating from offsite sources will not be demanded of an innocent party.

ISRA softens the impact of ECRA liability by introducing new provisions allowing for exemptions or deferrals. Some of these requirements, such as the deferrals, codify existing DEPE regulations. Under ISRA, for example, certain sites will not require pre-transaction cleanups or will be entitled to deferrals allowing the sale of a business or property prior to a cleanup. Additionally, financial security requirements have been significantly relaxed so that bonds will no longer have to be posted in the case of transactions that proceed before cleanups are undertaken.

One very important ISRA exemption is the so-called de minimis exemption for facilities whose usage of hazardous materials is comparatively small. The State must still be notified of an ISRA trigger, in the same manner as under ECRA, by way of a pre-transaction Notice filed with DEPE.

Another important exemption applies if the only environmental problems are related to one or more USTs. The USTs must still be remediated under the State Bureau of Underground Storage Tanks (BUST) program; however, a transaction that would have been covered by ECRA is no longer regulated under I S M if the pollution is only tank- related. Once again, the State must be notified of the situation through the filing of a pre-transaction Notice.


Four of the other options available under ISRA include:

0 Deferral of a site cleanup when the transferee will continue the use of the property.

0 Expedited review of sites already remediated under CERCLA, RCRA, or other hazardous waste law.

0 Area of Concern waiver for any section of a site that has already been remediated.

0 Waiver for a cleanup in progress.

A party required to perform an ISRA cleanup must establish and maintain a "remediation funding source" in the amount necessary to pay the estimated cost of the required remediation. Unlike past practice regarding "financial assurances" under ECRA, however, money from the remediation funding source may be used to pay for the actual cost of the cleanup and no further financial assurances can be required by DEPE.

In order to assist in financing ISRA-required remediation efforts, a new revolving fund known as the "Hazardous Discharge Site Remediation Fund" has been established. Loans from the Fund may be obtained by an owner or operator that cannot otherwise establish a remediation funding source. Grants are also available under certain circumstances where the ISRA party did not cause or have reason to know about the environmental problem.

ISRA specifically states that "[nlo obligations imposed by this act shall constitute a lien or claim which may be limited or discharged in a bankruptcy proceeding. All obligations imposed by this act shall constitute continuing regulatory obligations imposed by the state. N.J. Stat. Ann. 0 13:1K-12.

Under CERCLA, the owners of contaminated property are strictly liable for the contamination regardless of actual responsibility. Owners must then seek recovery of cleanup costs from the site's previous owners or responsible parties. As a consequence, buyers normally conduct environmental assessments of sites prior to their purchase to avoid future liability. If proper environmental assessments are not conducted before purchase, buyers and lenders are taking unnecessary risks because of the imposition of strict liability. Although a purchaser could later seek indemnity for contamination, the cost of legal fees and the possible


difficulties in obtaining money from prior owners or responsible parties make this option unattractive.

ISRA provides more than mere incentive for buyers to perform site assessments of properties prior to purchase; it provides the buyer with unique protections and shifts the burden of performing site assessments to transferrers from buyers or transferees. Transferrers must perform environmental assessments under the scrutiny of DEPE and clean the site, if it is contaminated, as a condition of a transaction. ISRA allows purchasers to void transfers of an industrial establishment or real property if the transferor does not disclose all contamination and perform the required cleanup, and if the transferor fails to comply with any ISRA provisions. The transferee is also entitled to recover damages resulting from the failure to implement a cleanup plan as well as all cleanup and removal costs.

DEPE performs inspections of sites at different stages of the I S M process and oversees actual cleanup operations, an added comfort to purchasers of industrial property.

Of course, there are instances under ISRA--as under CERCLA-- where parties required to comply with the statute may not have been responsible for the contamination. Many properties transferred prior to the passage of ECRA were contaminated. Cleanups were not performed in conjunction with these transactions and purchasers were often unaware of the extent or existence of contamination. ISRA, like CERCLA, provides for strict liability, without regard to fault, for all cleanup and removal costs. Therefore, parties who acquired contaminated real estate prior to ECRA/ISRA and who then attempt to sell this property may be held responsible for cleanup costs. Parties who find themselves in these seemingly unfair positions must then seek indemnity for cleanup costs from prior owners or responsible parties.

ISRA applies under the following guidelines only:

0 There must be a legally defined pending transaction. 0 The facility’s SIC code number must be specified in I S M . 0 Hazardous substances or wastes as defined by the regulations

must be present on the site.


SUMMARY OF FEDERAL REGULATIONS

Introduction

Property transfers are potentially affected by a broad range of federal legislation that deal with toxic and hazardous materials. For example, due diligence requires knowledge of the Toxic Substances Control Act (TSCA) and the Clean Air Act (CAA), which has been amended; as well as the Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA), the Resource Conservation and Recovery Act (RCRA), and the Clean Water Act (CWA).

Certain legislation and regulations impact property transfers by limiting property uses. Examples include the Rivers and Harbors Act of 1899, the Endangered Species Act (1973), and the Historic Preservation Act. Violation of these regulations may result in criminal or civil penalties and removal of the offending activity. This chapter provides an overview of the federal regulations that may impact on a property transaction. Table 2 provides a summary of these regulations.

SARA Title I11

The Emergency Planning and Community Right-to-Know Act was enacted as Title I11 of SARA in October 1986 and is intended to increase community awareness of the quantity and types of hazardous chemicals used by, and discharged from, local industries. SARA Title I11 requires emergency response plans to be developed for use in the event of releases of hazardous chemicals.

Under this act, the governor of each state must appoint a State Emergency Response Commission (SERC) which shall, in turn, appoint, supervise and coordinate the activities of Local Emergency Planning Committees (LEPCs). LEPCs are to consist of state and local officials, representatives of law enforcement, civil defense, fire departments, first aid and health personnel, and owners and operators of facilities subject to emergency planning and notification requirements. LEPCs develop plans for responding to hazardous chemical discharges and information requests from the public.

Emergency planning and notification requirements apply to facilities containing one or more extremely hazardous substance (EHS) equal to or in excess of the threshold planning quantity (TPQ). EPA has


SUMMARY OF FEDERAL REGULATIONS

Introduction

Property transfers are potentially affected by a broad range of federal legislation that deal with toxic and hazardous materials. For example, due diligence requires knowledge of the Toxic Substances Control Act (TSCA) and the Clean Air Act (CAA), which has been amended; as well as the Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA), the Resource Conservation and Recovery Act (RCRA), and the Clean Water Act (CWA).

Certain legislation and regulations impact property transfers by limiting property uses. Examples include the Rivers and Harbors Act of 1899, the Endangered Species Act (1973), and the Historic Preservation Act. Violation of these regulations may result in criminal or civil penalties and removal of the offending activity. This chapter provides an overview of the federal regulations that may impact on a property transaction. Table 2 provides a summary of these regulations.

SARA Title I11

The Emergency Planning and Community Right-to-Know Act was enacted as Title I11 of SARA in October 1986 and is intended to increase community awareness of the quantity and types of hazardous chemicals used by, and discharged from, local industries. SARA Title I11 requires emergency response plans to be developed for use in the event of releases of hazardous chemicals.

Under this act, the governor of each state must appoint a State Emergency Response Commission (SERC) which shall, in turn, appoint, supervise and coordinate the activities of Local Emergency Planning Committees (LEPCs). LEPCs are to consist of state and local officials, representatives of law enforcement, civil defense, fire departments, first aid and health personnel, and owners and operators of facilities subject to emergency planning and notification requirements. LEPCs develop plans for responding to hazardous chemical discharges and information requests from the public.

Emergency planning and notification requirements apply to facilities containing one or more extremely hazardous substance (EHS) equal to or in excess of the threshold planning quantity (TPQ). EPA has

68 Environm

ental and Health

Managing Facilities, D

ue Diligence and Facility Transfers

69


has established a complex set of six different thresholds for 360 EHS, ranging from 1 lb to 10,000 pounds. EPA regulations also require thresholds for any mixture containing EHS to be set individually, based on the percentage of EHS in the mixture (if above one percent for most EHS). The owner or operator of a facility subject to these requirements must notify the SERC within 60 days of becoming subject to the requirements. The owner or operator must also designate a representative to participate in the local emergency planning process as a facility emergency response coordinator; within 30 days of establishment of an LEPC, the owner or operator must notify the LEPC of the existence of the facility. The facility owner or operator must provide information necessary for developing and implementing the emergency plan upon request from the LEPC.

The Resource Conservation Recovery Act

The Resource Conservation and Recovery Act (RCRA), 42 U.S.C. $9 6901-6992k, provides the basic framework for federal regulation of hazardous waste. RCRA controls the generation, transportation, treatment, storage and disposal of hazardous waste through a comprehensive "cradle to grave" system of hazardous waste management techniques and requirements.

RCRA [Pub. L. No. 94-580, 90 Stat. 2795 (1976)l was adopted in 1976 as a revision and expansion of the Solid Waste Disposal Act (SWDA) of 1965 which, until then, had focused on disposal of municipal solid wastes. RCRA introduced a detailed nationwide program for management of hazardous wastes. Subsequent amendments, most notably the 1980 Solid Waste Disposal Act Amendments [Pub. L. No. 96-463, 90 Stat. 1982 (1976)] and the Hazardous and Solid Waste Amendments of 1984 (HSWA), have refined this regulatory framework and introduced new substantive requirements. RCRA is administered nationally by the United States Environmental Protection Agency (EPA), with major components of the law delegated to the states for ongoing implementation.

RCRA contains the official definition of hazardous waste; certain solid wastes are exempted under 40 C.F.R. Q 261.4 and include the following:


Domestic sewage. Household wastes. Industrial wastewater (point source) discharges subject to regulation under Q 402 of the Clean Water Act, i.e., 33 U.S.C. Q 1342. Agriculturally derived solid wastes. Mining overburden returned to the mine site. Solid waste generated from the extraction and processing of ores and minerals. Drilling fluids and other wastes associated with the exploration, development or production of crude oil, natural gas, or geothermal energy. Cement kiln dust waste. Discarded wood products treated with arsenic.

The following are exempted wastes under 40 C.F.R. Q 261.6:

0 Spent lead-acid batteries to be sent offsite for reclamation. 0 Used oil not mixed with hazardous waste. 0 Dry cleaning solvents routinely reclaimed onsite without being

stored.

Hazardous waste generators and transporters, and owners and operators of hazardous waste treatment, storage, or disposal (TSD) facilities must comply with the applicable regulations. Regulatory compliance includes manifesting and record keeping, maintaining facility standards, groundwater protection standards, preparing and submitting contingency and emergency preparedness plans, closure and post-closure standards, and contingent financial responsibility measures. In addition, owners and operators of hazardous waste treatment, storage (for greater than 90 days) or disposal facilities must obtain a RCRA permit from EPA or an authorized state agency.

A Comparison of RCRA and CERCLA

Although both RCRA and CERCLA were developed to protect human health and the environment, substantial differences do exist. CERCLA


is a goal-oriented program giving EPA the authority to perform cleanups, or to compel potentially responsible parties to remediate NPL sites. RCRA is a process-oriented law which compels owners to manage their facilities in a specified manner. Also, RCRA is a relatively inflexible program, whereas CERCLA is flexible and practical.

Given these distinctions, regulatory entities must apply innovative technical and policy interpretations when applying RCRA regulations and policies to CERCLA actions as when RCRA properties are transferred to CERCLA sites. EPA has ruled that any of the following four conditions must apply before a RCRA facility can be considered for transfer to the Superfund program for cleanup:

The owner or operator of a RCRA facility declares bankruptcy, and the courts protect the facility’s assets. A RCRA facility loses its authorization to operate. For example, EPA may deny a facility the permit required to operate, or EPA may revoke interim status.

0 A RCRA facility is negligent in submitting or executing an acceptable closure plan.

0 A RCRA facility violates other RCRA directives.

RCRA corrective action enforcement is currently the sole responsibility of EPA under the Office of Waste Programs Enforcement. Refer to Table 3.

Underground Storage Tanks

HSWA also included provisions for regulating underground storage tanks (USTs) containing any substance defined as hazardous under CERCLA and petroleum. 40 C.F.R. 0 280.12 defines an UST as a tank that stores regulated substances and has at least 10 percent of its volume, including the contents of connected pipes, underground.


TABLE 3 RCRA AND CERCLA COMPARISON

RCRA Purpose:

To regulate all applicable hazardous waste management activities.

To protect human health and the environment.

Enacted to regulate hazardous waste generators, transporters, and TSD facility operators.

Only specified TSD components can be regulated. These are:

Containers. 0 Incinerators. 0 Landfills.

Land Treatment Units. 0 Surface Impoundments.

Tanks. 0 Waste Piles.

HSWA also regulates solid waste units on TSD facilities.

Incinerator operation is subject to minimum acceptable performance standards.

Cost effectiveness is not a consideration under this program.

CERCLA Purpose:

To perform remedial action on NPL sites.

To protect human health and the environment.

Aimed at hazardous waste generators, transporters, and TSD facility operators.

Aimed at any threat to human health and the environment due to release of hazardous substances .

Standards are interpretative, health based, and set on a case-by-case basis.

According to 42 U.S.C. 8 9604(c) (CERCLA), remedial actions must be cost effective.


TABLE 3 (continued)

RCRA AND CERCLA COMPARISON

RCRA CERCLA

Purpose: Purpose:

Regulated material includes hazardous waste, and all listed and designated wastes per 40 C.F.R. part 261.

Regulated material includes substances designated in the following sections:

Federal Water Pollution Control Act 33 U.S.C. §1321(b)(2)(A) 40 C.F.R. part 261 33 U.S.C. 1317(a) (FWPCA) 42 U.S.C. 8 7412 (CAA) 15 U.S.C. 2606 (TSCA) 42 U.S.C. 9602 (CERCLA), which allows EPA to designate any element, compound, mixture, solution or substance as a hazardous substance.

HSWA subtitle I grants EPA the authority to regulate USTs, including registration, and establishing technical performance standards. EPA implemented the UST registration program and enjoined anyone from installing unprotected USTs in 1984, under 42 U.S.C. Q 6991a (HSWA). However, the program was not enforced until 1986. EPA proposed technical performance standards for USTs in April 1987. 52 Fed. Reg. 12662. Interim technical performance standards dictate design, construction, installation, and release detection; EPA issued final technical performance standards in September 1988. 53 Fed. Reg. 37082. Notification became mandatory as of October 1988. Anyone selling an UST on or after October, 1988, must notify the purchaser. 40 C.F.R. Q 280.22.

USTs containing radioactive wastes and materials are regulated by 40 C.F.R. part 280 subpart A, and the corrective action provisions of 40 C.F.R. part 280 subpart F, only.

Field-constructed tanks, including underground bulk storage tanks, must comply only with 40 C.F.R. part 280 subparts A and F. Field- constructed tanks are vertical cylinders with a capacity of greater than 50,000 gallons.


USTs larger than 110 gallons storing oil used for emergency power generators are subject to all UST regulations except for release detection requirements.

Liability and Enforcement Actions Under RCRA

Because RCRA provides "cradle to grave" regulation of hazardous wastes covering generation, transportation, storage, treatment, and disposal, the hazardous wastes generator is faced with a nearly limitless period of liability. A generator who has properly managed and disposed of wastes at a licensed offsite disposal facility may still be required to contribute funds to clean up the disposal facility in the future. The federal government can order such payment by authority of CERCLA or RCRA. In effect, implementing proper practices at a RCRA permitted facility is no guarantee against incurring financial liability for past practices. Cost recovery provisions covering leaking USTs also exist. The authority for these decisions was granted through SARA, via 42 U.S.C. 8 6991(d).

The enforcement provisions of 42 U.S.C. 5 6928 authorize the imposition of civil penalties at a maximum rate of $25,000 per day per violation. Knowingly treating, storing, transporting to an unpermitted disposal facility, or disposing of hazardous wastes without a RCRA permit can result in criminal penalties. Criminal fines can be up to $50,000 per day per violation and can include a five-year prison sentence. If the party responsible for the illegal activity knowingly places another person in imminent danger of death or serious bodily injury, criminal penalties can be expanded to a maximum total of $250,000 for an individual, and $1 million for a corporation. Individuals may also face up to 15 years of imprisonment. Finally, EPA enforcement actions can result in a facility's closure through the suspension of the RCRA operating permit.

Section 6973 of 42 U.S.C. grants additional authority to EPA to handle any imminent hazard that endangers human health or the environment due to past or present handling, storage, treatment, transportation, or disposal of any solid or hazardous waste. EPA can bring suit against generators, transporters, or past or present owners or operators of a treatment, storage or disposal facility at which an imminent hazard has been identified. This provision affects past and present facility owners. Enforcement action under this provision includes the authority to issue


an abatement order requiring a facility to take any action necessary to cease any action responsible for posing an imminent hazard. Failure to comply may result in a fine of $5000 per day per violation.

Clean Water Act (Federal Water Pollution Control Act)

In 1972, Congress enacted Pub. L. No. 92-500, 86 Stat. 816 (1972), entitled the Federal Water Pollution Control Act. This legislation was referred to as the Clean Water Act (CWA) after the addition of the 1977 amendments; it is the government's principal statute for regulating water pollution. Public Law No. 95-217, 91 Stat. 1566 (1977) addresses the problem of toxic water pollutants and Pub. L. No. 100-4, 100 Stat. 7 (1986) refines enforcement priorities and increases EPA's enforcement authority. EPA was granted authority to implement CWA, but states can administer certain tenets of the National Pollutant Discharge Elimination System (NPDES) program.

The objective of CWA is to "restore and maintain the chemical, physical, and biological integrity of the Nation's waters." "The CWA can be divided into five policy areas:

1. National water quality standards.

2. Industry specific minimum national effluent standards.

3. A permit program to regulate point source discharges, and to otherwise enforce water quality standards.

4. Special problems including toxic chemical releases and oil spills.

5 . Grants for construction of publicly owned treatment works (POTWs)."

Each state is required to divide water bodies into segments for CWA planning and implementation purposes. CWA requires states to submit plans to EPA defining water quality standards to be achieved for each segment identified. 33 U.S.C. Q 1313. Water quality standards measure the attributes of a given body of water and address all discharges into it.

Water quality standards serve a dual role, They establish goals for the quality of water in a specific water body; and, they serve as the


regulatory basis for defining and enforcing treatment controls and strategies beyond the national standards based on technology (discussed infra).

All dischargers must apply a minimum level of water pollution control technology, regardless of which water body receives their effluent discharge. These are termed “technology-based limits. Dischargers in selected locations must go further, applying additional pollution controls to ensure that their discharges do not cause violations of the water quality standards set for that receiving body. These are termed “water quality-limited requirements. ”

States designate uses for all water body segments (i.e., public water supplies, agricultural and industrial uses, protection and propagation of shellfish, fish and wildlife, and recreation), and then set criteria necessary to protect these uses. 33 U.S.C. Q 1312(a). Consequently, the water quality standards developed for particular water segments are based on their designated use and vary depending on such use (e.g., recreational waters are subject to more stringent standards than industrial waters).

In addition, each state identifies areas failing to meet water quality standards, and then establishes maximum daily pollutant loads that will achieve the applicable standards. 33 U.S.C. Q 1313(d). The states are also responsible for periodic review and modification of water quality standards. All water quality standards proposed by a state must be approved by EPA. 33 U.S.C. sec 1313(a)(l). Certain states have set water quality standards that are more stringent than the federal guidelines.

CWA Q 402; see 33 U.S.C. Q 1342 (1972) empowers the Director of EPA to “issue a permit for the discharge of any pollutant, or combination of pollutants . . . as the Administrator determines are necessary to carry out the provisions of this act.” The discharge of any pollutants directly into waters of the United States from a new or existing point source is prohibited unless the point source has an NPDES permit. 33 U.S.C. Q 1342(a)(1).

Pollutants that industries discharge indirectly into U. S. waters through POTWs constitute indirect point source discharges, and do not require NPDES permits; however, indirect sources are regulated under separate state or local programs that involve compliance with general pretreatment standards. Certain industries, whether they contribute through direct or indirect sources, must also comply with specific


industrial toxic pollutant standards which are directed to control conventional, nonconventional, and toxic pollutants from specific industries. Table 4 lists industries for which these categorical limits have been granted. By definition, "point source" excludes surface water runoff, though such sources are covered under separate provisions of the NPDES program. This term does not include agricultural storm water discharges and return flows from irrigated agriculture.

An NPDES permit is required before point source pollutants may be discharged directly into U.S. waters. 33 U.S.C. Q 1342. EPA has granted most states permitting authority under the NPDES program.

Permit applications must be submitted at lest 180 days prior to the proposed discharge date, or at the expiration of the existing permit. NPDES permits must be renewed every five years. 40 C.F.R. Q 122.46(a). NPDES permits set levels of performance for each discharger while EPA sets national permit limits, based on EPA effluent guidelines. Generally, effluent limitations must follow EPA guidelines, and may be further regulated by stricter receiving water quality standards.

EPA, authorized by the 1987 amendments to CWA, may grant variances from national effluent guidelines to certain industries, if those industries differ significantly from the industries considered when effluent guidelines were established. These variances are called the "Fundamentally Different Factors Variances. "

NPDES permits generally include requirements for periodic monitoring and reporting. Such reports, called the Discharge Monitoring Reports (DMRs), must be submitted by the discharger to the appropriate regulatory agency. DMRs present the results of the industrial waste discharger's effluent sampling program.

NPDES Permit for Storm Water Discharges

A section, 33 U.S.C. 8 1342(p), of the 1987 Water Quality Act (WQA), specifically addresses storm water discharges to be regulated under the NPDES program. The regulated discharges all constitute point source pollution. Uncontaminated storm water runoff that is considered a nonpoint source is regulated by EPA or the state by authority of 33 U.S.C. Q 1329, titled "Non-point Source Management Programs."


TABLE 4

EFFLUENT GUIDELINES AND INDUSTRIAL CATEGORIES (as of July 1, 1990)

40 C.F.R. Industrial Category Part

467 427 46 1 43 1

407

408

458 411 434 465 468 405 469

413 457 412 418 424 426 406 454 460 447 415 420 425

Aluminum Forming Asbestos Mfg. Battery Mfg. Builders’ Paper & Board Mills Canned and Preserved Fruits & Vegetables Processing Canned and Preserved Seafood Processing Carbon Black Cement Mfg. Coal Mining Coil Coating Copper Forming Dairy Products Electrical and Electronic Components Electroplating Explosives Mfg. Feedlots Fertilizer Mfg. Ferroalloy Mfg. Glass Mfg. Grain Mills Gum and Wood Chemicals Hospital Ink Formulation Inorganic Chemicals Iron and Steel Mfg. Leather Tanning and Finishing

40 C.F.R. Industrial Category Part

432 433 464 436

42 1

47 1

435 440 414 446 443

455 419 439 422 459 463

466 430 428 417 423

409 429

Meat Products Metal Finishing Metal Molding & Casting Mineral Mining & Processing Nonferrous Metals Manufacturing Nonferrous Metals Forming & Metal Powders Oil & Gas Extraction Ore Mining and Dressing Organic Chemicals Paint Formulation Paving and Roofing Materials Pesticide Chemicals Petroleum Refining Pharmaceutical Mfg. Phosphate Mfg. Photographic Plastics Molding and Forming Porcelain Enameling Pulp, Paper and Paperboard Rubber Mfg. Soap and Detergent Mfg. Steam Electric Power Generating Textile Mills Timber


Storm water discharges must obtain permits prior to October 1, 1992, if:

An NPDES permit was issued prior to February 4, 1987. The discharge is due to industrial activity. The discharge is from a municipal separate storm sewer system serving a population of 250,000 or more. The discharge if from a municipal separate storm sewer system serving a population of 100,000 or more but less than 250,000. The EPA Administrator or the state considers it violates a federal or state water quality standard, or it is a "significant contributor" of pollutants to U.S. waters.

Industrial Storm Water Dischargers

Industries that have current NPDES permits for the discharge of storm water from their properties are regulated by the current permit. Industries without a current NPDES permit for uncontaminated point source storm water discharges must obtain in NPDES permit. EPA was empowered to establish permit application requirements for such discharges by February 1989. Permit applications must have been filed by February 1990; by February 1991, EPA or the appropriate state regulatory agency must have acted on each permit application. Large municipal storm water dischargers (those serving populations in excess of 250,000) must adhere to the above schedule. Small municipal storm water dischargers (those serving populations between 100,000 and 250,000) are required to await EPA's permitting requirements have been developed by February 1991. Following the promulgation of permitting requirements, these permit applications must be filed no later than February 1993. All NPDES permit applicants must comply with permit provisions within three years of permit issuance. Finally, NPDES storm water permits issued to municipalities must contain a prohibition against discharging anything but storm water into the storm sewers.

Industry-Specific Minimum National Effluent Standards

The majority of industry's hazardous wastes are in liquid form. The treatment of industrial effluent requires dewatering, and frequently secondary wastewater treatment, before the treated effluent can be


discharged to sanitary sewers, storm drains, surface impoundments, and waterways. Regardless of pretreatment method, industrial effluent typically retains some pollutants. Minimum National Effluent Standards are specified for each industry to control the types and quantities of pollutants entering sewers and receiving waters.

Publicly-owned Treatment Works (POTWs)

NPDES Permits for POTWs: Like other direct dischargers, POTWs are required to apply for NPDES permits for their discharges to waters (see discussion supra for permit requirements). However, the technology-based effluent limitations for POTWs differ substantially from those required of all other point source discharges. These differences reflect the dominant role of POTWs in managing domestic pollutants and municipal/household wastes, and the dominant role of the federal government in providing funds to upgrade the pollution control capabilities of these public sewerage agencies. POTWs' unique role in managing industry's indirect discharges through their implementation of pretreatment requirements constitutes another important distinction.

The 1972 Amendments made all discharges from POTWs subject to secondary treatment as of July 1, 1977. As in the case for all other point sources, EPA determines what constitutes secondary treatment and more stringent requirements may be placed on POTWs if necessary to meet water quality standards for the receiving waters.

Requirements for Indirect Discharges (National Pretreatment Standards for Industrial Users of POTWs): In order to protect the operation of POTWs and to prevent the discharge from POTWs of pollutants which have not received adequate treatment, CWA requires EPA to adopt and amend, as necessary, national pretreatment standards for discharges into POTWs. Discharges into POTWs are often referred to as "indirect discharges" because they are not directly discharged into receiving waters, but are sent through POTWs to the receiving waters.

Industrial users of POTWs for such "indirect discharges" are not required to obtain NPDES permits. Rather, POTWs impose restrictions or "pretreatment standards" on these industrial users in order to ensure compliance with their own NPDES permit and its discharge limitations. POTWs regulate industrial discharges into their system to meet three objectives :


1. Prevent introduction of pollutants into POTWs which would interfere with equipment or operations, or endanger personnel.

2. Prevent introduction of pollutants that would pass through (i.e., would not be treated adequately before discharge) or be incompatible with the POTW.

3. Improve opportunities to recycle and reclaim municipal and industrial wastes and sludges.

POTW pretreatment programs must enforce national pretreatment standards. Many also establish and enforce additional local requirements that are more stringent and more comprehensive than the national standards. These local requirements are often imposed in response to unique concentrations of point or non-point discharges into receiving waters, or to provide additional protection to these waters.

National pretreatment standards developed by EPA take two forms: prohibitions on discharges to POTWs, and categorical standards.

Asbestos Regulations

The term "asbestos" is applied to a group of naturally occurring fibrous, inorganic hydrated mineral silicates. The group includes actinolite, amosite, anthophyllite, chrysotile, and crocidolite. From about 1946 until EPA banned its use, asbestos-containing materials (ACMs) were widely used for fireproofing, insulation, and soundproofing. EPA defines any material containing more than one percent asbestos as an ACM. EPA reported that ACM was used to simulate snow in movies such as the "Wizard of Oz" and "White Christmas."

Applications of ACM generally fall into one of the following categories:

0 Sprayed onto surface material. 0 Used as insulation around pipes, ducts, boilers, and tanks. 0 Construction applications such as ceiling and floor tiles, wall

insulation. Manufacturing applications such as cloth, cord, wicks, tape, twine rope, etc.


In a 1984 survey EPA determined that approximately 733,000 public and commercial buildings in this country contain friable asbestos. This number represents about 20 percent of some 3.6 million public and commercial buildings. Of this number, 28 percent are residential apartment buildings, 70 percent are private nonresidential buildings, and 2 percent are federal government buildings. EPA also estimated that approximately 30 percent of all school buildings, approximately 35,000 contain friable asbestos. "Friable asbestos material" is defined as any material that contains more than 1 percent asbestos by weight, and can be crumbled, pulverized, or reduced to powder by hand pressure. Table 5 provides a summary of ACM commonly found on sites.

With the increased use of ACM, the medical profession has become concerned about potential consequences of asbestos exposure. Aspirated fibers cause damage to the lungs that sometimes takes 20 years to manifest. The most common of these is asbestosis, a respiratory disease that scars the lungs causing respiratory difficulties. Exposure to asbestos fibers is also linked to mesothelioma, a rare cancer involving the thin membrane lining of the chest and abdomen that can develop following a single exposure to asbestos. Evidence suggests that smokers are particularly susceptible to this disease. The government first began to ban certain uses of asbestos in 1973. As more information became available on the health effects of asbestos, other forms of ACM also were banned. A chronology of the various forms of ACM banned from use is as follows:

0 1973: all spray-on applications of asbestos coating banned for fireproofing and insulation.

0 1975: installation of wet-applied and pre-formed asbestos pipe insulation banned; asbestos block insulation used on boilers, hot water tanks, and heat exchanger banned. 1978: all spray-applied asbestos coatings intended for decorative purposes banned; use of asbestos as an ingredient in Spackle and joint compounds banned.

0

During the late 1970's, numerous lawsuits were filed against asbestos manufacturers. These legal actions sought billions of dollars in damages for injury and death resulting from worker exposure to asbestos. At least one manufacturer, Johns-Manville, sought protection under the federal bankruptcy laws due to the volume of actions against it. Today,

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multimillion dollar awards are common. With the passage of the Asbestos School Hazard Detection and Control Act, whereby Congress authorized funding for asbestos inspection and abatement in schools, a new wave of claims against asbestos manufacturers began. These new claims sought compensation for inspection and removal costs. Numerous class-action suits seeking property damage have been filed since 1980. These involve schools, hospitals, and governmental units. There even have been claims made by private parties, including commercial building owners.

At present, there are no federal regulations requiring the abatement of ACMs in commercial buildings based solely on the presence of ACM. However, there are two key federal regulations that involve control of asbestos; each is summarized below.

2.2.6.1 Federal Regulations Controlling Asbestos (Non-School Setting)

OSHA’s 1986 Health Standard (29 C.F.R. $5 1910.1001, 1926.58, effective July 20, 1986) adopted two standards for asbestos, one for general industry ($ 1910.1001), the other for the construction industry ($ 1926.58).

For general industry (all private sector workers in occupations other than construction) OSHA adopted a permissible airborne exposure level (PEL) of 0.2 fibers per cubic centimeter of air (f/cc), averaged over an 8-hour day. The standard also establishes an action level of 0.1 f/cc which triggers a need for employer compliance with air monitoring, employee training and medical surveillance.

For the construction industry, OSHA established a similar PEL; additionally, the construction standard includes requirements for proper respiratory protection, protective clothing, hygiene facilities and practices, and nonmandatory guidelines on the proper practices and engineering controls for major asbestos removal, renovation, or demolition operations.

Under EPA’s NESHAPs (40 C.F.R. part 61), asbestos has been designated a hazardous air pollutant. As such, the NESHAPs regulations prohibit visible asbestos emissions from mills and manufacturing plants, establish notification requirements and procedures for both the demolition and renovation of all buildings containing friable asbestos, and delineate


procedures to be followed in the disposal of asbestos-containing waste material.

Of particular interest to owners of buildings with ACMs are the following NESHAPs provisions:

When a building is demolished, or when 260 linear feet of asbestos pipe insulation or 160 square feet of asbestos surfacing material are removed during renovation, advance notice must be filed with EPA regional office and/or state, giving:

-- Name and address of the building owner or manager. -- Description and location of the building. -- Scheduled start and completion date of ACM removal. -- Description of the planned removal methods. -- Name, address, and location of disposal site.

ACMs can be removed only with wet removal techniques. Dry removal is allowed only under special conditions and only with written EPA approval.

0 No visible emissions of dust are allowed during removal, transportation, or disposal of ACM (the wet removal techniques are designed to satisfy this requirement).

None of the federal regulations require the removal of asbestos from commercial or industrial buildings, even if friable (crumbling). Additionally, at the present time, ACMs are not considered a hazardous waste and are not regulated under either RCRA or CERCLA. However, certain states or local governments may regulate asbestos and have stringent requirements in this regard. California, for example, has designated asbestos as a hazardous waste under 22 Cal. Code of Regs. $ 66680. Recently enacted (January 1 , 1988) U.S. Department of Transportation (DOT) regulations found that 49 C.F.R. parts 171 and 172 do require national and international hazardous waste markings on all containers used to transport asbestos wastes, including asbestos debris that is removed from buildings by asbestos abatement contractors.

AHERA requires EPA to regulate response actions addressing friable asbestos in schools. AHERA provides €or regulatory guidance from EPA on the issues of asbestos removal, a uniform program for


accrediting persons involved in asbestos removal, and EPA guidance for adopting abatement alternatives, such as asbestos management.

Polychlorinated Biphenyls (PCBs)

Polychlorinated biphenyls (PCBs) constitute a group of 209 chemicals that are based on the biphenyl molecule. PCBs were produced in the United States between 1929 and 1976 for use as nonflammable cooling oils in electrical transformers, hydraulic equipment, capacitors, and other electrical equipment. Because PCBs are uniquely stable and highly heat resistant, they have found widespread use throughout manufacturing, power distribution, and in transportation industries. PCBs have numerous other uses such as hydraulic fluids, sealants and caulks. By some estimates, over one billion pounds of PCB have been manufactured; nearly all PCBs are still in the environment due to their extremely stable nature. In 1976, the Toxic Substances Control Act was passed to ban the manufacture of PCBs in order to limit their distribution and control their disposal. In 1979 the "Final Rule Ban" (44 Fed. Reg. 31514) regulated all PCBs to 50 ppm. This legislation bans the manufacture of new PCBs; distribution, unless in a totally enclosed manner (as in an electrical transformer), is also banned unless authorized.

EPA's PCB Regulations

EPA has devised a method for controlling the use, storage, and disposal of PCBs. EPA's method of PCB classification is based on establishing three concentration ranges: 0-49 ppm, 50-499 ppm, and concentrations greater than or equal to 500 ppm. The PCB definitions are given in Table 6.

Radon

Radon, a chemical element formed by the disintegration of radium, is a heavy, colorless, odorless, radioactive gas. Radon occurs naturally in geologic formations containing uranium, granite, shale, phosphate or pitchblende and was used commercially in luminescent products. Where radon is found, its daughters are also present. Radon daughter products are a lung cancer risk and may cause genetic damage. Exposures to


TABLE 6

EPA PCB DEFINITIONS

PCB

PCB item

PCB article

PCB unit

PCB transformer

PCB-contaminated transformer

Non-PCB transformer

Large capacitor

Small capacitor

PCB container

Leak I

(40 C.F.R. part 761)

Any chemical substance or combination of substances that contains 50 ppm, or greater, of PCB .

Any PCB article, PCB container, or equipment that contains a concentration of 50 ppm or more.

Any manufactured item, other than PCB containers, that contain PCBs.

Any PCB transformer or PCB-contaminated transformer in use or stored for reuse.

Any transformer containing 500 ppm, or greater, PCB.

Any transformer containing 50-499 pprn PCB.

Any transformer containing less than 50 ppm PCB as determined by manufacturer certification or laboratory analysis.

Any capacitors, either high or low voltage, that contain three pounds or more of PCBs.

Any capacitor containing less than three pounds of PCBs.

A device (drum, barrel, etc.) used to contain PCBs or PCB article.

Any substance in which a PCB unit has any PCBs on any portion of its external surface.


radon gas typically occur in confined areas such as in public, commercial, or residential buildings.

At present, there are no federal regulations concerning naturally occurring radon, with the exception of the regulation of toxic air emissions from uranium mines. EPA, however, has set maximum action levels for radon. At present, the action level is 4 picocuries per liter (PCi/l) of air. EPA recommends the following remediation methods for radon:

0 Barrier remediation to prevent radon from seeping into the enclosure.

0 Dilution ventilation which increases the frequency of air exchange in the enclosure.

EPA’s Office of Radiation is currently researching radon gas, authorized by the Radon Gas and Indoor Air Quality Research Act of 1986, Title IV of SARA and 42 U.S.C. !j 7403. Although naturally occurring radon gas is not currently regulated, it is a recognized carcinogen. There is an increasing concern among lenders regarding the potential presence of radon gas in structures which could affect property values. Lenders also worry about radon-related toxic tort liabilities that could affect property owners.

Toxic Substances Control Act

Passed in 1976, TSCA regulates chemicals that may cause adverse health effects or may negatively impact the environment. 15 U.S.C. $5 2601- 2671.

0

0

0

0

TSCA requires:

Rigorous testing of new chemicals prior to commercial distribution. Reporting of any chemical that presents a substantial risk to human health or the environment. Maintenance of records by manufacturers that process or commercially distribute chemicals (records must document any possible adverse health reactions to the chemicals). The study of radon in schools (15 U.S.C. !j 2667), creation of regional radon training centers (authorized by 15 U.S.C. !j


2668), and the study of radon occurrence in federal buildings (15 U.S.C. 0 2669).

Federal Insecticide, Fungicide, and Rodenticide Act

The Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA) of 1972 mandates the registering of all pesticides intended for sale in the U.S. 15 U.S.C. $0 136-136Y. "Pesticide" means any substance or mixture of substances intended to prevent, destroy, repel or mitigate pests. Pesticides are registered for five-year periods and are classified for either general or restricted use. Restricted-use pesticides must be applied under the supervision of a certified applicator. Under FIFRA, the registration of a pesticide may be withdrawn by EPA if it suspects that the substance poses an "imminent hazard. It FIFRA regulations also authorize states to set standards and establish certification procedures for pesticide applications. Some FIFRA-regulated pesticides are also considered toxic pollutants under SDWA primary drinking water standards and 33 U.S.C. 0 1317(a).

Safe Drinking Water Act

Enacted in 1974, SDWA was established to assure safe drinking water in public water systems. 42 U.S.C. 0 300(f) et seq. SDWA establishes "primary drinking water standards to protect human health;" the secondary (non-health related) drinking water standards are intended to protect public welfare. To safeguard underground drinking water sources, another objective of the regulations, SDWA authorizes states to regulate deep well waste injection. Injection wells fall into one of the five following categories:

0 Class I wells in which hazardous wastes are injected (regulated under RCRA). Class I1 wells in which oil and gas products are injected.

0 Class I11 wells in which mining wastes are injected. 0 Class IV wells, regulated under RCRA, in which generators of

hazardous or radioactive wastes dispose of these wastes; existing Class IV wells must be abandoned within six months after an underground injection control (UIC) program is issued; new


Class IV wells are prohibited in formations located within one- quarter mile of an underground drinking water source.

0 Class V wells for those that do not fall within the above classifications.

The 1986 amendments to SDWA accomplish the following:

0 Require a schedule for the promulgation of primary public drinking water systems.

0 Provide civil and criminal penalties for tampering with public water systems.

0 Require stricter enforcement of drinking water standards.

Federal Clean Air Act

The Clean Air Act (CAA) created the national framework for protecting and enhancing the nation’s air quality. As a mechanism for attaining air quality levels that will protect the public health and environment, CAA directs EPA to set air quality standards and emission limitations. CAA provides for enforcement of these standards and limitations by both federal and state agencies, and also has special provisions pertaining to hazardous air pollutants (HAPS).

CAA, enacted in 1970, received major amendments in 1977. Finally, more than a decade after the act was last amended, the Clean Air Act Amendments of 1990 (the 1990 Amendments) were passed by Congress and signed in October of that year. These amendments substantially revised the existing framework and included provisions for stricter tail pipe emission standards, as well as emissions linked to acid rain and air toxics.

National Ambient Air Quality Standards

National Ambient Air Quality Standards (NAAQS) are the guidelines used to measure the air quality in regions or basins. NAAQS set minimum standards for concentrations of specific pollutants (i.e., ceilings or attainment levels which may not be exceeded). EPA is required to set NAAQS according to established criteria which are to be reviewed at least every five years by an independent scientific committee. 42 U.S.C. 0 7409(a)-(d). These standards are set on the basis of scientific data and


analyses, notwithstanding cost or technical feasibility. 42 U.S.C. tj 7408(a); American Petroleum Institute v. Costle, see also Lead Industries Ass’n v. EPA, where the court determined that EPA is not required or allowed to consider economic or technological feasibility in setting air quality standards.

There are two types of standards:

Primary--those specifying a level of air quality necessary to protect the public health while allowing for an adequate margin of safety. Secondary--those specifying a level of air quality necessary to protect the public welfare from known or anticipated adverse effects, including the effects on economic values and personal comfort ( e g , protect against environmental damage such as damage to soils, crops, wildlife, weather, climate, and personal comfort).

42 U.S.C. tjtj 7409(a), (b), 7602(h). In setting margins of safety when promulgating primary and secondary standards, EPA is not limited to considering known dangers to health, but may err on the side of overprotection, provided the conclusions EPA has arrived at are not the product of mere guesswork. American Petroleum Institute v. Costle. NAAQS have been set for the following “criteria pollutants. ”

Carbon monoxide (CO). Lead.

0 Nitrogen dioxide (NO,). Ozone.

0 Particulates. Sulfur dioxide (SO,).

Some states also develop their own air quality standards, which may be more stringent than NAAQS or cover more pollutants. California, for example, has adopted more stringent standards. And New York’s standards cover all the pollutants covered by NAAQS except for lead, but also add hydrocarbons (which were rescinded by EPA as mentioned above), fluorides, beryllium, and hydrogen sulfide (H2S). In addition, New York does not list ozone as a criteria pollutant, but uses the broader


designation "photochemical oxidants, " which, under the state regulations, include ozone, peroxyacyl nitrates, and organic peroxides.

THE IMPORTANCE OF DUE DILIGENCE AUDITS

1. Why Due Diligence

-- Liability and risk management. -- Superfund and RCRA Corrective Action liability for cleanup of

prior releases. Note Superfund imposes strict, joint, and severe liability.

-- Inadvertent exposure of publics, including customers, employees, vendors, contractors, customers, family, etc.

-- Lack of Government set of standards for such audits. -- Due Diligence Objective:

To ensure informed and prudent decision-making in environmental risk management by developing a due diligence tool designed to identify, quantify and address environmental contamination.

-- The major categories of risk and responsibility in purchase and sale transaction include the following:

0 Contamination of site and adjacent impact. 0 Offsite waste treatment, storage, disposal.

Facility equipment containing asbestos, radon and lead paint, solvent, etc.

0 Current compliance costs. 0 Future compliance costs due to new laws, new regulations,

earthquakes or other acts of God, etc. 0 Future compliance costs due to prior contamination, releases

and/or exposures to humans or the environment.

2. When and Who?

A. When?


-- Purchase and sale of corporation ownership and/or corporate assets, such as real estate.

-- Decision to develop or change or begin utilization of assets,

"Innocent Purchaser" defense in the purchase of contaminated site or facility under CERCLA Sec. 101(35)A providing lack of prior owner knowledge suggests there is an underlying "reason to know" but no more than that, except to allow "innocent purchaser defense, " only if the purchaser made "all appropriate inquiry into the previous ownership and use of property consistent with good commercial or customary care. 'I CERCLA does clarify that "specialized knowledge" of the purchaser, or lack thereof be taken into account. Moreover, CERCLA takes into account relationship of value or price of property to "reasonably ascertainable" information. HR 1643 introduced in 102d Congress provides that aerial photography, chain of title search and review, history of violation review and onsite inspection be conducted to allow "innocent purchaser" defense.

-- The American Land Title Association Forms Committee has standardized chain-of-title disclosure forms for use at closures.

-- Likewise the American Water Well Association is devising an equivalent form (which would apply to four types of real property: vacant, agricultural, commercial, and industrial) at closure.

-- The Association of Engineers Practicing the Geosciences published "Pre-acquisition Site Assessments: Recommended Management Procedures for Consulting Engineering Firms: as a check list for pre-closure review.

-- ASTM has devised a draft set of protocols for an initial transaction screening process (TSP) to trigger further inquiry prior to transaction. In this course, we will review this draft protocol in detail.

-- Some states have set guidance for site assessment prior to purchase and use of real property (e.g., Connecticut and New Jersey - see draft to follow)


-- Government, so far, plays no role in defining due diligence, setting standards for audits contractual shields against liability, except in the courts.

-- Buyers and users of corporate assets such as equipment, facilities, real property need to address liability created under previous use, before beginning changed or new use. Sellers of corporate shares or assets who wish to protect themselves from future liability from retroactive environmental release claims likewise need to address liability created under previous use (this would especially apply to banks selling foreclosed property).

-- Lenders who face retro-active liability for property purchases funded or foreclosed by them and for proactive liability for property that might be foreclosed.

-- The secured creditor exemption provides some defense to liability where the party without participating in the management of a facility, holds "indicia" of ownership primarily to protect its security interest in the facility. Lenders have insulation under the secured creditor exemption [CERCLA Sec. lOl(20) (a)]. This defense is of limited utility because in order to realize its collateral the secured lender must be able to foreclose and dispose of real property with full disclosure of any environmental risk or liability. To the extent a lender's collateral is burdened by environmental risk from concentration, it will be unable to convey such collateral to third parties who cannot succeed to the protection of the secured creditor exemption. In this sense, its secured creditor rights are illusory.

--

3. What: Due Diligence vs. Contractual Cure

A. Due Diligence Oution

-- Uncontrolled liability is driving force. -- Level of concern is inversely proportional to size of transac-

tion.


Little opportunity or justification for due diligence audit when transaction is limited to a tender offer or purchase amount is small (relative to risk level). Small businesses pose more mismanagement risk because of entrepreneur unawareness of risks, problems, proper management or regulations. For very large transactions environmental risk may not be “material” (Le., GE acquisition of RCA, NBC). For medium-sized deals, contract provisions such as indemnification clause attempt to cover purchasers. Audits try to cover the following risks:

0 Onsite contamination (prior or present releases). 0 Offsite disposal. 0 Equipment or structures, newly regulated (asbestos,

Current compliance requirements. 0 Future compliance requirements. 0 Future permits. 0 Anticipated future changes in regulations or laws

affecting compliance, permits or retroactive conditions.

PCB’s).

B. Contractual Cures Option

1. Factors in decision making

-- Buyer or user or seller naivety. -- Seller anxiety to sell, and reason. -- Buyer anxiety to buy and use.

2 . Disclosures and Agreements

-- Buyer should avoid all retro-active risk. -- Seller should agree to execute all needed corrective

action at buyer convenience and cover legal expense for retroactive risks.

-- Seller should agree with buyer regarding setting of corrective actions and standards to be met.


-- Buyers wishing to minimize risk need to buy stock ownership below corporate control levels (rather than total corporate ownership) or preferably assets. Some- times corporate control results in piercing the corporate veil by the courts. If the acquired assets involve an active business, not even indemnification can prevent piercing transaction veil if liabilities of previous business relationships follow assets through the purchase transaction.

Warranties and seller representations (such as no prior releases) offer some relief from concern, but they must be properly written. Total disclosure by the seller will protect both sides of the transaction. Seller may agree to: retention of newly discovered contaminated property, leasing until site cleanup and delayed closing, payment for subsequent environmental discovery.

Disclosures

Regulated material man-aged on site. 0 All wastes managed on site. 0 All waste shipments off site. 0 All recipient facilities for above shipments.

All PCB, dioxin, asbestos and lead wastes managed. 0 All tanks (ever).

Air emissions. 0 Water discharges.

Permits, notifications, registrations, etc. Penalties, citations, etc., notices of violation, etc. Complaints, claims, etc. Convictions, consent de-Crees, etc. Any of the above pending. Full compliance statement. Pending facility alterations to comply with any regulatory requirements.


3. Warranties

Warranties and representations in a purchase and sale agreement will be the basis for future claims, but are also important to provide information about the operation before closing. These disclosures should cover:

0

0

0

0

0

0

0

0

0

0

0

All hazardous or other regulated materials and wastes relating to current and prior uses. All hazardous or other regulated materials and wastes relating to the operation, including information on their treatment, storage and disposal. All offsite waste handling facilities and transportation used by the operation. All PCBs, asbestos or lead currently or historically used by the operation. All aboveground and underground storage tanks ever used. Characterization of all air and water releases by the operation and associated permits. All notifications, registrations, applications, etc., filed by the operation, and all inspections, notices, citations, penalties, etc. , received by the operation. Descriptions of all spills, leaks or other uncontrolled releases of any hazardous substance to air, ground or surface water and land. Any pending or threatened claims or complaints with respect to operations at the facility, or any reasonable basis for claims or complaints. A statement that the facility is in full compliance with all applicable state, federal and local legal requirements, with any exceptions described in detail. A description of any pending or proposed changes in the law which may affect operations at the facility.

Sellers will seek to limit such disclosures and warranties to their knowledge and "materiality. " Such limitations are not acceptable to the buyer or the seller because non-


disclosure followed by liability inevitably leads to costly litigation.

4. Environmental Agreements

Sometimes the seller keeps responsibility for resolution for specific problems, such as onsite contamination. An environmental agreement, separate from the purchase and sale agreement, should define ground rules for such cooperation between the parties. A separate agreement is necessary because purchase and sale agreements may become moot after the transaction is completed. The separate agreement sets contractors and employees of buyer and seller who will be implementing the environmental provisions over the next several years after the closing. An environmental agreement also isolates the environmental issues from general business negotiations.

An environmental agreement defining seller's responsibilities should:

1.

2.

3.

4.

5 .

6.

7.

Describe the "environmental problems. 'I

Allocate responsibility for defined "remedial measures.

Provide access to the property and allow reasonable needed interference with or interruption of operations.

Design communication with responsible authorities.

Provide needed indemnification.

Allocate buyer's responsibility for ongoing operations and liability from seller's prior operation.

Provide for claims and resolution of disputes.


8. Specify special circumstances and performance which will determine when the obligations of the parties have been satisfied.

Dealing with the Dynamic

The time lapse between negotiation, purchase, new use of a facility to occurrence of an environmental problem and associated liability could be months or years. During this time period, the array regulatory requirements is truly a dynamic, certainly not static. The following circumstances could occur:

Bankruptcy by buyer/user and/or seller. Resale. Foreclosure. Total use redesign. Death of principals involved, placing assets and liability in limbo. Further environmental tort or impairment that alters or totally overwhelms prevailing issues. New federal or state laws or requirements, retroactive or not. Jurisdictional changes, such as international changes in authority, treaties, interstate compacts, pre-emption of state rules by federal rules or vice versa, statutory mandates that codify pre-emptive rules or standards.

Knowledge and comprehension of all the above potential dynamic is totally impossible even by the most sophisticated seller, buyer or asset user.

Groundrules for disclosure and hence negotiation are likewise dynamic and diverse: Germany holds that seller disclosure does not remove liability. France holds the opposite position. However, EEC guidelines are approaching some middle ground. In the U.S. there are numerous supporting arguments on both sides.

-- Environmental agreements, referenced before, can freeze the dynamic by: 1) pre-empting regulatory framework changes by placing requirements under the venue of contract vs. environmental law, 2) taking into account that site conditions


change relative to acquisition baseline, prevailing standards and reasonable principles for subsequent settlement of disputes.

Environmental agreements should be products of business, not legal, not environmental, not political, negotiations, but with all these influencing factors taken into consideration and with all influences present at negotiation, in frank open argument.

4. Due Diligence Audits

A. Pre-Phase I Transaction Screening Assessment: concurs with or denies need for phase I audit.

B. Phase I Assessment for all facilities with: hazardous substance/waste permits or adjacent or near to such facilities, and having RCRA or CWA or CAA or other federal or state hazardous material permits, and having any permit or performance violations alleged, or if it is on any CERCLA site list (i.e., CERCLIS).

-- Phase I Assessment includes: site classification based on use, use record, site review, negative reports by neighbors, local contamination potentially related, setting, hydro- geological and surficial geological usage, site usage (spelled out in detail by ASTM).

C. Dealing with the Dynamics.

D. A framework for Due Diligence ASTM Standard.

C. Phase I1 SamdinP/Analvsis

A Phase I1 assessment is required where the Phase I assessment shows the presence or potential presence of hazardous substances above background levels and at locations not protective of public health and environment. The ASTM Subcommittee intends to complete work on the assessment process through the Phase I1 triggers before beginning work on the contents of a Phase I1 type assessment process through the


Phase I1 triggers before beginning work on the contents of a Phase I1 type assessment.

Several existing standards for Phase I1 activities have been developed by ASTM, various associations and committees. ASTM Committee D- 18 has soil and groundwater sampling and analysis standards including 35 under development with EPA support. EPA's RCRA Technical Enforcement Guidelines contain several methods of performing Phase I1 sampling and analysis. EPA has issued applicable test methods for evaluating solid waste, SW 846.

D. Phase I11 Corrective Action

A Phase I11 assessment or cleanup is required where Phase I1 data indicate the presence of hazardous substances constituting a threat or potential threat to public health and environment. The purpose of a Phase I11 assessment is to identify and plan the means of remediating identified hazards constituting a threat to public health and environment, and effecting such remedial or corrective action.

When a property is subject to Phase 111, defenses to Superfund liability can be preserved if the hazard is removed or remediated before or during the acquisition, consistent with the National Contingency Plan (see 54FR34241 Aug. 18, 1989). Also CERCLA Sec. 107(b) (3) legislative history recognizes merits of due care in protecting human health and environment by remedial action may remove liability after "due care" to provide an adequate remedy, new regulations, earthquakes or other acts of God, etc. Future compliance costs due to prior contamination, releases and/or exposures to humans or the environment.

Note: This works in the absence of declared violation of "imminent and substantial endangerment to the public health or welfare or environment" per CERCLA Sec. 107(b) (3) or "abatement actions" at CERCLA Sec. 106 or "imminent danger to public health or welfare" per CERCLA Sec. 104 authorities.

E. EPA has not responded to the ASTM Phase I11 proposal. Don't hold your breath.


CONSULTANT ISSUES AND STAFFING CONSIDERATIONS

General Staffing Considerations

There are a variety of critical skills that the auditor should have. These include a strong background in the environmental regulations, preferably, although that mandatory, an engineering or geological academic background, and an inquisitive mind. The environmental audit process requires a significant degree of face-to-face questioning of all levels of personnel at a facility. Although no auditor should cause uneasiness, he or she must be able to pursue issues which a facility or plant manager may wish to leave uncovered.

Ideally, a two-staff team should conduct an audit. This is to insure that data collected onsite can be confirmed by each member of the team. Single-person audits are possible, but should only be performed if the staff member is well versed in the audit process.

There are two other reasons to use two-person teams to conduct an audit. Auditing an industrial facility requires taking written notes while walking through a facility. This is not an easy task. The chances are high that information given in this context will be misinterpreted. Even if both members of the audit team heard the same information, plant management may insist that that information is incorrect. It is not unusual in auditing for this situation to occur. By using two staff people in an audit, it allows them to confirm that a major difference exists between their report and the claims of plant management.

The second reason to use two-person audit teams is to reduce potential legal liabilities a firm may be subject to by conducting an audit. An audit may include facts and conclusions that may adversely affect the regulatory compliance status of the facility or lower the performance rating of plant personnel. Corporate legal counsel must have the assurance that all information included in the audit is based on observa- tions or other factual information. This can best be accomplished by having each member of the audit team verify each other’s information.

Many companies do not feel that they should use internal staff to audit their facilities because the auditor may feel inclined to give his or her colleagues the benefit of a doubt. Such fears can be assuaged if the auditing staff is drawn from another region or division and has never had any direct contact with the specific plant in question.


One staffing option in planning audits involves pairing consultants with internal staff. The two-person audit team consists of a senior auditor who generally is a corporate employee and is supported in the audit effort by a consultant. This option works well when a company suspects that a particular environmental concern, for example, potential groundwater contamination, exists at a site and the company retains a hydrogeologist consultant to go along on the audit. An in- house/consultant team also can avoid the problem of an in-house staff member being too gentle with his or her own employees, since the consultant should submit a copy of his or field notes as an attachment to the final audit report. The submittal of these notes generally keeps the audit process honest.

A final staffing option relies on the use of internal staff to conduct audits but uses consultants to reaudit facilities randomly. Having consultants perform the reaudit function provides a less expensive way of independently verifying internal audit reports. Reaudits should be completed one year from the initial audit.

The value of using an outside consultant is that in-house staff will not be pulled from their ongoing responsibility. Consultants should also be able to evaluate a plant independently, as no corporate or personal relations exist between the consultant and the facility.

An environmental audit of a 100,000-square-foot manufacturing plant should take two people two days onsite. Preliminary planning and report writing will take the senior-level person another two days. The junior- level person will also use one day to conduct an offsite telephone regulatory compliance assessment of the plant. Total staff time could run seven man-days, not including travel. It is advisable to conduct a sample matrix analysis to determine whether to use internal or consultant staff. Table 7 shows how to determine the value of staff time compared to a consultant’s estimate.

The table assumes that the total in-house labor costs are a function of straight salaries multiplied by seven man-days plus a disruption factor. The disruption factor is a way of estimating the cost impact of pulling staff off their routine work assignments and then having them return to those jobs days or weeks later. The disruption factor is set conservatively at thirty percent of salaries. It often takes a day or two to re-enter the normal work flow after being away from the office for two or three days.


TABLE 7

INTERNAL VS. CONSULTANTS AUDIT COST

1. In-house Senior Staff Member #1 $ (sa la ry dollars per day) x 4 =

2. In-house Staff Member #2 $

Disruption Factor Staff Member #1 (.30 times item one) =

4. Disruption Factor Staff Member #2 (.30 times item two) =

(sa lary dollars per day) x 3 =

3.

TOTAL IN-HOUSE LABOR

Travel and hotel costs will be fundamentally the same for in-house staff or consultants. Consultants, however, will often charge a ten percent fee on top of expenses.

Another factor to assess in deciding to use in-house staff or consultants is the number of audits, their locations, and when audit data are needed by upper management. The environmental audit process does not lend itself well to sending a team from one site to another for weeks on end. Under such circumstances, key audit data is often lost or impressions become blurred. No more than two audits per team per month should be implemented. Based on this limit, a manager should determine how many audits the team can accomplish in a month. If the number of audits to be completed in any period exceeds in-house staff capabilities, one either has to pull more in-house staff into the audit program or go outside and use consultants. There may also be circumstances where upper management needs audit data faster than the in- house staff can generate it. Under these conditions, consultants should also be used.

The seven-day requirement for conducting an audit and writing a report assumes complete cooperation from facility personnel being audited. This assumption may require careful scrutiny. Some facility


managers feel that they must show a minimum level of cooperation to corporate staff, but will not actively cooperate with the audit. Since an audit relies heavily on documentation held by the plant, less than full cooperation can add another one to two days to an audit if documents have to be uncovered and copied by the audit team.

It is important to note that the above time estimate does not include a key labor demand element, which is the time needed to develop the onsite audit protocol. The protocol is a detailed series of questions the auditor is required to ask in order to ensure that certain issues are routinely identified, in the same level of detail, from one audit to another. The protocol serves as the analytical skeleton of the audit. Auditors should not limit inquiries only to those issues raised in the protocol. Audit protocols or checklists can be simple and run three or four pages or can be complex and comprise more than one hundred pages.

No audit program should be implemented until the audit protocol has been developed. At a minimum, protocol development could easily involve two or three staff members for at least a week. Upper management should approve the draft protocol, because data not included in the protocol is often left out of the audit. It is often improper or impossible to collect additional data after an audit has been completed, as the auditor will be forced to rely solely on information provided by plant personnel. Such data cannot be independently verified by the auditor.

After the protocol is written, it should take the lead auditor approximately one day to set up a date for the audit with the selected plant, arrange for travel and lodgings, and send letters out confirming the audit date. This eight-hour period should also be used to verify independently the plant’s regulatory status, which was established during the regulatory compliance assessment.

The two-person, two-day onsite portion of the audit involves confirming information sent to the auditor by the plant prior to the audit, a detailed inspection of the plant, review of onsite records, and documents and a debriefing for senior plant management.

The typical plant audit report should take about eight hours to write. The report should be completed immediately upon return to the auditor’s home office.

An audit of a relatively simple manufacturing plant should take two days onsite. Audits of large-scale manufacturers (i.e., steel mills, petrochemicals) can easily take three to four days onsite. Plan enough


time onsite to inspect every process and support unit easily. An auditor cannot choose not to inspect something simply because there was not enough time onsite.

Audits do not involve the taking of any samples from plant emissions or discharges, nor do they involve asbestos sampling. The audit report should, however, point out where such sampling is necessary.

Aspects of Cost and Cost Control

The cost concerns are very much different if a facility decides to use its own staff versus using a consultant. Staff salaries are often not a line item in the budgets of corporate-run audit programs. In this case, budget costs may only include travel, hotels, secretarial support, and report reproduction. The inclusion of staff salaries implies that the internal staff has preplanned time actually to conduct audits. This is often not the case. Table 7 points out, audit labor costs should be calculated on a true labor utilization basis (salary times hours). Many companies do, however, include the cost of having their own staff manage or conduct audits.

All audits should have a detailed budget prepared prior to project implementation. Table 8 notes the basic elements of an audit budget. Labor costs are broken down into senior auditor, junior auditor, and secretarial. Key expenses will include travel, hotel, meals, and car rental. Other expenses noted, while minor in nature, can easily add thousands of dollars to an audit.

With consultants, there are three different types of contracts that directly affect cost control. A fixed-fee, lump-sum contract is one under which the consultant will conduct the audit (including expenses) for a specified dollar amount. Under these circumstances, the consultant may not be willing to disclose to the client how labor and expenses are budgeted. A time and materials (T&M) contract is one in which the consultant charges the client an hourly rate for the actual hours used on the audit plus materials (Le., expenses). Most T&M contracts also assess a ten percent fee on expenses. A variation on the T&M contract is the placement of an absolute labor cost limit by the client or the consultant. This limit allows the client to establish an outer cost barrier or cap, which the consultant cannot exceed. It is recommended that lump-sum or T&M (with labor and expenses not to exceed a dollar amount) contracts be used with consultants.


TABLE 8

AUDIT BUDGET FORM

Direct Labor

Senior Auditor hrs at $ /per hrs = $ Junior Auditor hrs at $ /per hrs = $ Secretary hrs at $ /per hrs = $

Total Labor $

Expenses

Air Fare Car Rental Hotel

Purchase of ReportdMaps Photographs Telephone Charges Courier (overnight delivery) Reproduction of draft/final report Binding

Meals ($ per day)

Total Costs $

Corporate tracking of consultant labor costs and expenses on T&M contracts can be conducted by requiring the consultant to submit copies of receipts of major expenses (air fare, hotel, car rental) as well as copies of consultant time sheets that specify the number of hours actually expended on the audit by individual staff members. A company may wish to require contractually that the consultant submit such documentation at the time of invoicing.

Affect of Audit Types on Staffing Requirements

There are two basic types of audits: The environmental compliance audit investigates whether a plant is in compliance with all environmental regulations as of a particular date.

compliance and risk.


Compliance audits are key management tools used to verify that internal company compliance programs are running and to identify any gaps in compliance before regulators issue notices of violation. A well-run compliance audit program should alert management to the specific issues that must be addressed in order to remain in compliance with permits and what new steps may have to be taken to meet new permit conditions. Compliance audits can also be used to verify that ongoing remedial programs agreed to by the company as a result of consent decrees are being undertaken in a timely fashion.

A compliance audit requires staff that has an extensive knowledge of federal environmental laws such as the Clean Air Act, Clean Water Act, Resource Conservation Recovery Act (RCRA), Toxic Substances Control Act (TSCA), and Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA). As a rule, if staff members have not been directly involved with regulatory analysis for at least five years, they should not conduct compliance audits.

The compliance auditor must act as if he or she were a regulatory official. An excellent reference document, which identifies the elements used by USEPA to investigate a site, its USEPA, RCRA Facility Investigation (RFI) Guidance, Volume 1, "Development of an RFI Work Plan and General Considerations for RCRA Facility Investigations, " EPA 530/SW-87-001, Revised December 1987. This report is several hundred pages of detailed approaches used to identify air, water, soil contamination.

The compliance audit will also require staff that has engineering knowledge of how both line equipment and pollution control devices work. Many environmental permits include conditions related to the efficiency of controls. The compliance audit team must have staff who can determine whether such efficiencies are being met.

Many companies feel that they should assign an attorney to the compliance audit team. That may not be necessary. Lawyers are well versed in exactly what the environmental law states, but often do not know how environmental regulations are practically applied by state or federal agencies. The compliance audit team needs someone who can differentiate between the types of violations an agency will deem serious versus those that will be treated as minor. This is not to imply that the auditor may disregard minor violations.

It is also important that the compliance audit determines whether any upcoming changes in regulations will pull the plant out of compliance.


In conclusion, the compliance audit is, in reality, an inspection married to a permit review. The greatest risk in staffing a compliance audit is allowing someone onsite who truly believes he or she understands regulations but in reality does not. Good regulatory affairs staff are hard to find. If a company does not have a regulatory specialist, it may be worthwhile to grant time to someone to learn the basics about the key federal and state regulations affecting that company’s operations. Even if this person does not participate in audits, he or she will be essential by providing needed quality assurance review of a consultant’s efforts. There are a wide number of commercially available books that summarize the key sections of the RCRA, TSCA, and Superfund laws. Summaries of state regulations can often be obtained from the state agencies themselves, the state association of manufacturers, or the state Chamber of Commerce.

Another alternative a company has to staffing a compliance audit internally is to use a consultant to prepare a regulatory review of a plant. Such a review is not a compliance audit, since it only identifies those state and federal laws and regulations the plant is subject to, summarizes the requirements of these laws and regulations, and reviews the specific environmental requirements placed on the plant in its permits. This exercise enables a company to gain some expertise regarding the regulations and may provide the company with enough regulatory data so that it can staff a compliance audit internally.

A third staffing option for compliance audits is obvious, that is, to hire a consultant. The company must be careful that the consultant has routinely conducted compliance audits for other members of the same industry. Otherwise, it is paying to educate a consultant about the industry.

The environmental risk audit incorporates some aspects of the compliance audit, but is much broader in scope. Environmental risks are any aspects of plant operations that have the probability of causing environmental contamination. Engineers often have difficulty grasping the concept of general risk, however; a well-designed, well-engineered facility may still impose considerable risk. For example, if plant exhaust roof fans remove solvent vapors, but those vapors blow offsite to a school, the fan system is doing its job, but an unacceptable risk exists.

The risk audit looks at the potential of contamination at three interconnected levels: the source, the route, and the receptor. The source is any potential emission or discharge of substances. The route


is how emissions or discharge can leave the plant--via the air, water, or in solid form. Receptors are either plants, animals, or humans.

Risk audits should include at least one chemical engineer and one staff member with either a geology or chemistry background. There are many excellent risk auditors who have also been academically trained as biologists and regional planners.

There are no federal standards for what constitutes an acceptable environmental audit. Likewise, there are no national standards for what constitutes an approved environmental auditor. The entire field of environmental auditing is quite new and the buyer must beware.

A number of consulting firms that currently conduct environmental audits began their businesses by performing environmental impact statements (EIS) for state and federal agencies in the early 1970s. While EISs are not similar in nature or purpose to audits, staff members with EIS experience are often the best qualified to conduct audits. This is true because the EIS process requires knowledge of environmental regulations and a sensitivity to environmental risks.

The market for audits is so good that many firms that have entered the field may not have the complete range of skills needed to complete an audit successfully. Care should be given retaining firms whose principal business is limited to one aspect of environmental consulting, be it air modeling, geohydrology, or engineering. The audit process is multidisciplinary with a heavy emphasis on environmental engineering, geology, toxicology, hydrology, and air pollution modeling.

A company should seek out those firms that can show evidence that they routinely conduct risk audits. The consultant should be an environmental engineering consulting firm with a broad interdisciplinary staff so that the audit can be staffed with people particularly sensitive to the unique aspects of a plant. For example, if an audit is going to a plant that has multiple wastewater ponds, it probably is a good idea to assign a geologist to the team to assess if the ponds are leaking.

As in the purchase of any service, be sure the consultant has been in business at least ten years and can provide a long list of corporate references. The ten-year experience requirements is necessary, as a failed audit could have very serious legal ramifications for the company.

It is also important to find a consultant who is currently retained by or is on the approved consultant list of banks and insurance companies. Banks and insurance companies have instituted programs in which they prequalify consultants to conduct audits of properties prior to their


financing or sale. Although these prequalification lists are not the sole criterion for selecting a consultant, they are useful as a cross-check in the selection process.

A final issue regarding consultant qualifications is whether they offer their services to state or federal environmental enforcement agencies. Many consulting firms have two sides to their businesses, one that works for private industries and the other that works for regulatory agencies. Firms that provide both services insist that their staffs do not affect one another. An audit of a company’s plants, however, opens up all of its secrets. One should have grave doubts about working with a firm that on one hand promises to help a private company while at the same time is being paid by a regulatory agency. It is difficult to decide whether to hire one consultant or another, as such decisions often come down to instinct. However, consultants should be required to disclose whether they work for regulatory enforcement agencies and how such work might affect a private audit.

Contracting Issues

The hiring of an environmental consultant involves five distinct steps: request for statement of qualifications, prequalification of consultants, preparation of request for proposal, contractor selection, and negotiation of the contract. Each step in this process allows the company to fine tune its expectations of a consultant and to finalize all related costs.

The Request for Statement of Qualifications (SOQ) is a document under which a company asks consultants to describe their organizational structure, number and academic training of employees, services offered, brief descriptions of project experience, and references. The information provided by each consultant in SOQs obviously is chosen to make the consultant look best qualified. SOQs should therefore be used with a high degree of skepticism.

The Request for Statement of Qualifications should be as specific as possible. If a company is interested in conducting risk audits, its request should state that the SOQ must include descriptions of five similar audits conducted within the last twelve months. If the company is concerned that its operations are unique, then the request should indicate that the consultant must identify audits it has conducted within the same industry.

Obviously, the cost of travel is a significant factor in audits. Limiting the request to local firms could, however, be a major mistake.


As stated many times before, an audit is not a place for a consultant to learn its craft. If local firms have experience, their bids should be given due consideration. However, firms that have offices quite a distance from the audit sites should not be discounted. Many of the top-notch audit consultants have grouped their staff in one or two offices and fly them out to audit sites. This set-up allows consultants to build up highly qualified auditors who conduct audits on a routine basis.

How can a company generate a list of environmental consultants to mail its Request for Statement of Qualifications? A good source of information about consultants is the state environmental regulatory agency. The agency will not make recommendations, but it will disclose with whom it holds contracts. Another good source of information is the advertisements in the back pages of trade magazines. A final source of information is outside legal counsel. Most law firms either retain or know of environmental consultants.

An SOQ should not be longer than twenty-five pages. A page limit is necessary, otherwise consultants will include superfluous marketing material.

A consultant should be given at least two weeks to prepare an SOQ. For planning purposes, a company should assume it will take two weeks to develop a mailing list of consultants, two weeks to draft, edit, and finalize the request, two weeks for the mail to get to the consultants, two weeks for the consultant to prepare the SOQ, and two weeks for the company to prequalify consultants. Total time elapsed for the SOQ process is (unfortunately) ten weeks.

The SOQ can, however, be used to prequalify consultants and therefore limit the number of consultants a company will send its request for proposal (RFP).

Companies should restrict a consultant from submitting SOQs, unless a company is absolutely sure that the consultant cannot perform the required tasks. Care should be given not to restrict SOQ submittals, because consultants could sue a company under unfair trade practice regulations if vague reasons for restricting access to the contract are given.

A two-man team within a company should be formed to review all SOQS. Each SOQ should be ranked on numerical scale (usually one to ten, with ten the highest score). Table 9 shows how a typical SOQ ranking sheet looks.


TABLE 9

CONSULTANT - SOQ RANKING SHEET

Score Weight Score

Location of office doing work

Number and background of staff

Amount of directly related experience

Company reputation based on verification of references

Company organization

TOTAL SCORE

Other Relevant Factors About Consultant A

Prepared by: Date:

The SOQ ranking can be filled out either by using a weighing system or not. If a company is particularly sensitive to working with consultants located nearby, it can add a weight (a number) to the location criteria, which is multiplied by the score. For example, Consultant A's location score is 5 and the weight is 10 (total score for location = 50). Consultant B is located down the block from the company, and its located score would be 10 times 10 = 100. The use of weights and


scores allows a company to develop preselection criteria that reflect company needs. This ranking technique also facilitates the review of consultants on a uniform basis.

The RFP is a formal contracting document that requests a consultant to submit a detailed description of how it will conduct the audit, a schedule noting when each task will be complete, identification of selected staff, and a detailed cost proposal.

The entire heart of the consultant contracting process is the RFP. This document is the means by which a company dictates exactly what type of audit it wants performed, the level of detail within each topic area, whether company-generated audit checklists must be used, and the format of final reports. The RFP should also specify the date by which the audit must be completed.

The RFP becomes the basis upon which the company judges the performance of the consultant as well as the basis the consultant uses to set the minimum requirements of the audit.

The RFP should also have a section covering cost and standard terms and conditions. The cost proposal will identify if the audit will be performed on a time-and-materials basis or a lump-sum basis. The cost section of a proposal should include all costs related to conducting and writing up the findings of an audit. Costs noted in the cost section should be verifiable, either backed up by hourly rate charts, travel agency notes, etc. Table 10 is an example of a typical cost proposal sheet. Notice that labor and expenses are clearly separated. It is unlikely that this level of detail will appear in a cost section if a company decides to contract on a lump-sum basis, as the consultant guarantees delivery of an audit report for a fixed cost under a lump-sum contract.

Many companies are choosing to contract out audits where labor charges are lump sums, and expenses are set on a not-to-exceed basis. This allows the consultant to juggle expenses as they actually occur, while at the same time the company knows what the total cost of the audit is likely to be.

The RFP should require the consultant to identify all its terms and conditions for conducting an audit. As so much of the audit contract is related to the consultant’s terms and conditions, additional explanation of typical terms and conditions is necessary. Terms and conditions usually cover two or three single-spaced typed pages. The first term often states that the proposal is only valid for sixty to ninety days from the date of receipt. Most terms also include a statement that the


TABLE 10

TYPICAL COST PROPOSAL AUDIT OF XYZ COW.

Labor Hours Rate Total ($)

Task 1 Processing/regulatory review John Smith, Jr. Auditor 8 40 320

Task 2 Onsite Audit Bill Murry, Sr. Auditor 16 80 1,280 John Smith, Jr. Auditor 16 40 640

Task 3 Audit Report Bill Murry, Sr. Auditor 16 80 1,280 John Smith, Jr. Auditor 8 40 320 Jane Jones, Secretary 16 30 480 Linda Bloom, Technical - 4 40 160

Editor

TOTAL LABOR 84 4,380

Expenses

Two roundtrip airfare D.C. to

Two nights 2 staff lodging Q $1 lO/night 440

Meal per diem $45/day/person 180 Rental car 2 days Q $70/day 140 Courier - Federal Express 50 Phone/Fax 50

Philly 500

Copying/Report Reproduction 50 Pictures 35

TOTAL EXPENSES 1,445

TOTAL AUDIT COST 5,925

consultant will submit invoices to the company twice a month and that the consultant will be pad promptly. Another key term is one that states that should the client cause unforeseen delays, the consultant has the right to increase its fee. Most consultants are adding a term that indicates that a ten percent handling and administrative charge will be


added to all expense items. Many companies refuse to pay this ten percent fee and this term is often negotiated during contract finalization. Termination by the client is allowed in another standard term; however, the client must inform the consultant in writing seven days prior to the intended termination date. As most audits are completed quickly, a company is likely to pay for a significant portion of an audit even if it issues an intent-to-terminate letter to a consultant.

By far the most important standard term relates to limits on the consultant's liability. Liability terms that limit consultant liability to the client for any loss related to the performance of the audit, professional negligence, or errors or omissions will not exceed the value of the contract. If an audit costs $5000, a consultant's liability is limited to that value. Many companies feel this is too low and seek to negotiate higher limits of liability.

A selection team, similar to the one formed to rank the SOQ, should be established to pick the best qualified contractor.

The team should develop a scoring system that weighs technical expertise against costly considerations. Contractors should not be selected solely on cost. The consultant chosen has to be trustworthy, reliable, and cost-efficient. One should remember that it is not possible to go back and "fix" an audit; no consultant will be willing to upgrade another consultant's work.

Remember: The two key criteria in contractor selection should be the number of similar audits the consultant has done over the last six to twelve months and the experience of its staff.

After the company has selected a consultant, negotiations begin. These negotiations often involve fine tuning RFP technical requirements (such as what issues will be studies), but more often involve issues such as payment schedules, the ability to secure insurance, and issues of confidentiality. A company should make it clear to the selected consultant that it has only been selected, not awarded the contract. This interim period between selection and award also allows a company to dismiss a selected consultant it cannot come to terms with, without being contractually tied to the consultant.

As noted earlier, most consultants seek to limit their liability in terms and conditions to the value of contract. Consultants have been able to secure errors and omissions (E&O) insurance in the commercial insurance market since late 1987. This insurance is usually issued with a face value of $1 million and is very expensive. A company should require a


consultant to submit copies of the cover sheet of all it insurance policies. If the consultant has an errors and omissions policy, the company can negotiate a change in terms to provide an increased degree of coverage. In most cases the consultant will feel that the company should pay some fee for the increased protection it receives from the consultant’s coverage. Many consultants charge a flat fee for E&O coverage that ranges from one to five percent of the contract value to arbitrary flat fees of $500 to $750 per audit.

Another key issue that must be negotiated is how the company wishes to deal with environmental sampling during an audit. Current professional practice among consultants is that no environmental sampling should be undertaken during a compliance or risk audit. The audit should, however, indicate whether sampling is necessary to uncover risks fully.

Concern over corporate liability due to the presence of asbestos- bearing materials has become a major element in auditing. An auditor should carefully inspect the building and identify materials that could be classified as potential asbestos-bearing materials (PABMs). No consultant can definitively state that a facility is asbestos-free based on visual inspection. Samples must be taken and analyzed in a laboratory. Companies must clearly state, that the inspection during an audit will only identify PABMs that can be visually noted without using intrusive methods. This simply means that the consultant will not punch holes in the walls, rip out ceilings, or otherwise damage the site during the initial audit. If documents picked up during the audit or the visual inspection indicate that asbestos may be present, sampling should be conducted. The audit report, however, is not going to be able to state conclusively whether there is asbestos in a building until the second phase of the audit, the sampling, is undertaken.

The possibility of soil and groundwater contamination at sites is also a major concern of companies. As noted earlier, sampling of soils and groundwater should not be conducted until the initial audit is complete. The audit should identify areas where there is soil staining and discuss the reasons why groundwater contamination may be present. The audit report will not, however, be able to quantify the degree or extent of contamination. Such data can only be developed based on sampling results. Therefore, the contract must be explicit about the level of detail to be discussed in the report.


It is not unusual to develop a two-part contract with a consultant. The first part includes all the technical requirements, costs, and terms and conditions to conduct an environmental audit. The second part of the contract includes language that requires the consultant to develop a sampling plan, including a full cost proposal, based on audit results. This plan is to be submitted with the final audit report.

A contractual requirement for the consultant to develop a sampling plan will eliminate the time delay between the issuance of a final audit report and the beginning of sampling. Furthermore, the contract should specify that costs noted in the sampling plan are not fixed and are negotiable at the time of their submittal. By mixing an audit and sampling plan under a single contract, a company can avoid having to go out to bid a second time. This saves time and cuts down on paperwork. The contract should also state that the company is under no obligation to use the same consultant to perform both the sampling and the audit. This allows a company to split an effort if the audit portion of the contract is not performed adequately.

When all contractual issues are resolved, the company should send a formal notification of contract award, which includes the contract as an attachment, to the consultant.

A company should require that the consultant inform it in writing when the audit is scheduled. The consultant should also be required to inform the company one week prior to submittal of the final report.

Most audits of industrial facilities usually take less than one month to complete after contract award. Due to this short time frame, company monitoring of performance should be quite limited. The company should speak with the consultant informally at least once a week to ensure that no serious problem goes undetected.

Never accept a consultant's audit report only in final form. The consultant should be required to submit an audit report in draft to allow the company the option of requesting clarifications and, where appropriate, typographical corrections. A company must never try to change audit findings.

The company's general counsel should review all audit reports in draft, to spotlight any actions the company must take in order to eliminate liabilities. Audit reports should be marked " Attorney-Client Work Product." Such a label may provide some limited protection from subpena.


Once a final report is issued by the consultant, it cannot be changed. If an error made by the consultant is identified after the fact, a separate letter from the consultant to the company must be issued. The report, however, cannot be amended.

An audit report is valid for one to two years. If a facility’s operations do not change, the audit is probably useful for the longer period of time. No audit should be used that is more than two years old. Although no set rule exists regarding how long an audit may be used, most consultants and attorneys agree to the two-year limit.

Many companies wonder if they can reuse an audit if it is more than one year old and facility operations have not changed. Under these circumstances, audit results may be viewed as valid; however, lawyers and financial institutions will not allow the use of such results to reflect current conditions. In short, basic audit findings are acceptable, but a company may have to conduct a reaudit to meet the requirements set by

TABLE 11

SAMPLE INVOICE FORMAT

Payment Request for Environmental Audit of Period beginning and ending

Number of Labor Hours Utilized Hourlv Rate Total Charge

List employee name

Total Labor Charge

Expenses

Air Fare Car Rental Hotel Meals Photo Telephone Courier Reproduction Binding


TABLE 12

DRAFT: FIXED-COST LETTER-STYLE CONTRACT FOR AN ENVIRONMENTAL AUDIT

Mr. Tom Smith XYZ Corporation 11 1 Crescent Drive Philadelphia, PA

Re: Environmental Assessment of

Dear Mr. Smith,

ABC Consultants is pleased to submit this letter proposal to conduct an environmental assessment of

ABC will conduct the assessment in three phases. Phase One involves contacting local, state, and federal officials to identify previous land use and to determine if the property has a history of environmental noncompliance. ABC will also collect relevant information about properties immediately adjacent to the site.

Phase Two involves an inspection of the property. ABC will identify the sue and storage of hazardous materials, the storage of and disposal of hazardous wastes, the presence of PCBs, the presence of potential asbestos building materials, and identify any underground storage tanks. ABC will also identify the presence of absence of soil staining, drums, and other environmental risks seen during the inspection.

Phase Three is the submittal of findings and recommendations in a final report. This effort does not involve any environmental sampling. No asbestos sampling will be

conducted. All findings are based on nonintrusive methods. The assessment report may, however, recommend sampling be conducted. ABC can complete this three-phase effort for a fixed cost of $

Please countersign this letter if you accept this proposal. ABC can submit a report to you no later than , 19- assuming ABC receives authorization to proceed no later than , 19-. ABC will also give a verbal report of findings to you the day after the field inspection is completed.

If you have any questions regarding this proposal, please call me at

. This cost includes all expenses.

11 Note: Consultants always attach their standard terms and conditions to letter contracts.


lawyers. This may appear unfair, but remember that an audit only reflects what conditions were at a site on a particular day.

Should a company keep old audit reports in files beyond the two-year limit? If the audit file contains clear records of how follow-up actions were taken based on audit findings, there is no reason not to keep those records. The issue of records retention, however, is best resolved by a company’s general counsel.

CONSULTANT LIABILITIES

Introduction

Hazardous waste projects are particularly vulnerable to litigation over consultant liability. A successful lawsuit proving professional negligence can result in the plaintiff losing clients, and considerable income if the courts levy heavy fines, or assign a negligent consultant the financialresponsibility of cleaning up a hazardous waste site. The following considerations must therefore pervade all consultant business decisions:

A consultant must thoroughly understand his or her professional duties, responsibilities, and contractual limitations. Sound business practices will reduce the risk of liability claims. Basic liability exposures must be recognized and reduced. The consultant can reduce liability risk, but it can never be totally eliminated. Therefore, professional liability insurance is mandatory. All contract amendments must be properly worded and reviewed by a corporate lawyer or contracts administrator. The environmental report must be written in a concise and unambiguous manner.

Proposals

The proposal sets the contractual tone between the consultant and his or her perspective client. The typical proposal consists of the following elements :


0

0

0

0

0

0

0

0

0

0

0

Cover letter. Project summary. Proposal outline. Introduction. Scope of work. Experience on similar projects. costs. Schedule. Confidentiality agreement. Resumes of key personnel. Project team.

The client should always accept the terms of the proposal formally in a written contract. While verbal contracts are legally binding, practically speaking, they are unenforceable. If the client does not accept all elements of a contract’s standard terms and conditions, the conflict should be resolved prior to starting the project.

If the client requires immediate project startup, notice to proceed can be given by a signed letter of authorization. Whether using a notice to proceed or a formal contract, the two parties must always address and correct major concerns before starting the project.

If a client prefers his or her own contract, the consultant must work out mutually agreeable contract terms. Of course, if agreement cannot be reached on legally sensitive issues, the consultant should decline to bid on the proposal.

Elements of the Contract

A contract is a legally binding agreement between two or more parties; a formal dispute over any aspect of a contract can be cause for litigation. Consultants reduce their liability risk by using a properly worded contract. The following checklist of form and content will help the consultant assess the strength of his or her contract:

0 A detailed scope of work is provided. The duties and responsibilities of both parties are clearly defined.

0 Provision is made for payments. 0 If the client’s credit history is a concern, provision is made for

a retainer.


The effective dates of applicable local, state, federal regulations are listed. Provision is made for a formal notice to proceed.

0 Court remedies are defined; those who are to pay legal costs are identified. If the client requests a change in the scope of work, provision is made for the requisite financial adjustment. If the client terminates the contract, the consultant should be given the opportunity to negotiate a new contract.

Contract Issues

Scope of Work

The scope of work defines the project elements to be performed by the consultant; the level of detail is a function of the project’s complexity. The consultant should attempt to limit the scope of work to low risk tasks whenever possible, and when undertaking high risk tasks, to use the proper caveats. Performance standards, also included in the discussion of the scope of work, must promise that level of professional performance considered satisfactory within the industry. Finally, quality control methods must be defined within this section. The consultant should schedule project reviews with the client at major milestones; the cost of these meetings should be included in the estimated fee.

Schedule

Clients expect services to be performed on time. Some contracts may require the consultant to assume the responsibility for delays, the costs of which can be significant. Therefore, the consultant should clearly define schedule requirements in the contract. Strong client relations and communication are two of the most important elements in controlling the schedule, and eliciting the client’s support if the schedule cannot be met.

Budget

The project budget must contain the consultant’s profit on labor and other direct costs (ODCs). The budget must also contain funds set aside


for contingencies such as delays due to inclement weather, equipment failure, and/or subcontractor failure to perform.

All consultant firms face competition. Fortunately, for the client, competition frequently forces consultants to discount labor rates, and to remove contingency fees from their proposed budgets. Ideally for both the consultant and the client, the budgeted fee will be an equitable exchange for services rendered.

Report Preparation

The environmental report is usually the final product to be delivered to the client. It must contain a summary of findings, recommendations, and conclusions. Since it is a formal document that can be distributed to third parties, the consultant must write a legally defensible report. The report must be clear, concise, and unambiguous, otherwise the client or a third party may later claim that they received misleading information. If such a charge is proven in a court of law, the consultant can be held liable for damages. The following guidelines can help the consultant write a report containing minimal disputable information:

0 Define the scope of work. 0 State all limitations placed on the consultant regarding the scope

of work, schedule, and budget. 0 State that the information presented in the report is limited to a

clearly defined area of the site. Provide detailed site maps of the study area, and always document with photos. The reports should be written objectively; the consultant is responsible for reporting only facts.

0 All conclusions stated in the report must be supportable. Do not state opinions.

It is practically impossible to write the perfect report. A report favoring the consultant would be full of caveats and disclaimers rendering it useless to the prospective client, and vice versa. Therefore, the content of a workable report is a compromise between the needs of both parties. The well written report must detail the limitations inherent in performing an environmental audit.


The draft and final reports are prepared using the scope of work defined in the proposal and contract. Furthermore, the consultant warrants that he or she will conform to accepted professional standards in effect at the time of the investigation. It is advisable to declare that the statements and conclusions contained in the report are merely estimates of the environmental conditions of the site. The report’s statements and conclusions are not a guarantee of the site’s environmental conditions. Therefore, the consultant should always recommend a Phase II environmental investigation to corroborate Phase I findings. The statements and conclusions contained in the report are valid for a specified period of time from the date of the report.

Third Party Use Disclaimers

Clients routinely request that third parties be allowed to use environmental assessment reports. The release of a report to a third party without disclaimers on its use is potentially the greatest source of consultant exposure to liability. Since the client’s attorney, bank, seller, or a third party did not sign the contract with the consultant, they are not bound by the terms of the consultant’s contract. Use of the report should therefore be strictly limited to the client. The contract should clearly state this limitation, and should also apprise the client that use of the report by third parties is the client’s sole responsibility.

Realistically, environmental reports are routinely given to third parties, and consultants are legally responsible for their content. Also, though third parties are not signatories to a contract, they may still sue the consultant if they incur loss or damage due to the report’s content. Therefore, the consultant should be aware that, regardless of disclaimers, his or her report may be given to third parties such as lenders, buyers or sellers.

Contract Terminology

A consultant must understand the terminology used by the client, attorney, insurance broker, and third parties when discussing professional liability claims and insurance. The following is a discussion of basic litigation terms.


Hold Harmless and Indemnity Provisions

Term such as "hold harmless, or "indemnity" sometimes appear in contracts and may be unacceptable conditions for the consultant's insurance carrier, who may look for more conservative language. The insurance carrier may not cover the consultant who agrees to hold harmless and indemnify others from losses arising from the consultant's negligence, since the law stipulates that the consultant can be held liable regardless of such a clause. An acceptable and insurable hold harmless and indemnification clause might read as follows :

The consultant agrees to defend, indemnify, and hold harmless, the property owner, its officers, agents, and employees, from all claims arising out of the negligent acts, errors, or omissions of the consultant.

The following hold harmless and indemnity provisions are examples of legally risky language since they assign the consultant liabilities that are not legally the consultant's responsibility. Signing such a contract could negate the consultant's insurance coverage, and expose him or her to legal liability. For example:

The consultant holds harmless and indemnifies his or her client for liability arising out of the consultant's and the client's negligent acts, errors, or omissions. The consultant holds harmless and indemnifies his or her client against losses resulting from the consultant's firm's acts, errors, or omissions or those of its subcontractors. The consultant holds harmless and indemnifies his or her client for all loss, injury, or damage arising from the project, regardless of fault or cause--in effect, assigning the consultant strict liability for the entire project.

Warranties and Guarantees

Some clients require warranties and guarantees of performance in their contracts. The following is an example of a typical warranty clause:


The consultant warrants that all work performed on this project will conform to the previously submitted written scope of work. The consultant further warrants that all professional services will be performed to the professional standards current at the time the work is performed.

Terms and conditions form the bulk of contract language, but are often given little attention during contract negotiations. The consultant should be sure that the firm’s contract administrator reviews the contract’s terms and conditions before the firm signs the contract.

A consultant’s insurance coverage should include the following:

Workmen’s compensation coverage. Automobile insurance. Comprehensive general liability insurance. Environmental impairment coverage.

Having insurance coverage does not justify taking risks. Numerous or financially large claims against a firm will result in increased premium costs, which will increase the consultant’s cost of doing business. The consequences could also include cancellation of the firm’s coverage.

Liability

Liability refers to absolute, contingent or probably responsibility legally assumed by a consultant when performing environmental work. A consultant’s liability can encompass all legal damages.

Damages

Damages refers to loss or harm to a person or property; it also describes the amount of money payable for loss or injury. Damages can be incurred by the consultant, the client, or by third parties. Damage to the consultant’s client and to third parties can include property damage, personal injuries and economic loss. Generally, property damage and


personal injuries suffered by a consultant's acts or omissions are covered by the consultant's liability insurance.

Exposure to Client and Third Party Claims

There are four reasons for which a consultant can be held liable for damages; these are:

1 . Breach of Contract.

2. Breach of Warranty or Fraud.

3. Negligence.

4. Willful Misconduct.

Liability for Breach of Contract

A consultant is liable for damages caused by a breach of contract. Formal contracts must contain the fee, scope of work, and schedule. Legal obligations toward the client include warranty, indemnities, and waivers of consequential damages. To be considered in breach of contract, a consultant must fail to comply with a provision(s) of the contract. For example, if a consultant issues a report to a third party without the client's permission, the consultant is violating the terms and conditions of the contract. The consultant's breach of contract could therefore cause the client to incur additional liability from the third party. Another example of breach of contract, called failure to perform, would occur if the consultant did not disclose all contamination located on a property. In this case, the consultant could be held liable for the cost of site cleanup.

Liability for Breach of Warranty and Fraud

A warranty is a contractual promise that professional services will attain a particular level of quality. Liability exists for breach of warranty. The consultant should consequently limit comments about the level of service only to attainable performance. An example would be a promise to drill to a certain depth barring "changing conditions. " Breach of warranty


would also occur, for instance, if a consultant were foolish enough to promise an unattainable level of groundwater remediation.

Consultant fraud is also easily defined. For example, if a consultant were to submit a report for a site he or she had never visited, the act would constitute fraud. The cost of correcting a warranty may exceed a contract’s value. A charge of fraud levied against a firm could also ruin that firm’s reputation, and could result in bankruptcy.

Liability for Negligent Acts or Omissions

To establish liability for negligent acts or omissions, the plaintiff must legally prove that professional negligence has occurred. Negligent acts or omissions could be as simple as allowing contaminated drilling fluids to flow onto private property adjacent to a hazardous waste site. The client or his or her subcontractor would then be responsible for cleanup. Unfortunately, hazardous wastes projects involve high risk and exposure to such liability. Perhaps the simplest way to reduce liability is to pursue project work selectively, determining site characteristics, and evaluating the client before bidding for the job. Such analysis should include potential for release of hazardous substances, proximity to sensitive receptors, potential offsite pathways, and the volume and type of hazardous substance(s) involved.

Liability for Willful Misconduct

Willful misconduct can include a variety of acts such as using drugs or drinking while performing work for the client. Committing assault while on the job would also qualify. However, not all willful misconduct involves overt criminal acts. Refusing to abide by a designated health and safety plan would also qualify as willful misconduct.

Extent of a Consultant’s Duty

In determining a consultant’s duty, courts will evaluate the nature of the risk involved in performing professional work.


Defining the Duty

One duty imposed by common law involves exercising reasonable care. Legally, a party must exercise that degree of care exercised by a "reasonable, prudent man. "

Liability for Breach of Duty

Once a duty to a party is established by contract or by law, a party is considered negligent when it breaches that duty. If a consultant has breached a duty to the client or to a third party, the consultant is legally liable for all damages suffered by the injured party or parties caused by the breach of duty. If a consultant is found guilty of gross negligence, he or she may be assessed punitive damages, in addition to other damages.

Contract Negotiations

The ideal outcome of any contract negotiation is the mutual satisfaction of both the consultant and the client. A typical win-win scenario occurs when the consultant negotiates a few that provides his or her firm with a reasonable profit, while staying within the client's budget, and meeting the client's scope and schedule.

The following is a summary of basic negotiating rules for consultants:

Prepare for negotiations; list every major issue. Know your minimum and maximum goals before negotiating. Never give a concession without getting one in return. When the client makes a concession, take it. Do not make the first concession. Negotiation losers are usually those who make the first major concessions. Inform the client that concessions on individual issues are based on reaching a satisfactory overall agreement. You may ultimately work with the people with whom you negotiate. Therefore, allow the prospective client to feel satisfied with the outcome of the negotiation.


The successful project depends largely on a well planned proposal and contract. Every project is governed by three major considerations: scope, schedule, and budget. The clearly defined goals stated in a properly presented proposal and contract will ensure that each of the above considerations is met.

INSURANCE INDUSTRY'S LIABILITY ISSUES

Introduction

The insurance industry becomes involved with Superfund-mandated cleanup costs when PRPs attempt to have their insurance companies pay for these costs. Given the enormity of the potential costs for hazardous waste cleanup, it is not surprising that PRPs would seek other sources to assist in financing the costs. Similarly it is not surprising that insurance companies would resist paying these costs.

The type of insurance policy that is typically involved in a superfund litigation is known in the industry as a comprehensive general liability (often referred to as just general liability) insurance policy. Hazardous waste claims typically come under a coverage section in the policy known as premises and operations. Policyholders, especially larger corporations and organizations, often obtain several layers (increased amounts) of coverage by purchasing additional policies. These policies are known as excess or umbrella liability policies and typically provide the same or similar coverage as the primary policy. Consequently these "following form" policies are also brought into the insurance coverage litigation. While property insurance policies, particularly all risks policies, have also been brought into the debate, most of the litigation has focused on general liability and related policies.

The affected policies are older general liability policies, purchased before 1986 when a blanket exclusion for all hazardous waste, pollution and related claims was placed in liability policies. PRPs have conducted and are conducting extensive searches for older policies as the actual policies are the most clear and convincing evidence that coverage was in effect. Because many policies have been destroyed as part of regular records attrition management programs, other evidence of coverage, e.g., correspondence, check stubs, etc., are sought to prove that coverage was in effect. This whole area of reconstructing a PRP's past insurance


program has given rise to a new consulting area called insurance arche- ology.

Insurance Coverage Litigation

The insurance coverage litigation between PRPs, as policyholders, and insurance companies has produced several specific coverage issues. These issues will be discussed briefly in the next section. For interested readers, the author has written a number of articles that discuss these coverage issues in greater depth. Before discussing the specific coverage issues, some general comments are in order.

For each of the specific coverage issues, judgments (often several) can be found to support both sides of the issue, that is, some court decisions support the side of the PRPs and some support the side of the insurance companies. Because insurance is regulated by the states, is covered by contract law, and rarely involves constitutional questions, cases do not come before the United States Supreme Court to produce a single definitive decision. Consequently a single coverage issue often comes before several state and federal district jurisdictions, including appellate courts. Until a preponderance of jurisdictions reach the same decision on the same coverage issue (which may never happen), the issue remains unresolved.

The above situation is both fluid and dynamic. An attempt will not be made to report completely on all the decisions of various jurisdictions on the specific issues. Not only would that be beyond the scope and purpose of this article, it would quickly become outdated, because new decisions are continually being written. Interested readers can consult various litigation reporters, or specific law firms which deal with the area of hazardous waste insurance coverage litigation.

The interpretation of insurance policies is governed by specific rules or doctrines. One of the ore interesting rules which has substantial applicability to hazardous waste coverage litigation is the rule of adhesion. This rule states that ambiguity in insurance policy language should be interpreted in favor of policyholders and against insurers. Anyone who has ever read or attempted to read an insurance policy knows it is a complicated document and subject to claims of ambiguity. Not surprisingly, lawyers for PRP policyholders have made liberal use of the doctrine of adhesion in arguing that insurance policies should cover Superfund-mandated hazardous waste cleanup costs.


Insurance Coverage Issues

Seven specific insurance coverage issues have been identified involving hazardous waste claims. Each will be briefly discussed from the viewpoints of both the PRP policyholders and the insurance companies. Where possible, the author will opine as to which viewpoint, if any, is dominating. While all issues are important, the first four have probably received the most attention. Finally, each of the issues can be considered a potential defense to be used by insurance companies to deny coverage. While all the issues/defenses are rarely applicable to, and thus used in, a particular dispute, in theory if insurance companies are successful in any one of the seven areas, coverage would be denied. The number of potential issues/defenses helps to explain why the litigation often becomes so involved, drawn out, and expensive.

Pollution Exclusion

Prior to the early 1970s, no mention was made of pollution or hazardous waste in general liability policies. Without any other defense, coverage would presumably exist under the premises and operations section of the policy. In the early 1970s (1973 for all standard forms) insurers began to include an exclusion which limited coverage for pollution claims. An example of this standard partial pollution exclusion is included below:

This insurance does not apply to bodily injury or property damage arising out of the discharge, dispersal, release or escape of smoke, vapors, soot, fumes, acids, alkalis, toxic chemicals, liquids or gases, waste materials or other irritants, contaminants or pollutants into or upon land, the atmosphere or any water course or body of water; but this exclusion does not apply if such discharge, dispersal, release or escape is sudden and accidental.

This was an attempt to exclude all types of pollution claims except those that resulted from sudden accidental dispersals. In other words, insurers were attempting to exclude the "gradual pollution" claims resulting from, perhaps, a slow leak that nobody had bothered to trace and correct and which, over years, could result in a serious contamination problem, while still maintaining coverage for pollution which


might occur from a sudden and accidental event, like an exploding chemical tank.

The term sudden and accidental has become the focal point of extensive litigation. Insurers claim that the event had to happen in an instantaneous or very short period of time. Policyholders claim that the term sudden and accidental only meant unintended or unexpected and do not connote any temporal quality. Policyholders also have incorporated the adhesion rule by noting that the term sudden and accidental was not defined in the policy and thus was ambiguous. Some courts resorted to using dictionaries, which (depending on the particular meaning or set of meanings chosen) resulted in findings for insurers in some cases and for policyholders in others. The situation is complicated by the fact that some insurance organizations, in arguing for the pollution exclusion back in the early 1970s, stated that the exclusion was merely a clarification of existing policy wording and coverage. Not surprisingly, these arguments have come back to haunt insurers today, as policy holders use them to argue their cases.

In litigation involving the pollution exclusion, findings for policyholders have the effect of negating the exclusion, thus coverage becomes effective for both sudden and gradual pollution events. While it appears that more recent court decisions have been favoring the interpretation of insurance companies, overall the courts are widely divided and this issue is still largely unresolved.

In 1986, insurers decided to exclude all types of pollutiodhazardous waste claims, both sudden and gradual, from general liability policies. Included below is an example of the 1986 exclusion:

This insurance does not apply to:

1. "Bodily injury" or "property damage" arising out of the actual, alleged or threatened discharge, dispersal, release or escape of pollutants:

a. At or from premises you own, rent or occupy. b. At or from any site or location used by or for you or others

for the handling, storage, disposal, processing or treatment of waste.

c. Which are at any time transported, handled, stored, treated, disposed of, or processed as waste by or for you or any


person or organization for whom you may be legally responsible.

d. At or from any site or location on which you or any contractors or subcontractors working directly or indirectly on your behalf are performing operations:

i. If the pollutants are brought on or to the site or location in connection with such operations.

11. If the operations are to test for, monitor, clean up, remove, contain, treat, detoxify or neutralize the pollutants.

..

2. Any loss, cost, or expense arising out of any governmental direction or request that you test for, monitor, clean up, remove, contain, treat, detoxify or neutralize pollutants.

It might be noted that pollution coverage is currently available in limited forms in restricted markets under Environmental Impairment Liability (EIL) insurance policies. The EIL insurance market developed in the 1970s to provide gradual pollution coverage, which most insurance industry officials thought had been excluded from liability insurance forms. After the 1986 blanket pollution exclusion, the EIL market now provides both sudden and gradual pollution coverage.

Expected and Intended Damages

Liability policies have never been meant to cover intentionally caused or expected injuries and damages. Both public policy considerations and specific policy wording argue against such coverage. An example of policy wording is included below:

The insurer will pay on behalf of the insured all sums which the insured shall become legally obligated to pay as damages because of bodily injury and property neither expected nor intended from the standpoint of the insured.

When applicable, insurers contend that pollutiodhazardous waste damages are not covered as they were either intended or at least should have been expected by the policyholders from their actions. Policy-


holders have countered by saying that either their actions were not intended, that is, they were accidental; or even if their actions were intentional, they did not intend or expect damages to occur.

Court decisions have been widely split on this issue; intent and what the policyholder should reasonably have expected to happen, as indicated by the specific facts of the case, have largely decided the outcome. In one celebrated case involving the Shell Oil Company as a PRP policyholder, insurers were able to prove that Shell knew its actions were causing damages. Reportedly Shell officials replaced dead ducks, which were apparently dying from Shell's disposal of hazardous waste, with live ducks. Insurers successfully argued that this action constituted evidence that Shell knew its actions were causing damages, hence no coverage. This has become known in litigation circles as the "dead duck" defense.

Trigger of Coverage

The term trigger is used to denote which insurance policy responds to a loss, that is, which policy is triggered. Typical wording in liability insurance policies requires that the bodily injury and/or property damage occur "during the policy period"--the period of time the policy is in effect--typically one year. In acute lo situations like an automobile accident or a fire, the time and date of the injury or damage are clear and will fall within a particular insurer's policy period. When losses occur over time, such as the seeping of hazardous waste into an aquifer, the exact timing of the loss and determining which policy or policies are triggered is more difficult.

The trigger of coverage issue for losses which occur over time first gained notoriety in the asbestos injury cases, The question arose: If a worker is exposed to asbestos in 1945 but is not diagnosed for asbestosis until 1975, which insurer(s) must respond? The resulting litigation initially produced two triggers of coverage:

1 . The exposure trigger--those insurance companies with policies in effect when the worker was exposed to the asbestos must respond.

2. The manifestation trigger--those insurers with policies in effect when the worker was diagnosed with asbestosis must respond.


Both triggers produced reasonably short and definable loss periods and consequently short and definable policy periods. Since in any particular case only one trigger would be held to be the applicable trigger, the insurance industry’s liability for asbestos injuries was, while not trivial, within reasonable bounds.

This situation was changed dramatically in 1981 by the famous, or infamous depending on your viewpoint, decision in the Keene case. Partly due to the ambiguity of the trigger issue (recall adhesion), and the fact that different insurers did not necessarily agree on a single trigger, the judge in the Keene case reached the startling conclusion that not only should both the exposure and manifestation triggers apply but a third trigger--the entire time period between exposure and manifestation, the so-called latency or residency period--should also apply. This became known as the triple trigger and was devastating to the insurance industry, as it meant all the insurance policies in effect from the time of exposure to the time of manifestation must respond. In an event like asbestos injuries, this can mean a period of 30 to 40 or even to 50 years.

While the triple trigger rule has established a strong foothold in asbestos cases, the situation in hazardous waste litigation is not clear. Not surprisingly, PRP policyholders argue for triple trigger as it maxi- mizes their coverage. For instance, in the Shell Oil Company case referred to earlier, Shell had sued 260 liability insurers (primary, excess and umbrella) that provided coverage from 1947 to 1983. Shell sued for one billion dollars in cleanup costs it was responsible to pay for cleanup at two hazardous waste sites in Colorado and California. Insurers, in contrast, argue for either an exposure trigger (when the hazardous waste was disposed of) or a manifestation trigger (when a cleanup order or suit arises). A fourth trigger of coverage, the injury in fact trigger, which lies somewhere between the manifestation, exposure and triple triggers may also be claimed by either insurers or policyholders, depending on the circumstances. As is readily apparent, the final deter-mination of the trigger issue will have enormous significance for both PFW policyholders and insurance companies.

The stakes for the insurance policy regarding the trigger issue go far beyond hazardous waste risks. If triple trigger became the established precedent for continuing types of injuries and damages over time, then insurers would be subject to the “stacking” of their limits in any number of risk situations. Pharmaceutical drugs, inside building exposures (light, noise, toxic gases, radiation), and products like silicone get breast


implants, are examples of risk situations where it can be argued that injuries are occurring in a cumulative fashion over time. The application of the triple trigger doctrine in these situations could result in the triggering of numerous liability insurance policies over extended periods of time. For insurance policies written on the predominant occur-rence form rather than claims-made form, insurers would never be able to close their books. Occurrence policies require only that injuries or damages occur during the policy period, even though the actual claim may be made long after the policy period expired. Claims-made policies require that the claim be made during the policy period for coverage to be in effect; thus once the policy period has expired, the insurer is not responsible for future claims. Whenever a new type of injury is discovered, and where it can be established that latent damage had been occurring over an extended time, all older occurrence insurance policies over this period could be triggered. Thus it is not surprising that insurers are putting up a particularly staunch defense on the trigger issue. Universal application of the triple trigger would have an enormously adverse financial impact on the insurance industry. The industry, which has as one of its principal objectives the reduction of uncertainty, would find itself facing a very uncertain financial future.

Covered Damages

The general liability insurance policy typically states that the insurer will pay on behalf of the insured all sums which the insured shall become legally obligated to pay as damages because of bodily injury or property damages.

Insurers contend that government-mandated hazardous waste cleanup costs under Superfund are not damages covered under liability policies. They argue that such costs are economic losses, and constitute equitable monetary relief rather than legal relief, i.e., monetary amounts awarded by a court of law. PRP policyholders counter that policy wording is unclear, i.e., ambiguous, and they favor a common everyday definition of damages that would include monies they are having to pay for cleanup costs.

On this particular issue, as of July 1992, six state supreme courts (California, Iowa, Massachusetts, Minnesota, North Caro-lina, and Washington) have held for policyholders that these costs are covered damages; and two state supreme courts (Maine and New Hampshire)


have held for insurance companies that these costs are not covered damages. At the federal appellate court level, four U.S. Circuit Courts of Appeals (2nd, 3rd, 9th, D.C.) have held for policyholders while two U.S. Circuits (4th, 8th) have held for insurers. Of the more critical coverage issues, the issue of covered damages has produced the most discernible trend in court decisions and this trend favors the policyholders.

Duty to Defend

A standard feature of liability insurance policies is that the insurance company has the right and duty to defend the policyholder in any litigation resulting from actions covered under the policy. Defense costs would include attorney fees, court costs, expert testimony, investigations, studies and other costs associated with defending the policyholder. Obviously these costs can be substantial.

When it is determined that the insurer’s policy must respond (that is, the insurer has been unsuccessful in applying other defenses/issues in this section), there is little debate that the insurer must provide defense cost coverage. There are other cases, however, where the insurer may be asked to provide defense cost coverage. Generally the insurer’s duty to defend is broader than the duty to indemnify for bodily injuries and property damages. Typical policy wording is included below:

The insurer shall have the right and duty to defend any suit against the insured seeking damages on account of such bodily injury or property damage, even if any of the allegations of the suit are groundless, false or fraudulent, and may make such investigation and settlement of any claim or suit as it deems expedient.

PRP policyholders argue that insurers have a duty to defend and pay defense costs for actions brought against them by EPA under Superfund, even if cleanup costs may not be held to be covered property damages. In addition, policyholders argue that a letter from EPA naming them as PRPs for cleanup costs has the same practical effect as a lawsuit and triggers an insurer’s duty to defend.

Another more troublesome situation involves the amount or the limit on defense cost coverage. Typically, in a liability insurance policy, no


specific dollar limit applies to defense costs. Policy limits apply to bodily injuries and property damages to establish maximum amounts payable by the insurance companies for injuries and damages. Since 1966, insurers have had an explicit clause in policies which states that defense cost coverage ceases when policy limits for bodily injuries and property damages are exceeded. A typical clause is included below:

the insurer shall not be obligated to pay any claim or judgement or to defend any suit after the applicable limit of the insurer’s liability has been exhausted by payment of judgments or settlements.

Earlier policies did not contain such a clause. Consequently substantial litigation has involved the issue of whether insurers have to pay defense costs without limit on these earlier policies. For instance, an insurer may have written a $20,000 policy in 1947, the limit of which has been exhausted by covered property damages, but the insurer is being asked to pay for defense costs at today’s rates without limit.

Multiple Occurrences

Policy limits in liability policies are usually expressed as X dollars per occurrence (there may also be per injured person limits). Older policies had per accident rather than per occurrence limits. The basic idea is to establish a maximum amount of money that the insurance company will pay for a particular event or loss.

If a hazardous waste/pollution situation involves multiple claims (e.g., EPA, state governments, private parties), questions have arisen as to whether this should be considered one occurrence or multiple occurrences. For instance, in the Jackson Township case, the court held that each of the 200 plus claimants was a separate individual occurrence. The result was a huge increase in the potential liability of the insurance company as the full policy limit became available for each claimant or occurrence.

Since 1986, the premises and operations portion of the general liability policy has been subject to an annual aggregate limit. This type of limit stipulates the maximum liability of the insurance company for a particular year, regardless of the number of occurrences. Earlier policies, at least the primary policies (excess and umbrella policies


usually have aggregate limits), did not have an annual aggregate limit on this portion of the coverage from which pollution/hazardous waste claims arise. On these earlier policies, insurers may incur liabilities in substantial excess of their per occurrence limits. In addition, as new claimants come forward, policy limits may never be exhausted, and could also lead to additional defense cost coverage.

Care, Custody and Control Exclusion

Liability insurance policies have an exclusion called the care, custody and control exclusion, as shown below:

This insurance does not apply to property damage to:

1. Property owned or occupied by or rented to the insured.

2. Property used by the insured.

3. Property in the care, custody or control of the insured or as to which the insured is for any purpose exercising physical control.

The effect is to exclude coverage for damage to property that is in the care, custody and control of the policyholder. Coverage for such damage is more appropriately provided by property insurance policies.

In the context of hazardous waste claims, coverage for hazardous waste cleanups for waste that was disposed of on the policyholder’s property would be excluded. If the waste is shipped off the insured’s property to a waste site handled by another party, then the exclusion does not apply. Insurance companies have been generally successful in upholding this exclusion, with at lest one notable exception. In the Summit case, the judge held the exclusion invalid, arguing that the public policy of cleaning up the environment overrode the clear wording of the policy exclusion.

3 THE CHEMISTRY OF HAZARDOUS MATERIALS

INTRODUCTION

Chemicals can pose a variety of health hazards as well as physical dangers. There are over 600,000 different chemical products on the world market, yet very little is known about the toxicological characteristics of many of these, let alone the effects associated by mixtures. For individuals handling chemicals, potential exposures can result from inhalation, absorption through the skin, and even ingestion. An individual’s response to overexposure can be acute (Le., immediate) or chronic in nature, where exposure to low concentrations of a chemical over long periods of time can lead to delayed reactions. This chapter provides a discussion on the subject of poisons and the physical hazards associated with hazardous chemicals.

CHEMICAL PROPERTIES AND CHARACTERISTICS

Chemicals can be described in terms of their physical, chemical, and biological properties. Fundamental understanding of the meaning and importance of various properties is essential if we are going to use this information from either an engineering or health and safety standpoint. Physical and chemical properties can then be used along with other information to predict the likely behavior of hazardous chemicals, and to recognize and avoid potentially dangerous situations. We first define the more critical properties that are useful in the handling of hazardous materials, of which the principal ones are listed in Table 1.

145


TABLE 1

LIST OF COMMONLY MEASURED PHYSICAL/CHEMICAL PROPERTIES

Color Odor Physical state at 20°C Molecular weight (MW) Chemical formula Melting point (MP) Boiling point Vapor pressure (VP) Density Vapor density (VD) Specific gravity (SG) Solubility (water; other solvents)

Octanol/water partition

BOD, ThOD Fire point Auto-ignition temperature

(point) Flashpoint Explosive limits Heat content Threshold limit value (TLV)

coefficient (K,)

Physical State at 2O0C--the physical nature of a chemical (solid, liquid, or gas) at 20°C (i.e., room temperature). Changing the temperature may alter the physical state, depending on the magnitude and direction of the change relative to the melting and boiling points of the material.

Boiling Point (BP)--the temperature at which a liquid changes to gas under standard atmospheric pressure (760 mm mercury). The BP of water is loO"C, while the BPs of ethyl alcohol and n-hexane are 78.4 and 68.7"C7 respectively. Lowering the atmospheric pressure (e.g. , by applying a vacuum) will lower the BP; conversely, higher pressures result in elevated boiling points. The material is at its boiling point; the vapor pressure of the chemical is the same as atmospheric, which is another way of saying that the material converts from liquid to gas state at the BP.

Melting Point (IMP)--the temperature at which a solid changes to a liquid. The melting point is not particularly sensitive to atmospheric pressure, but it is responsive to dissolved salts which depress the melting point. Thus, in winter, it is usual to salt sidewalks to keep water from freezing.

The Chemistry of Hazardous Materials 147

Vapor Pressure (IT)--the pressure exerted by the vapor in equilibrium with its liquid at a given temperature. Vapor pressure is a measure of the relative volatility of chemicals. Liquids with high vapor pressures generally represent a greater fire hazard than those with lower vapor pressures. For a given liquid the vapor pressure increases with increasing temperature. Consequently, drummed materials with high vapor pressures in particular should not be stored in direct sunlight, as overheating of the materials and resultant increases in vapor pressures could result in bulging drums with failed or weakened seams. When used with solubility data, vapor pressure values can be used to predict the rate of evaporation of dissolved solvents from water. At 20°C, water, ethanol, and benzene exert vapor pressures of 17.5, 43.9, and 74 mm of mercury, respectively. A material which has a high vapor pressure is one that is highly volatile, and therefore, represents a potentially high risk due to inhalation hazards.

Vapor Density (VD)--the mass per unit volume of a given vapor/gas relative to that of air. Thus, acetaldehyde with a vapor density of 1.5 is heavier than air and will accumulate in low spots, while acetylene with a vapor density of 0.9 is lighter than air and will rise and disperse. Heavy vapors can pose a significant hazard because of the way they accumulate: if toxic, they may poison workers; it nontoxic, they may displace air and cause suffocation by oxygen deficiency; if flammable, once presented with an ignition source, they represent a fire or explosion hazard. Examples of gases heavier than air include carbon dioxide, chlorine, hydrogen sulfide, and sulfur dioxide.

Density--the mass per unit volume of any substance, including liquids. The density of a liquid determines whether a spilled material that is insoluble in or immiscible with water will sink or float on water. Knowledge of this behavior is essential in checking whether to use water to suppress a fire involving the material.

Specific Gravity (SG)--the ratio of the density of a liquid as compared with that of water. Insoluble materials will sink or float in water depending on the SG. Materials heavier than water have SGs > 1, and materials lighter than water have SGs < 1 . Thus, lead, mercury, and carbon tetrachloride with SGs of 11.3, 13.6, and 1.6, respectively, will sink, whereas gasoline with a SG of 0.66 to 0.69, will float on water.


Solubility--the amount of a given substance (the solute) that dissolves in a unit volume of a liquid (the solvent). This property is of importance in the handling and recovery of spilled hazardous materials. Water- insoluble chemicals are much ezsier to recover from water than spills of water-soluble chemicals. Acetone, ivhich is miscible/soluble in water in all proportions, is not readily recoverable from water. In contrast, benzene, which is lighter than water and insoluble as well, can be readily trapped with a skimmer. For organic compounds, solubility tends to decrease with increasing molecular weight and chlorine content. Furthermore, the higher the temperature, the more soluble materials are in the solvent.

Flashpoint--the lowest temperature at which a material gives off enough vapor to form an ignitable mixture with air near the surface of the liquid within the vessel used. Two tests are used to measure flashpoint temperature: open cup and closed cup. Generally, the open cup method results in flashpoints 5" to 10" higher than the closed cup method. The flashpoint temperature of 140°F (closed cup) is the criterion used by EPA to decide whether a chemical is hazardous by the definition of ignitability. DOT also regulates materials on the basis of flashpoints.

Fire Point--the temperature at which a liquid gives off enough vapor to continue to burn when ignited.

Auto-Ignition Temperature--the temperature at which ignition occurs without an ignition source and the material continues to burn without further heat input.

Flammable or Explosive Limits--the upper and lower vapor concentrations at which a mixture will burn or explode. The lower explosive limit of p-xylene is 1.1 percent by volume in air, whereas the upper explosive limit is 7.0 percent in air. A mixture of p-xylene vapor and air having a concentration of < 1.1 percent in air is too lean in p-xylene vapor to burn. By subtraction (7.0 - 1.1) p-xylene is said to have a flammable range of 5.9.

Heat Content--the heat released by complete combustion of a unit weight of material. Methane has a heat content of about 21,500 Btu/lb while


benzene contains about 17,250 Btu/lb. The letters BTU stand for British thermal units.

Octanol/Water Partition Coefficient (K,,J--the equilibrium ratio of the concentrations of material partitioned between octanol and water. This coefficient is considered to be an index of the potential of a chemical to be bioaccumulated. Higher values of KO, are associated with greater bioaccumulative potentials.

Biochemical Oxygen Demand at Five Days (BOD&-the quantity of oxygen required by microbes for the oxidative breakdown of a given waste material during a 5-day test period. BOD, is usually taken as an index of the ultimate oxygen demand (i.e., oxygen required when sufficient time is allowed to achieve maximum microbial decomposition). BOD, is used to predict the impact of a spill or release of material on the oxygen content of a body of water. This property or parameter has a direct impact on fish and marine life.

Theoretical Oxygen Demand (Th0D)--the cumulative amount of oxygen needed to completely oxidize a given material. The ThOD is the upper limit for BOD, values, although it is seldom achieved. A comparison of the BOD, and ThOD values for a given chemical provides an indication of the biodegradability of that chemical.

Threshold Limit Value (TLV)--the exposure level under which most people can work for eight hours a day, day after day, with no harmful effects. A table of these values and accompanying precautions for most common industrial materials is published annually by the American Conference of Governmental Industrial Hygienists (ACGIH).

p&--the negative logarithm of the equilibrium constant for acids or bases. This parameter is an indicator of the strength of an acid or base. Strong acids, such as H,SO,, and HC1, have low pK,s (Le., I 1.1) while strong bases such as KOH and NaOH, have pK,s close to 14.0. Weak acids and weak bases fall in the intermediate range.

In addition to the properties listed in Table 1, the following are important characteristics and concepts used to describe chemicals.


Concentration--We seldom work with pure solutions of materials. More often than not we work with very minute amounts of materials dispersed in an environmental media. A knowledge of the units of concentration is, therefore, required. Units of concentration in common usage for aqueous solutions include parts per million (ppm) and with increasing analytical capability and environmental awareness, parts per billion (ppb), and even parts per trillion (ppt), milligrams per liter (equivalent to ppm for dilute aqueous solutions), moles per liter or molar solutions (a weight of substance equivalent to the gram-molecular or gram atomic weight in a liter of solution), equivalents per liter (commonly used for acids and bases, a one equivalent per liter solution is stated to be a one normal solution), and finally percent by weight or volume. For vapors and gases, mists, and particulates in air, common units of concentration are ppm, micrograms per m3, and percent by volume.

Solubility Product--the solubility product constant, commonly referred to as the solubility product, provides a convenient method of predicting the solubility of a material in water at equilibrium. Copper hydroxide, for example, dissolves according to the following equilibrium equation.

Cu(OH),(s)= Cu2+ +20H-

The resultant solubility product is represented in the following manner:

[Cu”] [OH-I2 = K,, (solubility product constant)

where [Cu”] and [OH-] are equal to the molar concentrations of copper and hydroxyl ions, respectively. The K,, is commonly used in determining suitable precipitation reactions €or removal of ionic species from solution. In the same example, the pH for removal of copper to any specified concentration can be determined by substituting the molar concentration into the following equation:

[OH-] = J K, / [Cu2’]

and then applying the derived values in turn to these other equations:

[OH-] [H+] = and pH = -log [H’]

The use of the K,, for precipitation information is often complicated by a number of interfering factors including complexation of metallic ions, high ionic strength solutions, and high solids contents. This principle is


applicable solely to ionic compounds, Le., primarily inorganic compounds.

Adsorption--This is a physico-chemical phenomenon used in the treatment of hazardous wastes or in predicting the behavior of hazardous materials in natural systems. Adsorption is the concentration or accumulation of substances at a surface or interface between media. Many hazardous materials can be removed from water or air by adsorption onto activated carbon. Adsorption of organic hazardous materials onto soils or sediments is an important factor affecting their mobility in the environment. Adsorption may be predicted by use of a number of equations most commonly relating the concentration of a chemical at the surface or interface to the concentration in air or in solution, at equilibrium. These equations may be solved graphically using laboratory data to plot "isotherms. " The most common application of adsorption is for the removal of organic compounds from water by passing the contaminated water through a bed of activated carbon.

Volatilization--Volatilization is a physico-chemical phenomenon, described as the tendency of a material to transfer from a liquid phase (either pure or dissolved as in aqueous systems) to a gaseous phase (commonly air). Volatilization, or evaporation as it is more commonly referred to, is controlled by several factors, the most important of which are the vapor pressure of the material, temperature (vapor pressure increases with temperature), and aidmaterial interfacial surface area, and the action of active mass transfer agents such as wind.

The processes of dissolutiodprecipitation (for inorganics), dissolutiodphase separation (for organics), adsorption, and volatilization control the distribution of a spilled material in the environment. Conversely, manipulation of these same processes can be made to accomplish either cleaning up or mitigating the effects of spilled materials. Thus, for example, groundwater contaminated with volatile organics of limited aqueous solubility can be decontaminated by air stripping of these compounds which can then be concentrated by adsorption on activated carbon for subsequent disposal.

Commercial chemical products and chemical wastes must be tested in order to establish the nature of their hazardous properties. In this regard, the regulations provide us with four general definitions of hazard


characterization: (1) reactivity, (2) ignitability/flammability, (3) corrosivity, and (4) EP toxicity. Commercial chemical products, specific wastes, and wastes from specific processes may be listed as hazardous wastes because they are known to present toxic hazards in the manner of the definitions above and/or are known to present serious toxic hazards to humans and/or the environment. In the discussion to follow various chemical groups are examined primarily in the context of corrosivity, reactivity, and ignitability.

CORROSIVE CHEMICALS

The EPA defines corrosivity in terms of pH (Le,, wastes with pH < 2 or 2 12.5) or in terms of ability to corrode steel (SAE 20) or aluminum at a rate of >6.35 mm (0.250 in.) per year at a temperature of 55°C (13°F). This section covers the subject of corrosivity as it applies to acids and caustics. Acids may be described as chemicals that yield H+ ions (actually H,O+ ions) when dissolved in water. Common industrial acids include acetic, nitric, hydrochloric, and sulfuric acids. The terms concentrated and dilute refer to the relative concentrations in solution. Mixing a concentrated acid with enough water will produce a dilute acid. For example, a bottle of concentrated HC1 direct from the manufacturer is approximately 12I3 in HC1, while a solution of HCl used in a titration may be only 0.5N. The latter is referred to as a dilute acid solution.

Strong and weak acids are classified by how completely they ionize in solution. For example, HCl is classified as a strong acid because it is completely ionized to H+ and C1- ions. Acetic acid is classified as a weak acid because it does not totally ionize in solution. As mentioned earlier, weak acids such as acetic acid have higher pK,s. The pK, for acetic acid is 4.75. The negative antilogy of this value (1.76 x can be used to calculate the concentrations at equilibrium of the acetate and hydrogen ions. Strong acids include perchloric, hydrochloric, sulfuric, nitric, and hydriodic acids. Examples of weak acids are boric, hydrocyanic, carbonic, and acetic acids. Thus, the terminology "strong versus weak acid" may bear little relationship to the nature or extent of the potential hazard, while the terms "concentrated versus dilute" most often do.

The acidic nature of a given solution is characterized by its pH, where pH is the negative logarithm of the molar H+ concentration (-log


[H+]). A solution with pH <7 is acid, a solution with pH 7 is neutral, and a solution with pH >7 is basic. For example, the pH of lemon juice is 1 2 , while the pH of lye is 1 14.

Acids may be inorganic, such as H,SO,, and are then known as mineral acids, or they may be organic, like acetic acid. Mineral acids may be weak or strong, but organic acids tend to be uniformly weak. Table 2 gives a list of commonly occurring acids along with their relative strengths. It should be noted that salts of several metals (e.g., A13+,

Fe3+, and Zn4+) dissolve in water to produce acid solutions. Acids include a variety of compounds, many of which have other significant properties that contribute to their "reactivity. " Typical reactions of aci ds are: neutralization of bases (strong and weak) and oxidation of substances. Characteristics of common acids are presented in Table 3. Neutralization and oxidation reactions are illustrated below:

Neutralization of Bases:

H+ + OH-+H,O

HCl + NaOH + H,O + NaCl

CaCO, + 2HC1 + CaCl, + H,O + CO, t

Oxidation of Substances:

Zn" + 2HC1 + Zn" + 2C1- + H, t

2NaI + 2H,S04 + I, + SO, + 2H,O + Na,S04

A base is any material that produces hydroxide ions when dissolved in water. The terms alkaline, basic, and caustic are often used synonymously. Common bases include sodium hydroxide (lye), potassium hydroxide (potash lye), and calcium hydroxide (slaked lime). The concepts of strong versus weak bases, and concentrated versus dilute bases are exactly analogous to those for acids. Strong bases such as sodium hydroxide dissociate completely while weak bases such as sodium hydroxide dissociate completely while weak bases such as the amines dissociate only partially. As with acids, bases can be either inorganic or organic. Typical reactions of bases include neutralization of acids, reaction with metals, and reaction with salts:


TABLE 2

RELATIVE STRENGTHS OF ACIDS IN WATER

Perchloric acid

Sulfuric acid

Hydrochloric acid

Nitric acid

Phosphoric acid

Hydrofluoric acid

Acetic acid

Carbonic acid

Hydrocyanic acid

Boric acid

HClO,

H W 4

HCl

HNO,

H3PO4

HF

CH,COOH

H W 3

HCN

H3BO3

~

t I n

r e a

i n g A

C

S

C

1

d

S t r e n g t h t

Reaction with metals:

2A1 + 6NaOH + 2Na3A10, + 3H2 t (reaction goes slowly)


Reaction with salts:

Pb(N03)2 + 2NaOH + Pb(OH), J. + 2NaN0,

Characteristics to remember about some common bases are given in Table 4.

TABLE 3

GENERAL PROPERTIES OF SOME COMMON ACIDS

Acids--Sulfuric, Nitric, Hvdrochloric, Acetic

a.

b.

C.

d.

e.

f.

g.

h.

These acids are highly soluble in water.

Concentrated solutions are highly corrosive and will attack materials and tissue.

If spilled on skin, flush with lots of water.

Sulfuric and nitric acids are strong oxidizers and should not be stored or mixed with any organic material.

Sulfuric, nitric, and hydrochloric acids will attack metals upon contact and generate hydrogen gas which is explosive.

Acetic acid (glacial) is extremely flammable. Its vapors form explosive mixtures in the air. It is dangerous when stored with any oxidizing material, such as nitric and sulfuric acids, peroxides, sodium hypochlorite, etc.

Breathing the concentrated vapors of any of these acids can be extremely harmful. Wear appropriate equipment.

When mixing with water, always add acids to water, never water to acids.


TABLE 4

GENERAL PROPERTIES OF SOME COMMON BASES

Bases (Caustics)--Sodium Hydroxide, Ammonium Hydroxide, Calcium Hydroxide (Slaked Lime), Calcium Oxide (Ouick Lime)

a.

b.

C.

d.

e.

f.

g.

These bases are highly soluble in water.

Concentrated solutions are highly corrosive. They are worse than most acids because they penetrate the skin (Saponification reactions).

If spilled on skin, flush immediately with lots of water.

When mixed with water, they generate a significant amount of heat-- especially sodium hydroxide and calcium oxide.

Unless unavoidable, do not store or mix concentrated acids and bases, as this gives off much heat--dilute, then mix.

Do not store or mix ammonium hydroxide with other strong bases. It can release ammonia gas which is extremely toxic.

Do not store or mix ammonium hydroxide with chlorine compounds (Le., sodium hypochlorite). It can release chlorine gas which is extremely toxic.

PROPERTIES OF ORGANIC CHEMICALS

Most compounds in which carbon is the key element are classified as organics. Common examples of organics include degreasing solvents, lubricants, and heating and motor fuels.

Several basic definitions that are important to characterizing these chemicals are given below:

Covalent--refers to a chemical bond in which there is an equal/even sharing of bonding electron pairs between atoms. This is typical of the


bonding between carbon atoms and between carbon and hydrogen atoms in organic compounds.

Hydrocarbons--chemical compounds consisting primarily of carbon and hydrogen.

Aliphatic--organic compound with the carbon backbone arranged in branched or straight chains (e.g., propane).

Aromatic--organic molecular structure having the benzene ring (C6H6) as the basic unit (e.g., toluene, xylene).

Saturated--the condition of an organic compound in which each constituent carbon is covalently linked to four different atoms. This is generally a stable configuration (e.g., CH,CH,CH,--propane).

Isomers--different structural arrangements with the same chemical formula, (e.g., n-butane and t-butane).

Unsaturated--an organic compound containing double or triple bonds between carbons (e.g., ethylene [CH, = CHJ). Multiple bonds tend to be sites of reactivity.

Functional Group-an atom or group of atoms, other than hydrogen, bonded to the chain or ring of carbon atoms (e.g., the -OH group of alcohols, the -COOH group of carboxylic acids, the -0- group of ethers). Functional groups determine the behavior of molecules. Consequently, the unique hazards of an organic compound are often determined by its functional group(s).

Most organic compounds are flammable. Also, organic chemicals generally melt and boil at lower temperatures than most inorganic substances. Because many organic compounds volatilize easily at room temperature and possess relatively low specific heats and ignition temperatures, they tend to burn easily. Moreover, organic vapors often have high heats of combustion which, upon ignition, facilitate the ignition of surrounding chemicals, thus compounding the severity of the hazard.


In general, organic compounds are less stable than inorganics. However, the presence of one or more halogen atoms (F, C1, Br, I) in the molecular structure of an organic compound increases its stability and inertness to combustion. As a result, partially halogenated hydrocarbons burn with less ease than their nonhalogenated analogs. Fully halogenated derivatives, such as carbon tetrachloride (CC1,) and certain polychlorinated biphenyls (PCBs) are almost noncombustible.

Organic compounds tend to be water-insoluble. Exceptions to this are the lower molecular weight alcohols, aldehydes, and ketones, which are "polar" molecules. This characteristic is of importance to firefighting because the specific gravity of the compound will then be a major determinant of the suitability of water for the suppression of fires involving the chemical.

Except for alkanes and organic acids, organic compounds tend to react easily with oxidizing agents such as hydrogen peroxide or potassium dichromate. Moreover, a mixture of an oxidizing agent and organic matter is usually susceptible to spontaneous ignition. Notably, except for flammability and oxidation, organic compounds tend to react slowly with other chemicals.

An important class of organic chemicals is the aliphatics. The basic nomenclature of aliphatic organics is given in Table 5. The prefix for the name is based on the number of carbons involved and remains the same for each type of compound described. The suffix is determined by the type of compound and is independent of the number of carbons in the molecule. For example, methane, methanol, methanol (formaldehyde), and methanoic (formic) acid represent an alkane, an alcohol, an aldehyde, and a carboxylic acid, respectively, each with one carbon per molecule. In contrast, methanol, ethanol, and propanol are all alcohols, but with one, two, and three carbons per molecule, respectively. The boiling points tabulated in Table 5 show a systematic trend in chemical properties. In general, within any group, the larger molecules are less volatile than the smaller ones. Also, alkanes tend to be more volatile than aldehydes. Systematic trends can also be observed for other properties, such as water solubility. It should be noted that the boiling points provided in Table 5 are for the straight-chain isomers of the molecules. If the values for branched chain molecules are included, the comparisons are not as straightforward.

Alkenes and alkynes are similar in structure to the alkanes except the alkenes contain a carbon-to-carbon double bond (C=C) and the alkynes

The Chem

istry of Hazardous M

aterials 159


contain a carbon-to-carbon triple bond (C E C). The name prefixes are exactly the same as for the alkanes with the same number of carbons, but the endings are -ene for compounds with double bonds and their derivatives and -yne for compounds with triple bonds and their derivatives. Ethene (ethylene) and propene (propylene) are alkenes. Ethyne (acetylene) is an alkyne.

Aromatics are compounds whose molecules are based on single or multiple benzene rings. Some of the more common aromatics include benzene, toluene, xylene, and phenol. As previously mentioned, benzene is a 6-carbon ring with the formula The ring has alternating double and single bonds, and is a stable structure. The substitution of a methyl group (-CH,) for one of the hydrogens gives methyl benzene or toluene. The substitution of another methyl group gives dimethyl benzene or xylene. Substitution of a hydroxyl (-OH) for a hydrogen on the benzene ring gives hydroxy benzene or phenol. Aromatics can also be named more specifically based on a system of assigning names or numbers to various positions on the benzene ring. By using the numbering system for the carbons on single or multiple benzene rings in combination with the names of the relevant substituents, any aromatic compound can be assigned a unique name.

The following is a summary of the properties of some important functional groups:

Alkanes (C,,Ha+J are saturated hydrocarbons. The lower molecular weight alkanes (ethane through butane) are gases at standard temperature and pressure. The remainder are water-insoluble liquids, that are lighter than water and thus form films or oil slicks on the surface of water. Hence, water cannot be used to suppress fires involving materials such as gasoline that include substantial proportions of liquid alkanes. Alkanes are relatively unreactive with most acids, bases, and mild oxidizing agents. However, with addition of sufficient heat, alkanes will react and burn in the air or oxygen when ignited. In fact, low molecular weight alkanes (LPG, butane, gasoline) are commonly used as fuels. Consequently, the major hazard associated with alkanes is flammability.

Organic Carboxylic Acids (RCOOH) are usually weak acids but can be very corrosive to skin and tissue. However, the substitution of C1 atoms


on the carbon next to the carboxylic carbon, produces a stronger acid. Thus, trichloracetic acid is almost a strong acid whereas acetic acid is a weak one.

Organic Sulfonic Acids (RS0,H) are generally stronger acids than organic carboxylic acids.

Organic Bases (such as amines, RNHJ are weak bases but can be corrosive to skin or other tissue.

Alcohols (ROH) are not very reactive. The lower molecular weight alcohols (methanol, ethanol, propanol) are completely miscible with water, but the heavier alcohols tend to be less soluble. Most common alcohols are flammable. Aromatic alcohols like phenol are not as flammable (flashpoint = 79°C) and are fairly water soluble (- 9 g/L).

Alkenes (CnH& also known as olefins, are compounds of unsaturated hydrocarbons with a single carbon-to-carbon double bond per molecule. The alkenes are very similar to the alkanes in boiling point, specific gravity, and other physical characteristics. Like alkanes, alkenes are at most only weakly polar. Alkenes are insoluble in water but quite soluble in nonpolar solvents like benzene. Because alkenes are mostly insoluble liquids that are lighter than water and flammable as well, water is not used to suppress fires involving these materials. Because of the double bond, alkenes are more reactive than alkanes.

0 I,

Esters (RCOR') are not very reactive. Only the lowest molecular weight esters have appreciable solubility in water (ethyl acetate, 8 percent). Methyl and ethyl esters are more volatile than the corresponding unesterified acids. Most common esters are flammable. Esters are often easily recognizable due to their sweet to pungent odors.

Ethers (R-0-R) are low on the scale of chemical reactivity. Aliphatic ethers are generally volatile, flammable liquids with low boiling points and low flashpoints. Well known hazardous ethers include diethyl ether, dimethyl ether, and tetrahydrofuran. Beyond their flammability, ethers


present an additional hazard because they react with atmospheric oxygen in the presence of light to form organic peroxides.

Organic Peroxides (R-0-0-R) are very hazardous. Most of the compounds are so sensitive to friction, heat, and shock that they cannot be handled without dilution. As a result, organic peroxides present a serious fire and explosion hazard, Commonly encountered organic peroxides include benzoyl peroxide, peracetic acid, and methyl ethyl ketone peroxide.

Aldehydes and Ketones (R-C-R and R-CH) share many chemical properties because they possess the carbonyl (C = 0) group as a common feature of their structure. Aldehydes and ketones have lower boiling points and higher vapor pressures than their alcohol counterparts. Aldehydes and ketones through C, are soluble in water and have pronounced odors. Ketones are relatively inert while aldehydes are easily oxidized to their counterpart organic acids.

0 0 11 11

FLAMMABLES AND THE CHEMISTRY OF FIRES

Flammability in the most general sense is defined simply as the tendency of a material to burn. However, this is an overstatement since there are many materials that we normally do not consider flammable yet they will burn, given high enough temperatures. Furthermore, flammability cannot be gauged by the heat content of materials. Fuel oil has a higher heat content than many materials considered more flammable because of their lower flashpoint. In fact, flashpoint has become the standard for gauging flammability.

The most common systems for designating flammability are the Department of Transportation (DOT) definitions, the National Fire Protection Association’s (NFPA) system, and the Environmental Protection Agency’s (EPA) Resource Conservation and Recovery Acts (RCRA) definition of ignitable wastes, all of which use flashpoint in their basis. The NFPA diamond, which comprises the backbone of the NFPA Hazard Signal System, uses a four-quadrant diamond to display the hazards of a material. The top quadrant (red quadrant) contains flammability information in the form of numbers ranging from zero to


four. Materials designated as zero will not burn. Materials designated as four rapidly or completely vaporize at atmospheric pressure and ambient temperature, and will burn readily (flashpoint < 73°F and boiling point < 100°F). The NFPA defines a flammable liquid as one having a flashpoint of 200°F or lower, and divides these liquids into five categories:

1. Class IA: liquids with flashpoints below 73°F and boiling points below 100°F. An example of a Class IA flammable liquid is n- pentane (NFPA Diamond: 4).

2. Class IB: liquids with flashpoints below 73°F and boiling points at or above 100°F. Examples of Class IB flammable liquids are benzene, gasoline, and acetone (NFPA Diamond: 3).

3. Class IC: liquids with flashpoints at or above 73°F and below 100°F. Examples of Class IC flammable liquids are turpentine and n-butyl acetate (NFPA Diamond: 3).

4. Class 11: liquids with flashpoints at or above 100°F but below 140°F. Examples of Class I1 flammable liquids are kerosene and camphor oil (NFPA Diamond: 2).

5. Class 111: liquids with flashpoints at or above 140°F but below 200°F. Examples of Class I11 liquids are creosote oils, phenol, and naphthalene. Liquids in this category are generally termed combustible rather than flammable (NFPA Diamond: 2).

The DOT system designates those materials with a flashpoint of 100°F or less as flammable, those between 100°F and 200°F as combustible and those with a flashpoint of greater than 200°F as nonflammable. The EPA designates those wastes with a flashpoint of less than 140°F as ignitable hazardous wastes. To facilitate the comparison of these systems they are presented graphically in Figure 1. These designations serve as useful guides in storage, transport, and spill response. However, they do have limitations. Since these designations are somewhat arbitrary, it is useful to understand the basic concepts of flammability.

The elements required for combustion are a substrate, oxygen, and a source of ignition. The substrate, or flammable material, occurs in

164 Environm

ental and Health

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many classes of compounds but most often is organic. Generally, compounds within a given class exhibit increasing heat contents with increasing molecular weights (MW). Examples are given in Table 6.

Other properties specific to the substrate that are important in determining flammable hazards are the auto-ignition temperature, boiling point, vapor pressure, and vapor density. Auto-ignition temperature (the temperature at which a material will spontaneously ignite) is more important in preventing fire from spreading (e.g., knowing what fire protection is needed to keep temperatures below the ignition point) but can also be important in spill or material handling situations. For example, gasoline has been known to spontaneously ignite when spilled onto an overheated engine or manifold. The boiling point and vapor pressure of a material are important not only because vapors are more easily ignited than liquids, but also because vapors are more readily transportable than liquids (they may disperse, or when heavier than air, flow to a source of ignition). Vapors with densities greater than unity do not tend to disperse but rather settle into sumps, basements, depressions in the ground, or other low areas, thus representing active explosion hazards.

Oxygen, the second requirement for combustion, is generally not limiting. Oxygen in the air is sufficient to support combustion of most materials within certain limits. These limitations are compound specific

TABLE 6

SHOWS RELATIONSHIP BETWEEN HEAT CONTENT AND MOLECULAR WEIGHT

Heat Content Compound MW k. CalorieslgmMW

Methane 16 210.8 Ethane 30 368.4 Propane 44 526.3

Methanol 32 170.9 Ethanol 46 327.6

II Propanol 60 480.7


and are called the explosive limits in air. The upper and lower explosive limits (UEL and LEL) of several common materials are given in Table 7. For hydrocarbon fires, the theoretical lower limit of oxygen is around 10 percent.

The source of ignition may be physical (such as a spark, electrical arc, small flame, cigarette, welding operation, or hot piece of equipment), or it may be chemical, such as an exothermic reaction. In any case, when working with or storing flammables, controlling the source of ignition is often the easiest and safest way to avoid fires or explosions.

Once a fire has started, control of the fire can be accomplished in several ways: through water systems (by reducing the temperature), carbon dioxide or foam systems (by limiting oxygen), or through removal of the substrate (by shutting off valves or other controls).

Petroleum liquids are noteworthy of discussion in this section as they fall into two general categories, namely flammable liquids and combustible liquids. The definition for flammable liquids published by the NFPA includes the stipulation that the vapor cannot exceed 40 psi (pounds per square inch) at a liquid temperature of 100°F. Included in the flammable category are all petroleum liquids that, whenever the temperature of the liquid is as little as 1 degree less than IOO'F, would be releasing vapor at a rate sufficient to be ignitable. This characteristic is quite significant when one recognizes that some of the frequently encountered petroleum liquids included in the flammable category release flammable vapors at the atmospheric temperatures normally present in parts of the country during most of the year. Some liquids, like gasoline, are capable of vaporizing at such low temperatures (-40°F flash point) that it is reasonable to expect them to be doing so whenever a liquid surface is exposed irrespective of the season or locale. Some examples of flammable liquids and their flash points are as follows:

Gasoline -40°F Flash Point Ethers (Petroleum) 30" Acetone -4" Methanol 52" Crude Oil 20" - 90" Naptha 25" - 90"

167 The Chemistry of Hazardous Materials

TABLE 7

EXPLOSIVE LIMITS OF HAZARDOUS MATERIALS

Compound

Acetone

Acetylene

Ammonia, anhydrous

Benzene

Carbon monoxide

Gasoline

Hexane

Toluene

Vinyl chloride

pxylene

LEL t

2.15

2.50

16

1.30

12.4

1.4

1.1

1.2

3.6

1 .o

- UEL 56

13

100

25

7.1

74

7.6

7.5

7.1

33

6.0

Flashpoint "F

-4

Gas

Gas

12

Gas

-45

-7

40

Gas

90

Vapor Density

2.0 0.9

0.6

7.8

1 .o 3-4

3.0

3.1

2.2

3.7

The combustible category are those petroleum liquids having flash points above 100°F. Examples are:

Kerosene 100+"F Flash Point

Diesel Oil 130" Lubricating Oil 300" Asphalt 400" Motor Oils 450"

Fuel Oils 100" - 140"

Although in a general sense we consider combustible liquids to be less hazardous than flammable liquids because of their higher flash points, one should always bear in mind that there are circumstances when this is not a valid assumption. An example is that it is possible for some combustible liquids to be at their flash point when a hot summer sun has been striking the metal container for some length of time. Another example is that during the transportation of some combustible products, the liquid is either preheated or a heat source is maintained to make the


product more fluid than it would be at atmospheric temperatures. This is often done to facilitate transportation of certain products by barge or tank truck. It is a technique that assists with the movement of a material that is very viscous, such as asphalt or tar. Also, some products classed as combustible solids must be heated to their melting point in order to use them. An example of this treatment is naphthalene. Any combustible liquid at or above its flash point will behave in the same manner that a flammable liquid would in a similar emergency. No. 2 fuel oil, as an example, when heated to a temperature of 150°F poses the same level of danger as gasoline does at 50°F.

Crude oil poses a series of problems that are distinct from refined products during a fire situation. These problems largely arise from the fact that burning crude oil is capable of developing a heat wave. Crude oil is comprised of many different fractions. Just as a refinery processes, distills, or heat up crude oil to separate it into its refined fractions (e.g., gasoline, asphalt), so does fire. As crude oil burns, it releases the fractions that have lower flash points first, thus burning these off. Heavier fractions will sink down into the heated mass of oil. The movement of light fractions up to the fire zone and heavier, heated fractions down into the crude results in a heat wave. A more accurate description of this heat-wave phenomenon is that the heated materials become a layer that gradually grows thicker with time. When liquids like crude oil burn, the formation of a heat wave, which is comprised of the higher boiling components plus whatever impurities may be present in the product (including water), begins instantaneously. Radiant heat from the flames heats the exposed liquid surface, and the light products boil-off, creating the vapor that is burning. The remaining hot, heavier fractions transfer their heat down into the liquid. During this process, this heat wave, or layer of heated crude oil components, may reach temperatures as high as 600°F and spread downward at rates of 12 to 18 inches per hour faster than the burn-off rate of the crude oil. This means that with a crude oil burn-off of 1 foot per hour, at the end of two hours, the heat wave could be between 2 to 3 feet thick. With the creation of the heat wave, the chances of extinguishing a crude-oil tank fire diminish. Any water or foam that is applied to extinguish the fire will likely result in "slopover" of burning oil.


Crude oil, like many other flammable liquids, can contain undesirable by-products. In the case of crude oil, highly toxic hydrogen sulfide gas (H,S) can be a by-product of combustion.

When water is entrained and/or there is an emulsion layer in the flammable liquid, boilover can occur during a fire. During combustion, when a heat wave is formed and comes in contact with any water, a steam explosion will occur, thus agitating the hot fluid above it with great force. Steam explosions can be explained by the reaction of water to high temperatures. Water boils at 212"F, thus creating steam. The steam that is generated expands to approximately 1700 times in volume over the volume of the water in its liquid state. When a heat wave well above 212°F contacts any water entrained in the oil, there is an instantaneous generation of steam whose volume expansion results in hot fluid (oil) being flung upward with great violence. This violent eruption is referred to as a boilover.

In emergency situations involving flammables, we may expect the following:

When flammable liquids are released from a container, they almost always result in a fire response. Flammable liquids that are afire are virtually impossible to extinguish by cooling with water. If the liquid is contained, the confined space will be comprised of a vapor rich mixture. After extinguishment, there is a strong possibility for a reflash due to the continued production of vapors.

WATER REACTIVE CHEMICALS

Characteristics of a chemical that characterize it as being reactive include (1) it reacts violently with water, (2) it forms potentially explosive mixtures with water, or (3) when mixed with water, it generates toxic gases, vapors or fumes in a quantity sufficient to present a danger to human health or the environment. Because water is the most commonly used fire suppressant, the characteristic of reactivity is especially relevant since the application of water to eliminate or prevent the spread of fires may be counter-productive rather than helpful.


We shall first highlight those materials which generate hydrogen gas, which in itself is extremely flammable.

Metals--Several metals react with water and air with the extent of reactivity being dependent upon the physical state of the metal. The highly reactive metals such as lithium, sodium, and potassium are pyrophoric (i.e., they ignite spontaneously in air without an ignition source). In contrast, the less reactive metals such as magnesium, zirconium, titanium, aluminum, and zinc, are highly pyrophoric only as dusts.

Lithium, sodium, and potassium (alkali metals) react rapidly with water to release hydrogen (H,) gas:

2Na + 2H,O + 2Na' + 20H- + H, t

During these reactions there is sufficient heat generated to ignite the hydrogen gas so that it can react explosively with the oxygen in the air.

Metals like magnesium, aluminum, titanium, and zirconium in pure form also react with water to release H,, but heat must be supplied to initiate the reaction. The generalized equation describing the reaction is as follows:

metal + water + heat + metal oxide or hydroxide + H, t

Hydrides--True hydrides (i.e., those in which the hydrogen is in its anionic or most reduced form) are salt-like compounds in which the hydrogen is combined with alkali metals, either alone as simple hydrides or in association with other elements as complex hydrides. Hydrides react with water to release hydrogen.

An example of a simple hydride is:

LiH + H,O + H, t + LiOH

An example of a complex hydride is:

LiAlH, + 4H20 +. AI(OH), + LiOH + 4H, t

Peroxides--These are compounds containing the 0'- ion and. are hazardous primarily as oxidizing agents and also as water reactives. An


example is the liberation of oxygen from the mixture of sodium peroxide and water:

2Na,O2 + 2H20 + 4NaOH + 0, t

Substances That Produce Alkaline Aqueous Solutions:

Examples in this group are nitrides, carbides, and phosphides. Nitrides will react with water to generate ammonia (NH,), which can be released depending on how alkaline the solution becomes. It is unlikely that sufficient NH, will be produced under normal circumstances to create a hazard.

N3- + 3H,O + NH, t + 30H-

Mg,N, + 6H20 + 3Mg(OH), + 2NH, t

Carbides, which are binary compounds containing anionic carbon, occur as covalent and as salt-like compounds. The salt-like carbides are water-reactive and, upon hydrolysis, yield flammable hydrocarbons. Typical hydrolysis reactions include:

CaC, + 2H,O + Ca(OH), + C,H, t (acetylene)

A14C, + 12H,O + 4Al(OH), + 3CH4 t (methane)

Other similar carbides are Be,C and Mg,C,. Each reaction is sufficientlv exothermic to ignite the suecific gas formed uuon hydrolysis.

Phosphides are binary compounds containing anionic phosphorus (P3-). Heavy metal, alkali, and alkaline earth metal phosphides exist but few of them are commercially important. Phosphides hydrolyze to the flammable and toxic gas phosphine (PH,). The hydrolysis reaction of aluminum phosphide is given below:

AlP + 3H20 + PH, t + Al(OH),

Substances That Produce Acidic Aqueous Solutions:

Inorganic Chlorides/Halides--These metallic salts are formed from the reaction of a weak base with the strong acid HC1. Salts such as these


dissolve in water to produce a markedly acidic solution. This is exemplified by aluminum chloride, which is corrosive due to the acidity resulting from the hydrolysis that produces aluminum and chlorine ions. Anhydrous AICl, hydrolyzes violently when contacted by water.

Several nonmetallic chlorides also react with water with varying degrees of violence to produce hydrochloric acid. Although these comuounds are themselves nonflammable, the heat generated bv hvdrolvsis is sufficient to ignite adiacent flammable materials. These nonmetallic chlorides include antimony pentachloride (SbCl,), boron trichloride (BCl,), phosphorus oxychloride (POCl,), phosphorus pentachloride (PCl,), phosphorus trichloride (PCl,), silicon tetrachloride (SiC14), thionyl chloride (SOCI,), sulfuryl chloride (SO,Cl,) and titanium tetrachloride (TiC14). Because of their acid-producing tendencies, many of these chlorides are considered to be corrosive.

Organic ChloridedHalides--Several organic compounds also are hydrolyzed (or react with water) to produce corrosive materials. Notable inclusions among these compounds are acetic anhydride ([CH,COJ,O), and acetyl chloride (CH,COCl), both of which produce acetic acid upon reaction with water. Both acetic anhydride and acetyl chloride are corrosive; in addition, mixtures of the vapors of acetic anhydride and acetic acid are flammable in air, and acetyl chloride itself is flammable.

OXIDATION/REDUCTION REACTIONS

The explosive potential of oxidationheduction reactions has resulted time and time again in chemical disasters. Perhaps the largest of these was the explosion of the S . S . Grandcamp at Texas City, Texas, in 1947, where thermal decomposition (redox reactions of ammonium nitrate and subsequent oxidation reactions of the decomposition products) lead to the deaths of over 600 people and over $33 million (1947 dollars) damage. The addition or loss of electrons involves an accompanying transfer of energy, often a violently exothermic transfer. The substance that gives up electrons (and is therefore oxidized) is the reducing agent. The substance that gains electrons (and is therefore reduced) is the oxidizing agent.

Oxidizing agents are generally recognizable by their structures or names. They tend to have oxygen in their structures and often release


oxygen as a result of thermal decomposition. Oxidizing agents often have "per-" prefixes (perchlorate, peroxides, permanganate) and often end in "-ate" (chromate, nitrate, chlorate).

Strong oxidizers have more potential incompatibilities than perhaps any other chemical group (with the exception of water reactive substances). It is safe to assume that they should not be stored or mixed with any other material except under carefully controlled conditions. Common oxidizing agents listed in decreasing order of oxidizing strength include:

Fluorine Ozone Hydrogen peroxide Hypochlorous acid Metal chlorates Lead dioxide Metallic permanganates Metallic dichromates Nitric acid (concentrated)

Chlorine Sulfuric acid (concentrated) Oxygen Metallic iodates Bromine Ferric salts Iodine Sulfur Stannic salts

Reducing agents present similar problems. They react with a broad spectrum of chemical classes, and the reactions can be exothermic and violent. Reducing agents are, by definition, highly oxidizable and may react with air or moisture in tBe air. Common reducing agents include:

Hydrogen Sulfides Metals (Li, Na, K, Ca, Sr, Ba) Sulfites Hydrazine Iodides Metal acetylides Nitrides Complex hydrides Nitrites Metal hydrides Phosphites Metal hypophosphites Metallic azides

POISONS

Poisons or toxic substances cross the broad spectrum of chemical classes. Presented are general characteristics of a few important classes of toxics.


Toxic Metals--The most common toxic metals in industrial use are cadmium, chromium, lead, silver, and mercury; less commonly used are arsenic, selenium, (both metalloids), and barium. Cadmium, a metal commonly used in alloys and myriads of other industrial uses, is fairly mobile in the environment and is responsible for many maladies including renal failure and a degenerative bone disease called "itai itai" disease. Chromium, most often found in plating wastes, is also environmentally mobile and is most toxic in the C P 6 valence state. Lead has been historically used as a component of an antiknock compound in gasoline and, along with chromium (as lead chromate), in paint and pigments. Lead, because of its history as an air emission, has been fairly mobile and is particularly soluble in acid environments, Silver is used widely in the electronics industry. Intake of silver compounds can result in permanent discoloration of the skin and may result in damage to kidneys, lungs, mucous membranes, and other organs.

Mercury is employed as a fungicide and as an electrode in the chlorine production process. Elemental mercury is relatively immobile, but is readily transformed to more mobile organometallic compounds through bacterial action. Mercury is the responsible agent for the infamous Minimata syndrome, which is characterized by degeneration of the central nervous system.

Arsenic and selenium are both commonly used to decolorize glass or to impart a desirable color. Arsenic occurs in a number of important forms, many of which have been used as contact herbicides. Important forms of arsenic include arsenic trioxide and pentoxide, and arsenic acids, arsenites and arsenates, and various organic arsenic compounds. Selenium often occurs as selenous acid. Both arsenic and selenium are fairly mobile and toxic.

In general, toxic metals can be readily removed from aqueous solution through precipitation reactions, either as the sulfide or (more commonly) as the hydroxide. Various processes are available to stabilize metals in contaminated soil, but all the processes are expensive.

Cyanides are dangerously toxic materials that can cause instantaneous death. They occur in a number of industrial situations but are commonly associated with plating operations, and sludges and baths from such sources. Cyanide is extremely soluble and many cyanide compounds, when mixed with acid, release deadly hydrogen cyanide gas. Cyanide


is sometimes formed during the combustion of various nitrile, cyanohydrin, and methacrylate compounds. Cyanides (CN-) are commonly treated by chlorine oxidation to the less toxic cyanate (CNO-) form, then acid hydrolyzed to CO, and N,. Obviously, care should be taken that the cyanide oxidation is complete prior to acid hydrolysis of the cyanate.

Hydrogen Sulfide is a commonly occurring decomposition product of organic matter. It is relatively water soluble at higher pHs where it is predominantly dissociated as H+ and S' ions. As the pH is decreased below 7, undissociated gas H,S begin to predominate and is released. Since its vapor density is > 1.0, H,S is readily oxidizable by a number of means to less toxic SO,' or SO4- forms.

Pesticides and Bioaccumulators--Pesticides include the broad categories of insecticides, fungicides, rodenticides, and herbicides. Insecticides, in common use, fall into three categories. The chloroinsecticides have chlorine in their structure. They are less soluble than the other insecticide forms and much less biodegradable (Le., more persistent). While they are less acutely toxic, several have been identified as potential carcinogens. Carbamates are a relatively new form of pesticide. They are less persistent and less toxic than chloroinsecticides, but some are also suspected carcinogens. Organophosphate insecticides are generally more acutely toxic than the other categories but they are not persistent.

Many formerly common herbicides now have been banned or restricted in their use, e.g., 2,4-D and 2,4,5-T. However, the number and diversity of herbicides far exceeds that of insecticides. There are both organic and inorganic herbicides. Examples of inorganic herbicides are CuSO, and NaC10,. There are at least 22 chemical families of organic herbicides. Even a cursory treatment of the chemistry of these materials would be extensive. Herbicides of limited toxicity (Treflan, Atrazine) as well as extremely toxic ones (Paraquat, Dinoseb) are in use. They range from water soluble to insoluble. The detailed chemistry of each should be determined prior to handling.

CHEMICAL COMPATIBILITY

Chemical incompatibility is often associated with fires, explosions, extreme heat, evolution of gas (both toxic and nontoxic), and


polymerization. Because of the number of chemicals and subsequent multiple number of potential reactions, it is impractical (and perhaps impossible) to list all potential reactions. Several systems exist for determining the reactions between classes of chemicals. The most broadly distributed of these are The Handbook of Reactive Chemical Hazards, edited by L. Bretherick and A Method for Determining the Comuatibilitv of Hazardous Wastes EPA-60012-80-076, by H. K. Hatayaya, et al. The volume by Bretherick is divided into two sections. The first lists general classes of compounds and gives reactivity information regarding interactions of these classes with other classes and with specific chemicals. The second section lists specific compounds and references specific adverse reactions as they have been observed or reported in the chemical literature. The work by Hatayaya provides a matrix format compatibility chart listing 40 classes of chemicals. While both of these volumes are extremely helpful, they are not definitive works on material compatibility.

Because all of the potential reactions for individual chemicals are not cataloged and because there are no (or very few) pure solutions of waste materials, laboratory compatibility testing is recommended for most materials. An appropriate protocol for compatibility testing involves the following steps:

1 . Obtain all available information about the material. If it is a surplus or off-specification product, obtain an analysis or a Material Safety Data Sheet. If it is a waste, check for previous analyses, and if none exists, obtain one. (Even if a previous analysis exists for this stream, consider running a few screening- type field analyses for confirmation of important properties such as pH, redox potential or other oxidizer test, cyanide, sulfide, and flash point.

2 . Once the identity of the material is known, one of the cited references can be consulted to determine potential reactions. At this point, incompatibility may be obvious. If not, then laboratory testing for compatibility is required.

Compatibility testing is almost by nature an experiment with the unknown. As such, safety must be the watchword. Procedures for compatibility testing should take into account the most severe adverse


reaction possible, not just what is expected. Such testing should always be performed under a vent hood while wearing, as a minimum, face shield, rubber apron, and gloves. Generally, compatibility testing entails mixing a small volume of one substance with another and observing for heat, gas generation, or polymerization. Polymerization need not be violent to cause problems. Anyone who has ever had to chisel out or replace a tank of solidified material can attest to this. Often it is advisable to heat the mixture to expected storage or process temperature and then observe for further heat, gas, or polymerization.

Observation of a reaction does not necessarily preclude mixing. Moderate heat or gas generation may not present a problem. However, a number of safety precautions should be taken before mixing the material if any heat or gas generation occurs. If heat is generated, the amount should be determined and a heat balance calculated so that effects of heating on the storage tank and tank base can be calculated. Expansion of the material with heating should also be considered so as to avoid overfilling the receiving tank.

Generation of gas requires a gas analysis before mixing. If the gas is toxic or if discharge of the resultant gas violates an air quality constraint, the materials should not be mixed. If the gas is nontoxic, care should still be taken to assure that the gas generation rate does not exceed the design venting capacity of the tank. Remember that most tanks are designed to withstand a water gage internal pressure of only about eight inches. (A typical person can provide about 24 inches water gage by blowing). Secondly, even if the gas is nontoxic, it may still displace air and (for inside tanks especially) create an asphyxiation hazard.

CLOSURE

A subject addressed later in this book is that of toxicology. Toxicology is the science that studies the harmful effects chemicals can have on the body. All chemicals affect mankind to some degree, depending on the time of exposure, concentration, and human susceptibility. One chemical may only cause a slight rash or dizziness while another may result in cancer or death. It is the degree of exposure and toxicity that are of practical concern.


The routes by which chemicals enter the body are inhalation (breathing), ingestion (swallowing), and absorption (skin or living tissue contact). Once in the system these chemicals may produce such symptoms as tissue irritation, rash, dizziness, anxiety, narcosis, headaches, pain, fever, tremors, shortness of breath, birth defects, paralysis, cancer, and death, to mention a few. The amount of chemical that enters the body is called the "dose." The relationship that defines the body response to the dose given is called the "dose-response curve." The lowest dose causing a detectable response is the "threshold limit. 'I The "limit" is dependent on factors such as particle size of contaminant, solubility, breathing rate, residence time in the system, and human susceptibility.

To accomplish meaningful studies, measurements of various parameters are essential. Dose is one of them, and in inhalation studies dose is proportional to the air concentration of the contaminant multiplied by the length of time it is breathed. The units of concentration are ppm (a volume/volume description of concentration--parts of air contaminant per one million parts of the air mixture) for gases and vapors, and mg/M3 (a weight/volume description--milligrams of air contaminant per cubic meter of air mixture). Other concentration units exist, such as fibers per cubic centimeter (f/cc) for asbestos, and "rems" for radiation. Dose for oral or skin applications is measured by weight or volume in assigned units such as grams or cubic centimeters.

Toxicity data are presented in the literature by such terms as "LDSO" and "LC,,", that lethal dose per kilogram of body weight or lethal concentration that can kill 50 percent of an animal population. Such data are found, for example, in the Registry of Toxic Effects of Chemical Substances (RTECS). With data such as these obtained from animals closely resembling the human in biochemistry, relative toxicities can be established to characterize chemicals. These data in conjunction with air contaminant threshold limit values (TLV) or permissible exposure limits (PEL), set by law for short periods of exposure or eight-hour, time- weighted average exposure, have produced safe working exposure limits for the worker. Many of these values are contained in the OSHA Standards and the American Conference of Governmental Industrial Hygienist's (ACGIH) Threshold Limit Values and Biological Exuosure Indices.

Human response to chemicals may be described by two types of biological effects--acute and chronic. An acute effect generally results


after a single significant exposure, with severe symptoms developing rapidly and coming quickly to a crisis. An example of an acute effect is a few minutes exposure to carbon monoxide of various concentrations that cause headache, dizziness, or death. The chronic effect results from a repeated dose or exposure to a substance over a relatively prolonged period of time. Examples of chronic effects are possible reduction in life span, increased susceptibility to other diseases, and cancer as a result of smoking. Some materials, such as lead, can bioaccumulate (be stored in the body) and cause continuing effects, or reach a threshold value where an effect on the body occurs after a prolonged period of time, or "latency" period. An example of such a chemical is asbestos, which may produce asbestosis, in some cases nearly twenty years after the initial exposure.

An effect which exists but has not been widely studied because of its immensity and related problems is "synergism. Synergism occurs when the effect of two chemicals is greater than or less than either chemical alone. Inhalation of isopropyl alcohol and carbon tetrachloride can be well below safe concentration limits separately, but together, produce severe effects including renal failure. Toxicology and epidemiology, the branches of science that study diseases in a general population, are closely related. Most of the present occupational concentration limits for hazardous material have resulted from illnesses and deaths of workers, and from the applications of both disciplines.

Some materials cause genetic changes that can cause cancer (carcinogen), mutation (mutagens), and birth defects (teratogens). These effects are often hard to document due to latency periods and synergisms.

The Hazard Communication Standard, 29 CFR 1910.1200, has categorized certain target organ effects, including examples of the signs and symptoms of chemicals which have been found to cause such effects. These examples are presented to illustrate the range and diversity of effects and hazards found in the workplace, and the broad scope employers must consider in this area, but they are not intended to be all- inclusive.

Hepatotoxins . . . . . . . . , . Chemicals which produce liver

Signs and Symptoms . . . . . Chemicals . . . . . . . . . . . .

damage Jaundice; liver enlargement Carbon tetrachloride; nitrosamines


Nephrotoxins . . . . . . . . . .


Neurotoxins . . . . . . . . . . .

Signs and Symptoms . . . . .

Chemicals . . . . . . . . . .

Hematopoietic Agents . . . Signs and Symptoms . . . .

Chemicals . . . . . . . . . . . .

Pulmonary Agents . . . . . .


Chemicals . . . . . . . . . . . .

ReproductiveToxins . . . . .


Cutaneous Hazards . . . . . .


Chemicals . . . . . . . . . . . .

Chemicals which produce kidney damage Edema; proteinuria Halogenated hydrocarbons; uranium

Chemicals which effect the central nervous system Narcosis: behavioral changes; decrease in motor functions Mercury; carbon disulfide

Chemicals that attack blood cells Decreases hemoglobin function; deprive body tissues of oxygen; Cyanosis; loss of consciousness Carbon monoxide; cyanides

Chemicals which irritate or damage the pulmonary tissue Cough; tightness in chest; shortness of breath Silica; asbestos

Chemicals which affect the reproductive capabilities including chromosomal damage (mutations) and effects on fetuses (terato- genesis) Birth defects; sterility Lead; KEPONE

Chemicals which affect the dermal layer of the body Defatting of the skin; rashes; irritation Ketones; chlorinated compounds


Eye Hazards . . . . . . . . . .


Chemicals which effect the eye or visual capacity Conjunctivitis; corneal damage Organic solvents; acids

4 SAFETY MANAGEMENT PRACTICES FOR LABORATORIES

INTRODUCTION

OSHA Standards specifically address laboratory safety management practices. It is the responsibility of the Occupational Safety Professional to devise and implement best management practices (BMPs) to ensure environmentally sound and safe operation of a facility’s laboratories. Laboratories, due to their unique and often specialized functions, often pose special challenges in complying with mandated environmental and safety regulations. Likewise, general facility safety precautions and environmental programs may not necessarily or even directly apply to each and every laboratory setting.

Due to the various sizes and functions of laboratories within many organizations, this chapter has been designed to offer generic guidelines applicable to research and quality control/assurance laboratories. The reader may view this chapter as a template for the design of site specific programs. Recommended program components are presented throughout the chapter. The reader is encouraged to apply materials presented herein as necessary to achieve the desired BMPs for laboratories at their facilities.

The highlights of this chapter address the following subject matter:

0 Brief review of the properties of various hazardous materials. 0 Best Management Practices for purchasing and receiving

hazardous materials. 0 Various safe methods for storage of hazardous materials. 0 BMPs in handling hazardous materials from the point of receipt

through its use. 0 The categories of waste generated in laboratories.

183


BMPs for wastes generated in the laboratories and how they should be managed while on-site. Methods for identifying and labeling hazardous wastes generated in the laboratories. How wastes should be stored to comply with RCRA regulations and to prevent accidental releases. How lab packs should be prepared.

0 Medical (biological) waste management programs.

REVIEW OF HAZARDOUS MATERIALS PROPERTIES

Hazardous materials are common in laboratory settings. They are not limited to any one physical state, but may be found as solids, liquids, or gases. It is important to recognize what constitutes a hazardous material in order to safely and effectively handle, use, and if necessary, properly clean-up and dispose of the resultant waste materials.

As described in Chapter 2, a material may be considered hazardous if it can cause damage to human health, property, or the environment if not properly handled. Materials may be hazardous, either singularly or in combination, if they are toxic, flammable, corrosive, or reactive. In addition, a material is hazardous if exposure to it causes infection (biohazard) or exposure to abnormal levels of radioactivity (alpha, beta, gamma radiation, x-rays, etc.). Certain materials in uncontrolled environments can undergo reactions and result in hazardous conditions. Examples of these materials include those subject to crystallization or spontaneous ignition, and those that are temperature or pressure sensitive. Persons handling this type of material should be cognizant of its properties and exercise extreme caution.

The term toxicity is the ability of a substance to cause illness or death to humans, plants or animals. Toxic effects may be long term (chronic) or short term (acute). The chemical can enter the body by being inhaled, ingested, or absorbed through the skin. Toxic materials include those that produce cancer (carcinogens), gene damage (mutagens), or birth defects (teratogens). Toxic chemical substances can cause severe damages, if improperly handled.

Flammability is the ability of a substance to burn. Materials can be divided into two classes:

Safety Management Practices for Laboratories 185

0 Flammable materials burn very easily and present high risks of fires and/or explosions if not properly handled.

0 Non-flammable materials do not burn easily and do not present unusually high risks of fire or explosion.

Highly flammable materials can also explode. Common examples of flammable materials include solvents and fuels.

Materials are flammable because their vapors, when combined with air, form a mixture that can ignite and burn. It is typically the vapor, not the liquid itself, that can burn. This is one reason why it is important to keep flammable liquid containers closed. The flammability of a material is measured by its flash point. The flash point is the temperature at which the vapors of the material ignite. The temperature of a material must be raised to the flash point before the material will burn. Materials with a low flash point are more flammable than materials with a high flash point. Flammable materials ignite more readily at higher temperatures. For this reason, it is important to prevent the use or storage of flammable materials at high temperatures.

The Occupational Safety and Health Administration (OSHA) and the National Fire Protection Association (NFPA) divide liquids into two broad classes, depending upon their flammability:

0 Flammable liquids--liquids with a flash point below 100°F (37.8"'). Examples are acrylonitrile and alcohol. Combustible liquids--liquids with a flash point at or above 100°F (37.8"C). Examples are petroleum distillate and naptha.

As described in Chapter 2, OSHA and NFPA divide flammable and combustible liquids into several subclasses according to the definitions contained in NFPA Standard No. 30, Flammable and Combustible Liquid Code. Refer to Table 1 for a review of these definitions.

The term corrosivity refers to the ability of a material to attack another material, such as metal, cloth, or skin. Acids and bases are examples of corrosive materials.

The term reactivity is the ability of a material to react and produce heat, vapors or explosions under certain conditions. Some materials react when exposed to heat, when detonated, or when mixed with certain other materials. Explosives are reactive materials.



Some materials are potentially dangerous when mixed with certain other materials. The two materials are then said to be incompatible. Mixing of incompatible materials can produce heat, fires, explosions, harmful vapors or highly toxic by-products. It is important to keep incompatible materials separate during both use and storage.

The OSHA Hazard Communication Standard, 29 CFR 1910.1200, requires that information regarding the hazards associated with specific materials be provided on:

0 The product’s Material Safety Data Sheet. 0 The container label.

Material Safety Data Sheets (MSDSs) are required for all chemicals and other materials. In addition, NFPA has developed a labeling system which provides hazard information.

The OSHA Hazard Communication Standard requires the labeling of any material which the manufacturer determines may be harmful.

The manufacturer is required to place a label on the container that:

0 Identifies the chemical, compound, or mixture. Provides an appropriate hazard warning.

0 Provides the name and address of the manufacturer, importer, or distributor or source of additional product information.

If a material is transferred from the original (manufacturer’s) container to another container, the new container must be labeled accordingly. In-house containers, including tanks and pipes, must contain labels that display:

0 The identity of the chemical, compound or mixture. 0 An appropriate hazard warning.

There are two exceptions to these labeling requirements:

0 Where it is inappropriate to label process tanks or containers, an alternate means such as batch tickets, process sheets, placards, operating instructions, etc. may be used.


Labels are not required on portable containers into which hazardous chemicals are transferred (from labeled containers), if the material is for the immediate use on that work shift by the employee who performs the transfer. However, labeling of portable containers is a recognized safe practice which minimizes potential misuse of the substance.

The NFPA System also identifies the hazardous properties of materials (NFPA 704, Recommended System for the Identification of the Fire Hazard of Materials). The purpose of the NFPA system is to provide information to individuals responding to fires. It provides a simple system of readily recognizable and easily understood markings which, at a glance, provide a general idea of the hazards of the material as they relate to fire prevention, exposure and control.

The system identifies 3 types of hazards:

Health 0 Flammability

Reactivity

Refer to Figure 1 . It ranks the order of severity in each of these categories by five divisions ranging from 4 to 0, where 4 indicates a severe hazard and 0 indicates no special hazard. Refer to Table 2 for a detailed summary.

NFPA information is presented in a standard format:

Type Information

Location Background Label Color

Health Left Blue Flammability TOP Red Reactivity Right Yellow Unusual reactivity with Bottom White

water, radioactivity, fire extinguishing media, or protective equipment

Various types of solvents (both flammable and non-flammable) are commonly used in laboratories. Some non-flammable solvents typically


used in a laboratory setting may pose toxicity and/or compatibility problems. They do not, however, present the fire and explosion risks associated with flammable materials.

The following are examples of non-flammable solvents commonly used in the laboratory:

0 Chloroflurocarbons Methylene chloride

0 Pentachloroethane 0 Perchloroethylene 0 Tetrachloromethane 0 1 , 1 , 1 , Trichloroethane 0 Trichloroethylene

The primary routes of exposure to solvents (both flammable and nonflammable) are inhalation and skin contact. Acute inhalation of a solvent may cause irritation of the nose, throat, eyes, and lungs. Drowsiness, dizziness, or headache may result if enough vapor is inhaled. Damage to the lungs, liver, blood, kidneys, central nervous system, and the digestive system may be caused by chronic inhalation of certain solvents. Skin contact with solvents can cause irritation or dermatitis, which is an inflammation of the skin. Some solvents such as benzene, methylene chloride, or xylene may be absorbed through the skin, and will affect the body as if they had been inhaled.

Flammability

Non-flammable solvents do not present the fire and explosion hazards associated with flammable solvents. Some solvents are non-flammable because the mixture contains a chemical that is halogenated. Halogenated means that the compound contains one of the elements that belong to the halogen family: fluorine, chlorine, bromine, iodine and astatine. The presence of a halogen reduces the flammability of a

Figure 1. Illustrates a label and classification

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material. If a solvent contains chlorine, e.g., trichloroethylene, it is referred to as a "chlorinated" solvent.

Reactivity

Non-flammable solvents are usually not reactive. Check the MSDS for information regarding precautions. Organic solvents should be separated from oxidizing materials. Halogenated solvents, such as carbon tetrachloride and trichloroethylene, are incompatible with alkali and alkaline earth metals such as sodium or potassium. These materials should be kept separated during use and storage.

Flammable Solvents

Flammable solvents may be hazardous because of toxicity, or flammability. The following are examples of flammable solvents used in laboratories:

Acetone Amyl acetate Amyl alcohol Butyl alcohol Carbon disulfide Cumene Cycloheptane Dimethyl sulfate Ethyl acetate Ethyl alcohol

Ethyl ether Formaldehyde Heptanes Methyl alcohol Mineral Spirits Nitrobenzene Pentanes Petroleum ether Toluene Xylene

The toxic effects of flammable solvents are similar to the effects caused by non-flammable solvents. The flammability of solvents varies widely. Highly flammable solvents present serious threats of fire and/or explosion. Most solvents do not exhibit corrosive properties. Flammable solvents can be explosive if heated or mixed with incompatible materials.

Flammable solvents, such as acetone, benzene, ethyl alcohol, and turpentine, are incompatible with oxidizers such as chromic acid, nitric acid, peroxides, and permanganates. Incompatible materials should be separated during both use and storage.


PURCHASING AND RECEIVING CHEMICALS

Purchasing practices at individual facilities may include direct purchase by laboratories or centralized purchasing by stockrooms or purchasing departments. Purchase of chemicals and hazardous materials by centralized groups requires a more rigorous system of controls and a greater supply of information to insure that required product packaging and safety information are obtained.

Typically, the quantities of most chemicals and hazardous materials used in the laboratory are small. Therefore, to ensure that materials are used promptly, purchased volumes should be relatively small. This helps to eliminate the possibility of opened

Purchase chemicals in small quantities to reduce:

0 The occurrence of contamination of open containers. The cost of disposal of unwanted chemicals. Exceedances of shelf lives of chemicals.

0 Abating the storage and safety concerns associated with large quantities.

1

containers becoming contaminated over time, and the possibility of materials becoming out-dated is reduced.

The purchase of small quantities of supplies, however, poses a problem because it requires frequent re-ordering and receipt of materials. To avoid the possibility of ordering excess quantities of a given material, or double orders of the same material, the following steps should be taken when purchasing a new chemical:

1 . The laboratory should set up a "Want Book" in a convenient workstation. The purpose of this book is to allow workers to list the chemicals they will need as the stock supply is depleted. Typically a chemical is requested in the "Want Book" when the supply is down to the last unit of the previous order (i.e., last one liter bottle of methanol in a case). This also allows inventories to be kept to a minimum as a safety precaution. In addition to the name of the material requested, the volume, grade and lot number should also be noted.


2. One person should be designated as the laboratory purchasing agent. This applies to procurement of chemicals by the laboratory or through centralized purchasing. This person will be the only person in the facility authorized to review the “Want Book” and purchase new chemicals and hazardous materials.

3. Requests for materials that are unusual or abnormally large quantities of chemicals should be double-checked with the person making the request in order to avoid possible purchasing errors.

Minimizing the quantity of laboratory chemicals purchased also helps reduce the cost associated with waste disposal, if the material must be discarded prior to being totally consumed.

The laboratory’s purchasing agent should incorporate procedures that enable the laboratory to obtain an MSDS for each chemical or hazardous material used in the facility. The purchasing agent should request an updated MSDS with each new purchase order. Most vendors typically and routinely include updated MSDSs of their products with each shipment.

MSDSs are required to accompany each hazardous material shipment. Receivers of hazardous materials should be instructed to keep the MSDS with the material until it is delivered to the laboratory. It should not be detached and sent to accounts payable with the material invoice.

When MSDSs are received, they should be retained in a location accessible to all workers. MSDSs are commonly kept in a three-ring binder, or if significant quantities of different chemicals are used in the laboratory, an open file. The MSDS notebook or file should be available to all workers at the facility. MSDSs should be dated when received and replaced with updates as the manufacturer supplies them. As a general rule MSDSs greater than three years old should be referenced to the manufacturer to insure that the document has not been updated.

The location’s purchasing system should incorporate procedures that enable the location to comply with Toxic Substances Control Act (TSCA) requirements. This federal regulation restricts the manufacturing, distribution and use of specific chemicals. Obtaining certification from the vendor that the material is acceptable for distribution under TSCA should be the responsibility of the location’s Chemical/Hazardous Material Buyer.


When the Chemical/Hazardous Material Buyer submits a purchase order for a chemical to a vendor, the purchase order should mandate that the vendor:

1. Certify that all chemical substances in this shipment comply with all applicable rules or orders under TSCA.

2. Advise the buyer prior to shipping which, if any, chemicals provided on this purchase order are imported. A TSCA Certification must be provided to the buyer for each imported chemical prior to shipment.

3. Include the most recent MSDS with the shipment of the material and forward any revisions to the attention of the procurement or responsible laboratory purchasing agent.

The above requirements may be added or attached to the general terms and conditions which accompany or are on the reverse side of the purchase order.

A program designed to safely handle hazardous materials must include procedures that check materials as they are received. This prevents the receipt of unapproved materials and enables the location to maintain accurate inventories of chemicals.

To control the receipt of hazardous materials, it is important to designate central receiving location(s) and establish standard handling procedures. Because receiving areas have a comparatively higher potential for hazardous material accidents, Le., containers may be leaking when they arrive or they may rupture during unloading, it is important to anticipate and plan for accidents. When designating or designing the receiving area, consider using "worst case accident scenarios" involving the most hazardous materials handled at the location.

At a minimum, the area should have an aladcommunication system, adequate fire fighting equipment, spill control supplies, eye wash/emergency shower stations, first aid supplies, and fire blankets. The area should be free of floor drains; a spill collection system is advisable.

Standard operating procedures for receiving hazardous materials are important to prevent releases and ensure the identification and proper


handling of received materials. In general, before accepting a shipment, it is important to review shipping papers to determine if the load contains any hazardous materials. If the load does contain hazardous materials:

Check the MSDS for specific handling precautions. 0 Obtain and use any protective equipment specified by the MSDS. 0 Check the outside of the trailer for any signs of leakage. 0 Check the inside of the trailer for spills before unloading. 0 Report any transportation spills to the area supervisor.

Check the condition of all containers before unloading or receiving.

Confirm the identity and quantity of each material before it is accepted. Ensure that the material is properly labeled. Accurate inventories are necessary to confirm billing, maintain operations, respond to emergencies, and comply with the Community Right-To-Know Law.

Only personnel trained in the proper handling of hazardous substances, emergency procedures, and the use of personal protective and safety equipment should be assigned to the unloading area. Additional precautions may be necessary when handling certain types of hazardous materials.

Samples delivered to the laboratory and intended for analysis should be accepted with the care as hazardous materials and virgin chemicals. The inherent unknown nature of the sample composition mandates even further safeguards than for known materials. The following guidance will assist in maintaining adequate sample control and laboratory safety.

Procedures specific to laboratory samples should be followed in the acceptance of samples. All samples should be accepted in a dedicated, established area segregated from active laboratory activities. The following recommendations will assist in maintaining adequate receiving area safety:

0 Mark each sample with a laboratory control number before the sample is issued to the laboratory. Inspect all packaging. Do not accept damaged or leaking containers. Log all samples delivered to the laboratory. Assign laboratory sample numbers and issue receipts of the delivery person.


Signature of chain-of-custody forms in the case of hazardous waste samples will serve as an adequate receipt. Do not permit samples to stockpile in the receiving area. Remove them to dedicated storage areas periodically. Be prepared for unstable, reactive and incompatible sample materials. Segregate and store them accordingly.

0 Accept only those laboratory samples which are clearly labeled. Labels should include the origin of the sample, contents, date of sample and person whom should be contacted for further information concerning the sample.

It is desirable, from a hazardous waste minimization standpoint, to reduce the amount of sample material accepted by and resulting from laboratory analysis procedures. Sample material should be accepted in the minimum quantity necessary to conduct the required analysis. Additionally, many laboratories require that unused sample materials be picked up and disposed of by the delivery entity. If sample material is returned to the originating entity, it is important when considering the facility’s environmental status, to insure that the sample is returned to the proper process or hazardous waste storage area.

Inventory and Control

After receipt of chemical or hazardous material shipments, the materials should be inventoried and stored in their proper locations. Interim storage in the receiving areas should be avoided unless the area has proper storage facilities and requisite safety and spill control equipment. The storage locations should be in a section of the laboratory separate from work areas, if possible. However, if the quantities of material are small or if the material is routinely used, and the containers are of relatively small volumes, they may be stored at the point of use in the laboratory.

If the laboratory facility is sufficiently large, one person should be designated for chemical and hazardous material inventory control (i.e., supplies coordinator). Duties of the coordinator should include receipt and acceptance of shipments, maintenance of material inventory logs, and distribution of materials to the laboratory working stock. The supplies coordinator should be responsible for proper inventory, container segregation, container labeling (primary and secondary), and the


assignment of inventory numbers. The supplies coordinator should also maintain an acceptable distribution system using an internal ordering system (batch ticket, job order) if necessary.

The supplies coordinator will also perform periodic inspection of the chemical inventory to ensure material container integrity has not been breached and material shelf life has not been exceeded. If spills and/or leaks of hazardous materials are noted, the coordinator will notify the proper spill response personnel. Chemicals that have exceeded their shelf life will be disposed of according to the applicable regulations utilizing proper disposal methods.

Often laboratory operations are not of sufficient size to warrant the placement of one individual in a full-time supplies coordinator position, or to have need for a large inventory storage area. Because good practice dictates purchases on an as needed basis, the quantities of most chemicals found within the facility will be small. These volumes may be kept in their original containers within designated storage areas in the laboratory work space.

Some materials such as heavily used flammable solvents will be ordered in relatively larger quantities. These materials can be stored in locked flammable materials cabinets in a secure, isolated area of the laboratory and accessed by laboratory personnel only on an as needed basis. As materials are withdrawn from the inventory they should be logged out in a notebook kept in the storage area. Information required during material log-out includes chemical name, volume removed, date, lot number and the person’s name. Inventory supplies will be replenished as needed based on entries to the laboratory “Want Book.”

Chemicals and other hazardous materials should be stored in the laboratory in quantities small enough for immediate or short-term use only. Large quantities of these materials should not be stored within the laboratory, but rather within a limited access inventory storage area.

When storing hazardous materials it is important to take necessary precautions to prevent the mixing of incompatible materials during both routine storage conditions and in the event of fire and/or spills. Mixing of incompatible materials can cause violent reactions which can produce heat, fires, explosions, fumes, or highly toxic by-products.

There is no clear consensus on the exact number of groups that should be included in a segregation plan. In addition, many chemicals have multiple hazards and may therefore belong to more than one compatibility grouping. It may be necessary to segregate these materials


further within the storage area. Table 3 gives examples of chemicals that belong simultaneously to at least two hazard groups.

A segregation system is best developed on an individual laboratory basis with a thorough knowledge of the materials at hand, the severity of associated hazards, the total quantities stored, and the size of individual containers. The system should also consider the size and location of the storage area(s) as well as the number of different chemicals and chemical quantities present in the laboratory.

General guidelines for segregation include separation of chemicals into several basic groups. These include:

Flammables' Concentrated Bases Toxics Water Reactives Oxidants Peroxidizables Reducers Pyrophorics Concentrated Acids Cylinder Gases

Chemicals may also be segregated based on flammability hazard and compatibility with water into the following six major groups:

0 Flammable compatible with water. 0 Flammables incompatible with water. 0 Non-flammables incompatible with water.

Materials that become unstable above ambient temperatures. 0 Pyrophoric materials. 0 Cylinder gases.

The segregation of water-reactive compounds is an especially important issue in the event of water-based fire-fighting operations. The presence of these materials could lead to severe complications. Water- reactive materials, such as metallic sodium, will tend to react catastrophically. Explosions, fire and/or the release of toxic gases may result from contact between water and a water-reactive substance.

Chemical compatibility charts often assist laboratory personnel in achieving safe storage of routinely utilized chemicals. Compatibility charts should be specific to each laboratory or chemical storage area. The chart should incorporate all chemicals or hazardous substances regularly used in facility operations, and should serve as a reference

Safety Managem

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Container Requirements

Preventing the release of hazardous materials during storage, transportation, and/or use requires that the material be contained in an appropriate container. All hazardous materials containers must:

1. Meet applicable container standards.

2. Be free from holes, significant rusting, weakened seams, cracks, or other signs of damage.

3. Be provided with securely fitting lids tops and/or bungs.

4. Be constructed of a material that is compatible with the container’s contents.

Although items 1, 2 and 3 seem obvious, it is essential that they are rigorously adhered to. Item 4 is much less readily apparent and container compatibility is not always obvious. The small quantities of materials normally stored in a laboratory may typically be contained within glass jars and bottles, or in the case of certain chemicals, polyethylene lined metal storage containers, or lined cardboard drums.

All incoming chemicals should be labeled, and these labels should not be defaced or removed. Secondary containers into which these materials are transferred should also ‘be labeled. If materials are purchased in small quantities, the manufacturer’s container is usually sufficient for storage. However, if the materials are purchased in bulk quantities it is usually necessary to transfer a portion to a smaller container for storage and use within the laboratory. Hence, in these cases it is very important to determine the proper container for use that is compatible with the material.

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Separation, Segregation and Isolation

Safe storage of chemicals and other hazardous materials begins with the separation, segregation or isolation of incompatible materials. The degree to which this process needs to be done depends upon the laboratory’s size, the quantities and types of materials used, the durability of the storage containers and the potential for spills or leakage.

Separation, segregation and isolation are defined by NFPA standards as the following:

Separation - Storage within the same fire area but separated by as much space as practicable or by intervening storage from incompatible materials.

Segregation - Storage in the same room but physically separated by space from incompatible materials. This usually requires some type of physical barrier such as sills, curbs or safety cabinets.

Isolation - Storage away from incompatible materials in separate rooms, vaults or buildings.

In general, for the quantities of materials normally used in a laboratory, separation and segregation methods are sufficient.

Safe Storage Methods

There are a wide variety of storage systems available for the safe storage of laboratory chemical and hazardous materials. Primary storage of these materials may be within containers of compatible glass, polyethylene, metal tins, or lined cardboard boxes. Secondary compatible unbreakable containers should be used for opened containers, if necessary, or for transporting small quantities of material within the laboratory.

Containers should be stored in a manner that will reduce or eliminate the possibility of unintentional mixing of incompatible materials. The simplest case of separation will involve grouping compatible materials together on shelving units and storing incompatible materials on separate shelves or separate units with as much space as possible between groups.


Further protection is afforded by storage of incompatible chemicals and hazardous materials in separate vented, locking safety storage cabinets, separate storage rooms or separate buildings.

There are various types of chemical storage systems. These include storage lockers, cabinets, vaults and pallets. Many models can be purchased with built-in ventilation, fire suppression systems and spill alarms.

The following recommended practices will also aid in ensuring safe storage of chemicals:

0 Fitting of storage shelves with shelf lips on all sides. 0 Use of caged shelving units. 0 Purchase and utilization of commercially available ventilation

systems which include ventilated storage cabinets. 0 Use of storage cabinets with self-closing doors.

Some chemicals and hazardous materials have special storage requirements beyond the general standards. Examples include gas cylinders, biological agents and radioactive materials. Combustible, flammable, and corrosive materials generally do not need special storage other than separation or segregation when stored in quantities typical of laboratories. Special storage considerations are given below.

Compressed Gases--Compressed gas cylinders pose unique hazards to the laboratory, both from the gas stored and the pressure under which it is contained. This mandates special storage considerations to abate the potential for accidental release of the cylinders contents. Sudden or uncontrolled releases of gases under pressure present the potential for catastrophic failure of the cylinder (Le., fragmentation) or propelling of the cylinder (Le., rocketing). Compressed gas cylinders should be stored in a location that is free from potential fire sources, freely vented and is close to the delivery area. As with other chemicals, cylinders should be grouped according to content compatibility. Cylinders should be labeled full or empty. All cylinders should be secured by restraining straps or chains and should have their original shipping cap firmly secured when not in use. Use of dual stage regulators is strongly advised.

Cylinder gases may also be stored in a dedicated room or area adjacent to the laboratory. These gases may then be manifolded and piped to respective points of use throughout the laboratory. This practice


results in increased safety, promotes efficient space utilization, and assists in shipping/delivery of cylinder gases.

Biological Agents--Biohazards are potentially infectious agents, and as such pose significant health hazards. By their nature they are usually required to be segregated from the workspace, often under refrigeration. Storage of these materials should be conducted in accordance with applicable EPA, state and local regulations. The state environmental regulators, health departments, and OSHA may assist in providing applicable storage guidance.

Radioactive Materials--These materials, like biohazards, are routinely segregated from the workspace due to their inherent danger to health. Storage areas require special monitoring to prevent accidental radiation leakage. Primary containers may be lead-lined. Additionally, special storage area monitoring, waste accountability, storage quantity limitations, and restriction on duration of storage may apply depending on the type of radioactive material stored. Whenever radioactive sources are utilized in the laboratory, inquiry on the licensing requirements, handling and storage requirements of the material and wastes is necessary.

After a hazardous material has been received, it should be immediately moved to a safe area, specifically designated for hazardous material storage.

The hazardous material storage area should be located so that materials can be stored safely and securely. Locate the storage area:

0 Away from populated work areas and high traffic areas. 0 Away from other activities, especially operations or conditions

that may produce heat (under operating or emergency conditions) or may cause the hazardous materials to react.

0 On the ground floor (street level), if possible.

The storage area should be located so that hazardous materials may be moved to or from the area without container damage. A minimum of three-foot aisle spacing is recommended. Routes to the area should be free of obstructions. Accessibility will also ensure that emergency response equipment can be easily and quickly brought to the location.


Security should be provided for storage areas. Access to the hazardous materials storage area by non-authorized personnel should be prevented. Preferably a single individual or job function should have responsibility for additions or withdrawals of material. Storage cabinets should have locks and keys which are controlled by supervisory personnel. Outside storage areas should be fenced and locked.

Housekeeping and Hazard Control

Good housekeeping is essential in all hazardous material storage areas. Recommendations to promote good housekeeping include:

0 Limit the quantities of hazardous materials in storage in minimum quantity.

0 Clean-up all spills promptly; spill response procedures should be established.

0 Keep containers dry at all times; placement of containers on pallets is recommended.

0 Prohibit eating, smoking, and drinking in the storage area; warning signs should be posted.

0 Remove combustible materials such as rags, paper boxes, cardboard, and weeds from within and around the area.

Whenever hazardous materials are stored, it is important to take adequate fire prevention measures in that area. Some hazardous materials are flammable and most produce harmful gases or toxic by- products when burned. Sources of ignition include open flames, lighting equipment, heating equipment, smoking, cutting, welding, hot surface friction, static electrical and mechanical sparks, materials capable of producing spontaneous ignition, heat-producing chemical reactions, and radiant heat.

Potential ignition sources may be eliminated by:

0 Prohibiting smoking in the area. 0 Restricting automotive traffic in the area.

Using only properly classed forklifts. 0 Prohibiting operations that produce open flames.

Keeping the area cool: maximum of 80°F. 0 Maintaining good housekeeping practices.


Do not store flammables in areas where they are subject to direct sun rays or extreme temperature variations. Storage rooms should be heated by methods that do not present a source of ignition. Use of steam or hot water systems are recommended.

Ventilation

Adequate area ventilation is important in areas where hazardous materials are stored. Without ventilation, vapors may accumulate above safe exposure levels. Ventilation is especially important in areas where flammable and combustible materials are stored.

Ventilation is very important when storing solvents. Vapors from flammable and combustible liquids are heavier than air and therefore accumulate at floor level or other low-lying areas. Always ensure that ventilation is initiated at or near floor level and that all possible dead air spaces are ventilated. The degree of ventilation required depends on the type (Class) and quantity of flammable or combustible liquids stored. NFPA 30- 1984 standards specify ventilation requirements for storage rooms located within a plant or attached to the plant building. Flammable liquids should not be stored or handled in a building that has a basement or pit into which flammable vapors may seep unless the area is provided with ventilation to prevent accumulation of vapors. The ventilation system should be separate from other air handling systems and the location of air intakes and exhausts should be carefully evaluated. More stringent ventilation requirements are generally applied to storage areas where materials are dispensed.

Hazard Warning Labels

Storage cabinets should be labeled according to their contents. In addition, storage cabinets should always be labeled with an appropriate hazard warning.

Flammable and combustible liquids storage cabinets should be labeled: FLAMMABLE--KEEP FIRE AWAY. Each container in the cabinet should be labeled.

Some hazardous materials have special symbols associated with them (i.e., radioactive, biohazard, etc.). These symbols must be displayed prominently in the storage area and on the storage containers.


SAFE HANDLING PRACTICES

General Safety Precautions

Before handling or transporting hazardous chemicals, it is important to be aware of the identity of the material and its hazardous characteristics. This information is available from the Material Safety Data Sheet for the product, ancillary information sources, or, in many cases, the product label. Special precautions such as use of personal protection equipment, special containers, ventilation, etc. may be recommended for handling of the chemical.

Movement of chemicals within the laboratory should also be conducted consistent with accepted safe practices. Hazardous materials should be handled by personnel familiar with the material and procedures invoked if a spill of the material occurs. Common practices that should be followed include:

0 Wearing the appropriate personal protective equipment when moving chemicals.

0 Using carrying aids such as trays, carts, and hand trucks. 0 Transporting the smallest quantity of the material necessary for

use. Limit volume transported to less than one-gallon whenever possible. Carry acid bottles and flammable liquids in rubber sleeves.

0 Utilize shatter proof plastic coated bottles whenever possible. Insure that you have a clear path before transporting chemicals.

Oftentimes laboratories may utilize certain chemicals in large quantities if demand for the chemical is great or as a cost saving measure. Although a monetary savings can be accrued through this practice, an increase in the potential for spills may also occur if the chemical must be dispensed into smaller containers for use within the laboratory. The monetary savings may be readily lost if the chemical becomes contaminated or expires (i.e., exceeds shelf life). Whenever possible, purchase of chemicals in small laboratory-sized containers is recommended.

Dispensing of chemical may be safely performed through adherence to the following procedures:


0

0

0

0

0

0

0

0

Dispensing chemicals within hood or well ventilated areas. Hand pumping flammables from drums (do not pour). Limiting source of ignition in dispensing areas. Limiting volumes of dispensed materials to the smallest quantity needed. Adding acids to water only. Dispensing to compatible containers only. Sealing containers when dispensing is completed. Dispensing into clean, dry containers.

RESPONDING TO SPILLS

Clean-up of small spills may often be performed by laboratory personnel in a safe and efficient manner. Proper training in clean-up methods, use of personal protection equipment, and waste disposal is essential in assuring proper incident control.

Cleaning up a small spill of a hazardous material will generally require the use of several types of materials, including:

Absorptive agents (e.g., cloth, oil dry, or absorbent pillows). 0 Neutralizing agents. 0 Brooms, shovels, etc. 0 First aid supplies. 0 Protective equipment. 0 Spill packaging material, e.g., drums, labels, plastic bags.

Fire extinguishers.

A review of the types of materials present in each laboratory may be necessary to insure that necessary types of equipment in appropriate quantities are available. It is advisable to locate spill clean-up equipment in each lab and within easy access to hallways and stairways.

Even small spills of hazardous materials must be cleaned up immediately. Generally, small spills can be cleaned up by the person using the material. As there are strict laws requiring the reporting of hazardous material releases, inform the area supervisor and environmental manager of all incidents.

Safety Management Practices for Laboratories 21 1

When cleaning up a spill, follow these recommendations:

0

0

0

0

0

0

0

0

0

0

0

Evacuate the area as necessary. Notify the area supervisor. Verify the identity of the spilled material. Prevent spread of the material, especially into drains, sewers, etc. Don all necessary protective equipment prior to spill clean-up. Remove or de-energize sources of ignition as necessary. Absorb the spilled chemical with an approved compatible absorbent agent. Thoroughly clean the area with a suitable cleaning agents. Place the spilled material and all clean-up debris into a compatible, secure container. Label the container with the name of the spilled material and the date, in accordance with hazardous waste storage procedures. Remove the container to the hazardous waste storage area.

If the spill presents a fire, explosion, or off-site release risk, or if laboratory resources are not commensurate with the required spill response, notify the facility emergency response group immediately.

To facilitate immediate assistance in response to laboratory spills (and other emergencies) placarding of an

EMERGENCY ASSISTANCE LIST

FIRE: POLICEISECURITY: ENVIRONMENTAL:

I SUPERVISOR: SAFETY OFFICE: AMBULANCE: SPILL RESPONSE:

emergency call list is recommended. This list should include identification of security, fire protection, spill response, area supervisors, and other emergency agencies whose assistance may be required. Table 5 is a template which may be tailored to specific facilities and laboratories. At least three supervisors should be contained in this list, including identification of responsible supervisors for each shift. Remember to locate this list within and outside of the laboratory to facilitate assistance if the laboratory cannot be reentered.


TABLE 5

EMERGENCY ASSISTANCE LIST

ON-SITE :

Spill Response

Fire Brigade

Health Clinic

Security Environmental

Coordinator

Area Supervisor

Shift 1 Shift 2 Shift 3

Department Supervisor

Division Supervisor

Safety Office

OFF-SITE:

Fire Department

Police

Ambulance

Hospital

Spill Response Contractors

CONTINGENCY PLANS

Name Phone #

(Extension)

It is advisable that each facility within a company prepare a spill contingency plan which addresses each specific laboratory within the facility. This plan should include identification of responsible clean-up


personnel, unique spill clean-up requirements , and locations of clean-up materials.

The plan should also include identification of the environmental professional responsible for reportable spill notifications. A comprehensive plan which includes spill response training requirements , spill clean-up methods, and evacuation plans may be desired depending on the scale and function of on-site laboratories. Amendment of established spill control and countermeasures plans may provide some required elements of this plan.

Many laboratories have pursued development of tailor-made computer or hardcopy databases which identify the correct measures for specific chemical spills. Databases should include:

0

0

0

0

0

0

0

0

0

0

0

0

0

Chemical name. Class. Location and quantities (including storage container size). Hazards (TWA, PEL, IDLH). Flammability. Reactivity. Incompatibility. Spill response equipment and location. Spill response procedure. Fire response. First aid. Waste disposal. Reporting requirements (RQ).

The product’s MSDS serves as a good initial source for compiling a spill response database. Be aware that MSDSs do not always include complete information. Reference of accepted chemical and spill response publications is advisable. The following references may provide useful information.

Name Publisher

CHRIS Hazardous Chemical

U.S. Coast Guard Commandant Instruction

U.S. Gov. Printing Office

#M 16465


Name Publisher

Handling Chemicals Safely Dutch Ass. of Safety Exports Dutch Chemical Industry Ass. Dutch Safety Inst. Netherlands 19890

Emergency Response U.S. DOT Guidebook for Hazardous Labelmaster Materials National Association of Safety &

Health Professionals

Personal Protection Equipment

Selection of adequate Personal Protective Equipment (PPE) is dependent on the role of the affected employee. Hazardous material transporters and laboratory personnel require different equipment than those responsible for clean-up of spills. The type of PPE selected is further dependent on the hazardous material handled.

The use of appropriate protective equipment is important in minimizing exposure to hazardous chemicals. Protective equipment may include respirators, eye protection (such as safety goggles and faceshields), gloves and protective clothing (such as lab coats and plastic or rubber aprons), and foot protection (such as rubber boots or plastic shoe covers).

Protective eye and face equipment is required whenever there is a potential risk of injury that can be prevented by such equipment.

Respirators must be used when an employee may be exposed to a harmful level of a hazardous chemical. Written standard operating procedures governing selection and use of respirators must be established.

Container labels may provide information on the type of protective equipment required for handling particular substances. The MSDS should be consulted for specific protective equipment information.

Protective equipment should be worn whenever there is the possibility of contact with a harmful substance. The container’s label, MSDS or Spill Response database should be consulted for specific information.

To determine the level of protection necessary and commensurate type of PPE, each job function should be reviewed by a trained safety


and health professional. Generally, typical levels of PPE for several job categories follow:

0 Transportation. - disposable chemical resistant gloves - faceshields - aprons

- goggles - lab coats - gloves -

- respirators as necessary

- goggles and faceshields - gloves, boots - full body coveralls - splash jackets with hoods -

0 Laboratory personnel.

aprons, faceshields, goggles and gloves when dispensing chemicals

0 Spill Response.

respirators--chemical cartridge or air supplied respirators as necessary.

Proper maintenance of protective equipment is important to ensure protection against exposure to hazardous substances. Respiratory protective equipment should be inspected before each use, and should be regularly cleaned and disinfected.

Gloves should be checked for discoloration, punctures, cracking, or other signs of deterioration before use, and should be thoroughly washed before removal. Gloves should be replaced periodically, depending on the frequency of use and the permeability of the substances being handled.

All employees should be familiar with proper procedures for removing protective clothing which may be contaminated. If not disposable, protective clothing should be properly cleaned when necessary. Each laboratory or facility should develop a system for purchasing and maintaining proper types of protective equipment. One individual should manage this program, to ensure that an adequate inventory of equipment is purchased, and that this equipment meets all


OSHA standards. This person would also be responsible for equipment maintenance, storage, and recordkeeping.

HANDLING WASTES

Various types of waste materials may be generated throughout manufacturing, maintenance, administrative and laboratory operations. This section will identify the generic categories of waste, typical generation points, and waste types typically associated with laboratories.

Waste may be defined as any material which is unsuitable for further beneficial use and intended to be discarded. Waste materials from laboratories may include:

Office waste. 0 Off-specification reagents. 0 Out-of-date material (expired shelf life). 0 Sample material no longer needed for analysis or archiving.

Containers (empty). 0 Clean-up debris (i.e., absorbents, towels). 0 Accumulated spent reagents, reaction products or samples.

It is important to note that all wastes generated within the laboratory are not necessarily hazardous wastes.

As previously stated waste materials may originate from a number of sources within a given facility. Manufacturing processes, maintenance activities, process specific QA/QC activities, etc. may all result in the generation of waste.

Typically, quantities of waste materials generated from these sources are larger in scale or volume than that typical of a laboratory. Several operations and locations in each laboratory may generate waste products:

0 Chemical storage cabinets, vaults, stockrooms. 0 Analytical processes. 0 Laboratory equipment preparation. 0 Sample accumulation.


Additionally, it is not uncommon for a laboratory to inherit small quantities of wastes from other operational areas within a facility. This practice creates unique problems for the laboratory manager.

Wastes intended for discarding and wastes generated within the laboratory may include material in solid, liquid, and gaseous form. Strict adherence to regulatory definitions of waste is necessary to determine the proper waste disposal method.

By regulatory definition, any discarded material that is abandoned by being disposed of, burned or incinerated, recycled in certain ways, or considered "inherently waste-like'' is a solid waste. A solid waste may also be a liquid, semi-solid, or contained-gaseous material.

Hazardous wastes are a subcategory of solid wastes and are subject to the hazardous waste management requirements of the Resource Conservation and Recovery Act (RCRA). By definition, a solid waste is a hazardous waste if at least one of the following is true:

0 It exhibits one of the characteristics of ignitability, corrosivity, reactivity, or EP toxicity.

0 It is listed in 40 CFR 261, Subpart D. It is a mixture of a solid waste and a hazardous waste and the mixture exhibits a hazardous characteristic.

0 It is a mixture of a solid waste and a listed hazardous waste. 0 Is listed as a hazardous waste by governing state or local

regulations.

EPA excluded most nuclear sources covered by the Atomic Energy Act from the RCRA solid waste definition. As such, nuclear wastes are not considered by definition as hazardous wastes. In most cases, however, a few special nuclear wastes are governed by EPA. Additionally, certain solid wastes were identified as non-hazardous waste by EPA. Relative to laboratories these include waste samples intended for laboratory analysis. Sample materials are hazardous wastes however when analysis .and storage of the materials are no longer necessary.

A waste material may also be classified as non-hazardous when it: does not meet the definition of a hazardous waste under RCRA; is not included in any state sponsored hazardous waste list; is not regulated or governed by ancillary federal, state or local regulations; and is not inherently unsafe for unsophisticated disposal.


Medical--Those wastes generated through the provision of health care services and related research may be medical wastes. A medical waste typically includes infectious wastes (such as cultures, and stocks), pathological wastes (Le., tissues, organs), blood products, sharps (i.e., needles, syringes) and contaminated animal wastes. Depending on their origin these wastes may be regulated and considered infectious.

Laboratories involved with medical, pathological, pharmaceutical, and other research activities including use of or development of the aforementioned waste products are required to adhere to mandating federal, state, and local regulations.

Radioactive materials have the property of releasing radiation during decay of unstable materials into stable materials. Four major types of radioactive decay products are alpha rays, beta particles, gamma rays, and high energy neutrons. Each of these may cause adverse health effects in humans.

Radioactive materials may be used in the laboratory as energy supply sources for instrumentation or as testing materials such as radioactive tracers. Radioactive wastes may be generated through exposure of materials to a radioactive source or when radioactive materials are removed from service. Common wastes generated include protective clothing, spent containers, and equipment. Handling and disposal of these wastes are subject to federal and state regulations concerning labeling, packaging, and transportation.

Radioactive materials are regulated, for the most part, by the Nuclear Regulatory Commission (NRC). The Atomic Energy Act of 1954 as amended serves as the primary regulatory document utilized by NRC. However, the EPA is involved in regulating some radioactive materials. These include:

Radionuclide Emissions - EPA is responsible for promulgation of standards for airborne radionuclide emissions under the Clean Air Act. NRC is responsible for implementation and enforcement of these standards.

0 Low Level Radioactive Wastes - EPA has the authority to regulate low level radioactive and mixed low level radioactive/hazardous wastes.

5 RESOURCE CONSERVATION AND RECOVERY ACT AND WASTE ANALYSIS PLANS

INTRODUCTION

The purpose of this chapter is to acquaint the reader with the Resource Conservation and Recovery Act (RCRA), the preeminent act which addresses hazardous waste generation, transportation, storage and disposal.

Congress enacted the Resource Conservation and Recovery Act (RCRA):

1. To ensure the safe disposal of discarded materials.

2. To provide support for resource recovery.

3. To regulate the management of hazardous waste.

The regulations promulgated under RCRA concerning hazardous wastes apply to the handling of wastes generated at currently operating facilities and to clean-up past contamination at such facilities. Abandoned and inactive waste site are regulated by other laws.

Congress amended RCRA several times since 1976. The most significant of those amendments were the 1984 amendments which extended the authority of RCRA until 1989 and expanded the regulation of generators to include those producing between 100 to 1000 kilograms per month (previously only generators producing more than 1000 kilograms per month were covered).

The U.S. Environmental Protection Agency (EPA) has adopted regulations to carry out the mandate of RCRA. These regulations are contained in Title 40 of the Code of Federal Regulations (40 CFR).

219


Subtitle C of RCRA governs hazardous waste and is discussed in this chapter. The regulations adopted under this program cover hazardous waste from the time of generation through ultimate destruction or disposal: "from cradle to grave. 'I The RCRA hazardous waste regulations include the following components:

0 Classification of hazardous waste. Tracking system - manifest requirements.

0 Federal standards for generators, transporters, and treatment, storage, and disposal (TSD) facilities.

0 Restrictions on land disposal of hazardous waste. 0 Permit procedures and requirements. 0 Provisions for states to be in charge of some or all of the

program.

HAZARDOUS WASTE CLASSIFICATION

To be a "hazardous waste" a waste must first be defined as solid waste and not be excluded under 40 CFR 261.4(b). A solid waste may be physically a solid, liquid, semi-solid, or a contained gas. Solid waste includes hazardous, industrial, municipal, and construction or demolition waste. A material must first fit the description of a solid waste before it can be classified as a hazardous waste.

The definition of solid waste includes three general categories: abandoned materials, inherently waste-like materials, and certain recycled materials. These categories are fully described in 40 CFR 261.2 a-e.

Many substances are partially or totally exempt from hazardous waste regulations. These include samples of solid or hazardous waste recycled batteries, recycled scrap metal, and environmental samples to be tested for contamination.

In order to determine if a waste is a hazardous waste under RCRA, the waste must be characterized with respect to the regulatory definition of hazardous waste. RCRA regulations include specific lists of wastes considered hazardous and criteria to be used for characterization of non- listed wastes. With reference to 40 CFR 261 Subparts B, C and D, a solid waste is a "hazardous waste" i f it exhibits a hazardous

Resource Conservation and Recovery Act and Waste Analysis Plans 221

characteristic; or it is listed in 40 CFR 261, Subpart D; or it is a mixture of a solid waste and a listed hazardous waste.

In the regulations, EPA listed several wastes from general processes such as degreasing and other solvents (nonspecific sources or "F" designated wastes), as well as waste from particular industries (specific sources or "K" designated wastes). EPA also listed certain commercial chemical products ("U" and "P" designated wastes) that are considered "hazardous" when discarded. These three lists are found in 40 CFR 261, Subpart D. When determining if a waste is hazardous use these lists to determine if your waste is an EPA listed hazardous waste.

If the waste is not listed, you must determine if your waste exhibits a hazardous characteristic. The hazardous characteristics identified by EPA are ignitability, corrosivity, reactivity, and EP toxicity.

Ignitability - EPA Hazardous Waste Number DO01

A waste is ignitable if

0 It is liquid and has a flashpoint lower than 140°F as determined by a Pensky-Martens Closed Cup Tester or a Setaflash Closed Cup Tester (and is not an aqueous solution containing less than 24% alcohol by volume).

0 It is not a liquid and is capable of causing fire through friction, absorption of moisture, or spontaneous chemical changes and, when ignited, burns so vigorously and persistently that it creates a hazard.

0 It is an ignitable compressed gas. 0 It is an oxidizer.

Corrosivity - EPA Hazardous Waste Number DO02

A waste is corrosive if

It is an aqueous solution that has a pH less than or equal to 2, or greater than or equal to 12.5. It is a liquid that corrodes steel or aluminum at a rate greater than 1/4 inch per year.


Reactivity - EPA Hazardous Waste Number DO03

A waste is reactive if

a

a a a

a

a

a

a

It is normally unstable and readily undergoes violent change without detonating. It reacts violently with water. It forms a potentially explosive mixture with water. It generates toxic gases, fumes, or vapors when mixed with water. It is a cyanide or sulfide bearing waste that can generate toxic gases, vapors, or fumes when exposed to pH conditions between 2 and 12.5. It is capable of detonating or exploding when subjected to a strong initiating sources or if heated under confinement. It is readily capable of detonation or explosive decomposition or reaction. It is a forbidden explosive.

EP Toxicity - EPA Hazardous Waste Numbers D004-DO17

A waste is EP toxic if, after using the specified extraction procedure, the extract contains one of the contaminants listed in Table 1 in excess of the concentration given. When the waste contains less than 0.5 % filterable solids, the waste itself is considered to be the extract.

The extraction procedure has been severely scrutinized and is considered unsatisfactory by some environmental chemists. Most states use a modified extraction procedure known as Toxicity Characteristic Leaching Procedure (TCLP) in the analysis for toxicity under RCRA. The list of TCLP contaminants is included in Table 2. Using this test, a waste is considered toxic if the extract contains concentrations higher than those specified after using the modified extraction procedure.

A common mistake made by generators is the misinterpretation of the discarded commercial chemical products classification, or the "U" (toxic) and "P" (acute toxic) designated wastes. "P" or "U" wastes include any discarded commercial chemical products or manufacturing chemical intermediates having the generic name listed in 40 CFR 261.33(e) or (0. These wastes refer to chemical substances which are manufactured or formulated for commercial or manufacturing use.


TABLE 1

CONCENTRATION LIMITS FOR CHARACTERISTIC OF EP TOXICITY

EPA Hazardous Waste Number

DO04 D005 D006 DO07 DO08 DO09 DO10 DO1 1 DO12 DO13 DO14 DO15 DO16 DO17

Contaminant

Arsenic Barium Cadmium Chromium Lead Mercury Selenium Silver Endrin Lindane Methoxychlor Toxaphene

2,3,5-TP Silvex 2,4-D

Maximum Concentration

(milligrams per liter)

5 .O 100.0 1 .o 5 .O 5 .O 0.2 1 .o 5 .O 0.02 0.4 10.0 0.5 10.0 1 .o

They must consist of the commercially pure grade of the listed chemicals, or all formulations in which the listed chemicals are the sole active ingredient. However, a llPrr or IIU" waste does not refer to a material, such as an experimental waste, that contains any of the substances listed in 40 CFR 261.33(e) and (0. For example, if phenol (listed as a "U" 188 waste) is used in an experiment, the resultant waste that contains phenol and other materials is not considered a hazardous waste. However, if a container holding the commercially pure phenol exceeds its shelf life, its contents would be classified as a "U" 188 waste and is subject to applicable regulations.

Another common misinterpretation is the classification of F001- F005 wastes. These wastes are from solvents commonly used in a variety of activities. It should be noted that generally the waste solution should contain at least 10% or more of the solvent chemicals listed in the waste category before that waste can be classified as "F"


TABLE 2

TOXICITY CHARACTERISTIC CONTAMINANTS AND REGULATORY LEVELS

HWNO and Contaminant Cas No. Regulatory Level (mgll)

DO18 - Acrylonitrile 107-13-1 5.0 D004 - Arsenic* 7440-38-2 5.0 D005 - Barium* 7440-39-3 100 DO19 - Benzene 71-43.2 0.07 DO20 - Bis (2-chloroethyl) ether 111-44-4 0.05 D006 - Cadmium* 7440-43-9 1 .o DO21 - Carbon disulfide 75-15-0 14.4 DO22 - Carbon tetrachloride 56-23-5 0.07 DO23 - Chlordane 57-74-9 0.03 DO24 - Chlorobenzene 108-90-7 1.4 DO25 - Chloroform 67-66-3 0.07 D007 - Chromium* 1333-82-0 5 .O DO26 - 0-Cresol' 95-48-7 10.0 DO27 - rn-Cresol' 108-39-5 10.0 DO28 - p-Cresol' 108-44-5 10.0

phenoxyacetic acid)* 94-75-7 1.4 DO29 - 1,2-Dichlorobenzene 95-50-1 4.3 DO30 - 1,4-Dichlorobenzene 106-48-7 10.8 DO3 1 - 1,2-Dichloroethane 107-06-2 0.40

DO33 - 2,4-Dinitrotoluene 121-14-2 0.13 DO12 - Endrin* 72-20-8 0.003 DO34 - Heptachlor (and its

DO35 - Hexachlorobenzene 118-74-1 0.13 DO36 - Hexachlorobutadiene 87-68-3 0.72 DO37 - Hexachloroethane 67-12-1 4.3 DO38 - Isobutanol 78-83-1 36 D008 - Lead* 7439-92-1 5.0 DO13 - Lindane* 58-89-9 0.06

DO16 - 2,4-D (2.4-Dichloro-

DO32 - 1,l -Dichloroethylene 75-35-4 0.1

hydroxide) 76-44-8 0.001

D009 - Mercury* 7439-97-6 0.2 DO14 - Methoxychlor* 72-43-5 1.4 DO39 - Methylene chloride 75-09-2 8.6 DO40 - Methyl ethyl ketone 78-93-3 7.2 DO41 - Nitrobenzene 98-95-3 0.13 DO42 - Pentachlorophenol 87-86-5 3.6 DO43 - Phenol 108-95-2 14.4


TABLE 2 (continued)

TOXICITY CHARACTERISTIC CONTAMINANTS AND REGULATORY LEVELS

HWNO and Contaminant

DO44 - Pyridine DO10 - Selenium* DO11 - Silver* DO45 - 1,l . 1,2-Tetrachloroethane DO46 - 1,1,2,2-Tetrachloroethane DO47 - Tetrachloroethylene DO48 - 2,3,4,6-Tetrachlorophenol DO49 - Toluene DO15 - Toxaphene* DO50 - 1 , 1 ,l-Trichloroethane DO51 - 1,1,2-Trichloroethane DO52 - Trichloroethylene DO53 - 2,4,5-Trichlorophenol DO54 - 2,4,6-Trichloropheno1 DO17 - 2,4,5-TP (Silvex)* DO55 - Vinyl chloride

Cas No.

110-86-1 7782-49-2 7440-22-4 630-20-6 19-34-5 127-18-4 58-90-3 108-88-3 8001-35-2 71-55-6 79-00-5 79-01-6 95-95-4 88-06-2 93-76-5 75-01-4

Regulatory Level (mgW

5 .O 1 .o 5.0 10.0 1.3 0.1 1.5 14.4 0.07 30 1.2 0.07 5.8 0.30 0.14 0.05

'o-,m-, and p-Cresol concentrations are added together and compared to a threshold of 10.0 mgll. *Original fourteen contaminants used with EP Toxicity Test.

hazardous. wastes before classifying the waste as hazardous.

The reader should carefully check the definition of "F"

HAZARDOUS WASTE GENERATORS

Three categories of hazardous waste generators are established under RCRA. The governing distinction between categories is the amount of hazardous waste produced in a given time period. The overall waste management requirements applicable to a laboratory or facility are established through the applicable generator definition.

GENERATOR--You are a generator (or commonly referred to as a full generator) if you produce more than loo0 kilograms (2200 pounds) of


a hazardous waste or more than 1 kilogram (2.2) of acutely hazardous waste in a calendar month as defined by EPA in 40 CFR Part 261.

According to the regulations, a hazardous waste generator must (reference 40 CFR 262):

Obtain an EPA Identification Number (Subpart A). Utilize the uniform hazardous waste manifest whenever hazardous wastes are transported (Subpart B). Package, label, mark and placard the waste in accordance with Subpart C. Not store hazardous waste in excess of ninety (90) days unless specifically permitted by 40 CFR 262.34. Prepare biennial reports, exception reports and maintain copies of waste manifests. Develop an emergency contingency plan, meet certain preparedness and prevention standards and provide appropriate hazardous waste training for employees.

SMALL QUANTITY GENERATOR--You are a small quantity generator if you produce between 100 kilogram (220 pounds) and 1000 kilograms (2200 pounds) of hazardous waste in a calendar month.

Generators of 100 to 1000 kilograms of hazardous waste per month are subject to less stringent requirements than the full generator. Small quantity generators are required to:

Determine if their wastes are hazardous. 0 Obtain an EPA identification number.

Store hazardous waste on site for a maximum of 180 days, with a maximum of 6000 kilograms of waste accumulated at any one time. If the waste will be shipped over 200 miles for treatment/disposal, the generator can store it on site for up to 270 days.

0 Comply with the management standards for storage in containers or tanks described in 40 CFR 265.

0 Offer their waste only to transporters and TSD facilities with an EPA identification number.

0 Use a full hazardous waste manifest with all waste shipments.


Generators of 100 to lo00 kg/month of hazardous waste are exempted from requirements to:

0 File annual/biennial generator reports. 0 Prepare a formal contingency plan, although posting certain

contingency information next to a phone is required. 0 Conduct formal employee RCRA training, although minimal

training is required. Maintain a %foot buffer zone from the facility boundary for container storage of ignitable or reactive waste.

CONDITIONALLY EXEMPT SMALL QUANTITY GENERATOR- You are a conditionally exempt small quantity generator if you produce less than 100 kilogramdmonth of hazardous waste, and do not accumulate more than 1000 kilograms of hazardous waste at any one time.

Conditionally exempt small quantity generators are:

0 Exempt from all RCRA notification, reporting and manifesting requirements. Required to send their wastes to TSD facilities that are either permitted or have been granted interim status by EPA or a state; to legitimate recycling/reclamation facilities; or facilities permitted, licensed, or registered by a state to manage industrial or municipal solid waste.

Specific regulations apply to conditionally exempt small quantity generators. These are addressed in 40 CFR 261.5.

WASTE ACCUMULATION

RCRA addresses the permissible duration of storage of hazardous wastes. The full generator facilities may store the waste for a period up to but not exceeding 90 days unless specific permission is granted by the Regional EPA administrator. This allowance is only granted when the generator can show cause to why an extension is necessary.


ment requirements per 40 CFR 265 are ed .

mulated hazardous waste does not exceed 6000 kg.

The amount Of

There are conditions under which accumulation for 90 days is permitted by a generator without becoming subject to all RCRA permit standards (40 CFR 264). These conditions include provisions that:

A small quantity generator can accumulate waste up to 270 days if waste must be shipped more than 200 miles away.

The waste is stored in tanks or container meeting the requirements of 40 CFR Part 265, Subparts I and J . The waste containers or tanks are clearly marked with the date accumulation began and labeled with the words “Hazardous Waste” and the contents identified. A Contingency Plan and Emergency Procedures document is in effect at the plant site. A personnel training program is in place for employees handling hazardous waste.

A small quantity generator may accumulate hazardous waste on-site up to 180 days without a permit or having interim status provided that:

A conditionally exempt small quantity generator is excluded from the accumulation times stated for generators and small quantity generators as long as:

0 The facility remains in compliance with 40 CFR 262.11 which addresses the methods of determining hazardous waste characteristics.

0 The facility does not accumulate at any time more than 1000 kg of hazardous waste.


RCR4 REGULATIONS PERTAINING TO LABORATORIES

RCRA addresses the laboratories with consideration of environmental samples, treatability studies, and wastewater discharges.

RCRA regulations specifically exclude regulation of solid wastes (includes hazardous wastes), soil, or water which are intended for testing to determine their characteristics or composition. This exclusion covers environmental samples transported to, stored, being analyzed, or archived at the laboratory. Specific sample packaging and labeling requirements do apply to samples. These can be found in 40 CFR 26 1 (d) .

Treatability Studies - Samples undergoing treatability studies are not subject to all RCRA regulations. The laboratory is required to have an EPA identification number, limit the amount of waste received and stored, not dispose of the waste on land or through open burning, and return unused/untreated waste to the waste generator. Additionally, accountability of the waste through recordkeeping and reporting is required (Reference 40 CFR 261.4(f)).

Wastewater - RCRA specifically excludes laboratory wastewaters which contain toxic wastes (listed toxic wastes per subpart D) conveyed to sanitary sewerage systems if the annualized average flow of the wastewater does not exceed one percent or one part per million of the total wastewater flow into the wastewater treatment or pretreatment system (Reference 40 CFR 261.3).

Satellite Accumulation Areas - According to the federal regulations (40 CFR 262.34(c)), you can accumulate a maximum of 55 gallons of a hazardous waste or one quart of an acutely hazardous waste at or near the point where the waste is initially generated.

Satellite accumulation areas within a laboratory may include bench top waste containers, and to a greater extent the segregated area within the laboratory where wastes are collected/stored pending transportation to the facilities centralized storage or off-site.

A satellite accumulation area must be at or near a point of generation where wastes are initially generated, and must be under the control of the


However, when the container is full, it must be moved to the central storage area within 72 hours. The satellite accumulation area may contain more than one waste container provided that each container is

Satellite Accumulation Area

Accumulate <55 gallons for more than 90 days When 55-gallon limit is exceeded move to storage area within 3 days

0 Containers must be labeled and in good condition

0 All containers must be marked "Hazardous Waste" and the contents must be identified.

0 Wastes must be stored in containers well suited to the task. The containers must be made or lined with a material that will not be damaged by contact with the waste.

0 Containers must be in good condition. If the containers are not in good condition or start to leak, the wastes must be moved to more secure containers.

0 The containers must be kept closed at all times, except when wastes are being added or removed.

0 Containers must not be opened, handled, or stored in a manner that may cause them to rupture or leak.

Weekly inspections of container storage areas should include satellite accumulation areas.

Regulations allowing for satellite accumulation have not been adopted in all states. The reader should check with the regulatory agency in hidher state to determine if satellite accumulation is legal.


WASTE DETERMINATIONS

A generator must make a hazardous waste determination on &l waste that are generated. This determination should be performed as specified in 40 CFR 262.11. Implied in the requirement is the necessity for the generator to keep records documenting the waste determination process.

Waste determination is a three-step process. The generator first determines if the waste is specifically excluded from regulation in 40 CFR 261.4 or state equivalent. If not excluded, the generator determines if the waste is included in the lists in 40 CFR 261, subpart D (listed wastes). Waste streams which are not listed or excluded must then be evaluated using the generators knowledge of the waste or with the tests specified in 40 CFR 261, subpart C (characteristic waste). Each state should be consulted to determine if their waste determination requirements are different than those specified in the Federal Register.

A TSDF permit applicant must submit a plan for chemical and physical analyses of the hazardous wastes to be handled at the facility. At a minimum, these analyses must contain all the information needed to treat, store, or dispose of the waste properly.

The information needed to characterize a waste as hazardous may overlap with, but is not identical to, the information needed to manage a hazardous waste. To treat a waste, one needs to know not only the chemical composition of the waste, but also the compatibility of the waste with the techniques and chemical reagents used at the facility to treat the waste. The waste analysis required to determine if the waste is hazardous may not provide the latter type of information, and thus does not necessarily satisfy the requirements for waste analysis for hazardous waste management facilities. The data developed to determine if a waste is hazardous may be included in the data base that the owner or the operator compiles to comply with the waste analysis requirement for hazardous waste management facilities.

The waste analysis information required of owners or operators must be objective oriented, because the information needed to treat, store, or dispose of waste differs depending on the methods used to manage the waste (e.g., the information needed to incinerate waste differs from that needed to neutralize waste). Owners or operators are only required to


conduct analyses which are appropriate for the management methods used at his facility. For example, sufficient analysis must be performed to assure that the waste feed stream to an incinerator is within the physical and chemical composition limits specified for that incinerator.

The following minimum information is needed on each hazardous waste to be handled:

1. General description.

2. Hazardous characteristics (ignitable, corrosive, reactive, EP toxic).

3. Basis for hazardous designation.

4. Concentrations of the constituents of concern for that listed waste.

For an ignitable waste, specify why the waste was found to be ignitable (flashpoint). For a corrosive waste, specify the pH. For reactive waste identify the conditions under which the waste is reactive. For an EP toxic waste, identify the EP toxic constituents and their concentrations.

Example: An onsite hazardous waste storage facility receives seven hazardous waste streams resulting from metal finishing operations: (1) spent pickle liquor; (2) spent 1, 1, l-trichloroethane; (3) vinyl acetate sludge; (4) vinyl chloride sludge; (5) pickle liquor sludge; (6) metal grindings; and (7) metal hydroxide sludge.

The spent pickle liquor is a listed hazardous waste, assigned hazardous waste code K062. It is also hazardous because of its corrosivity and EP toxicity. The l , l , 1-trichloroethane is a listed hazardous waste, assigned hazardous waste code FOOl and is hazardous because of its toxicity. Vinyl acetate and vinyl chloride sludges are hazardous because of their ignitability . The metal grindings contain hazardous hexalent chromium. The metal hydroxide sludges are hazardous because they contain large amounts of extractable lead and hexavalent chromium. See Table 3 for analytical results.


1. Pickle liquor Corrosive Listed as K062, pH of 1.0 (hydrochloric acid) EP toxic Lead, 25.6 ppm Cr (VI)

6.7 ppm 2. l , l , 1-trichloroethane Toxic Listed F001, 90%

3. Vinyl acetate sludge Ignitable Flashpoint is 25°F

5. Pickle liquor sludge Corrosive, ph of 1.0, EP toxic

1 , 1,l ,-trichloroethane

1 4. Vinyl chloride sludge Ignitable Flashpoint is 6°F

EP toxic Lead 26.5 ppm. Cr (VI) 7.8 ppm

Cr (VI) 38.7 ppm

Cr (VI) 47.1 ppm

6. Metal grindings EP toxic EP toxic, Lead 32.8 ppm,

7. Metal hydroxide sludge EP toxic, Lead 118.2 ppm EP toxic

TABLE 3

WASTE CHARACTERIZATION OF SPENT PICKLE LIQUOR

Waste Basis for Hazard

Hazard Designation

Incompatible Wastes--The problems posed by incompatible wastes fall into two general areas. The first covers wastes which are incompatible with the materials containing them because they would corrode or otherwise cause the decay of those materials. The second and broadest group of problems is the potential for the creation of harmful reactions or substances during the mixing of incompatible wastes.

If facility operators mix incompatible wastes, they must anticipate and control the reactions which may occur, the reaction products, and the thermal effects. Due to the possible undesirable results from the mixing or handling of a wide variety of wastes, owners and operators must take precautions to minimize the creation of conditions which could threaten public health or the environment. Owners or operators who are handling ignitable, reactive, or incompatible wastes in a way which could potentially lead to conditions which threaten public health or the environment (as specifically identified in the regulations) must document that they are taking the necessary precautions to minimize these conditions. This documentation may take the form of references to


scientific or engineering literature or data derived from experiences to scientific or engineering literature or data derived from experience with similar wastes, in similar equipment, using similar processes, and under similar operating conditions. Submitting this documentation as a part of the information required for the chemical and physical analysis requirement of the Part B will ensure that the necessary research and development work has been carried out prior to operation.

If owners or operators manage, or plan to manage, wastes which are, or will be, incompatible with other wastes or materials, those wastes must be identified in the waste analysis plan.

Treatment and Storage Tanks - The construction materials of most tanks will inevitably be somewhat impaired by the chemical properties of the wastes they contain. Properties of each waste must be known in order to determine the destruction rate of the material of construction of the tank and the tanks expected remaining life.

A minimum tank shell thickness which must be maintained will be established in the permit. To determine the minimum shell thickness, the height, width, and materials of construction of the tank, and the specific gravity of the waste, which will be placed in the tank, will be considered. Accordingly, the owner or operator must provide data, on the specific gravity of the waste to be treated or stored in the tank.

Owners or operators who place ignitable or reactive waste in a tank and treat, render, or mix the waste before or immediately after placement in the tank must ensure that conditions which could threaten public health or the environment are mitigated. To minimize the threat to public health or the environment, the owners or operators must collect data, conduct waste analyses or trial tests, or other documentation to ensure that all precautions are being taken.

Commercial TSD Facilities - Wastes may have the same hazardous waste code, but may be very different in physical characteristics and chemical composition. For a facility to accept a new hazardous waste (one not previously received) from a generator, he must assure that the waste is within the permitted authority and all other permit conditions are met. Requiring commercial hazardous waste management facilities to provide an actual waste analysis of each of the wastes they receive along with the permit application, would be laborious and costly and would not yield the type of information needed to determine if the waste can be


properly treated, stored, or disposed. In these cases, a stronger emphasis will be placed on the waste analysis plan and the operating limits set for their facility. The waste analysis performed on the waste prior to it being received must provide the necessary information to ensure the proper handling of the waste at the facility. For example, an owner or operator of a hazardous waste storage tank will not be allowed to store a waste in that tank if the waste has a higher specific gravity than that used to determine the minimum shell thickness and structural stability of the tank.

THE WASTE ANALYSIS PLAN

The permit applicant must submit a copy of the waste analysis plan. The plan describes the procedures which he will carry out to comply with the waste analysis requirements. The waste analysis plan must specify:

1 .

2.

3.

4.

5 .

6 .

The parameters for which each hazardous waste will be analyzed and the rationale for the selection of these parameters.

The sampling methods which will be used to obtain a representative sample of the waste to be analyzed.

The analytical procedures which will be used.

The frequency with which the initial analysis of the waste will be reviewed or repeated to ensure that the analysis is accurate and up-to-date.

For offsite facilities, the waste analyses that hazardous waste generators have agreed to supply.

Where applicable, the methods which will be used to meet the additional analysis requirements for specific waste management methods as specified for:

a. The general requirements for ignitable, reactive, or incompatible wastes.


b. The waste analysis requirement for owners or operators of incinerators.

7. For offsite facilities, the procedures which will be used to inspect and if necessary, analyze each movement of hazardous waste received at the facility to ensure that it matches the identity of the waste designated on the accompanying manifest or shipping paper. At a minimum, the plan must describe:

a. The procedure which will be used to determine the identity of each movement of waste managed at the facility.

b. The sampling method which will be used to obtain a representative sample of the waste to be identified, if the identification method includes sampling.

The purpose of the waste analysis plan requirement is to assure that, when followed, owners or operators will possess sufficient information to treat, store, or dispose of the wastes in a manner which would not pose a threat to public health or the environment.

For each hazardous waste to be received at the facility, the owner or operator must analyze and collect data to determine if the waste can be properly managed. When determining the parameters which must be determined analytically, the owner or operator must, at a minimum, include the constituents for which it was listed and determine the characteristics of hazardous waste which these wastes exhibit.

The parameters which must be known to properly manage the hazardous waste must be added to the list of parameters to be analyzed. For example, if the waste is being received for incineration, the waste analysis must include verification that the waste feed to the incinerator meets limits for that unit. The plan should describe, in detail, why these parameters have been selected and why they provide adequate information to properly manage the hazardous wastes to be received at the facility.

For each parameter for which a waste is to be analyzed, the owner or operator must specify the testing method(s) to be used. A1 testing methods used for analysis must be those specified by the EPA and the State agency unless the owner or operator has successfully petitioned and obtained permission to use an equivalent testing or analytical method.


For each waste to be analyzed, the results must be representative of that waste. Therefore, prior to analysis, a representative sample must be obtained. Applicable sampling methods are recommended by regulations. The owner or operator may choose to use an equivalent sampling method if he can prove that his proposed sampling method will yield samples which are representative of the average properties of the waste.

The properties of most waste streams vary within the course of a year. Therefore, most owners or operators should reanalyze the waste, at least annually, to determine if such variations will influence the effectiveness of the facility’s waste management practices. However, if the owner or operator can establish that the properties of the waste which he manages will not change, then to reanalyze the waste would be an unnecessary expense. The owner or operator must, at a minimum, reanalyze the waste when he has been notified, or has reason to believe, that the process or operation generating the waste has changed in a way that may change the hazardous property or characteristics of the waste. Owners or operators of offsite facilities must also reanalyze the hazardous waste received when the results of the verification analysis indicate that the composition or characteristics of the waste do not match the identity of the waste designated on the accompanying manifest.

Owners or operators of offsite facilities must furnish the waste analysis information supplied by the generators. Owners or operators can either conduct the analyses themselves, or require the analyses from the generator. It remains the owner’s or operator’s responsibility to obtain the information needed to properly treat, store, or dispose of the hazardous waste at his facility.

The owner or operator of a hazardous waste management facility that receives hazardous waste from offsite must inspect and if necessary, analyze each shipment of hazardous waste received at the facility to verify that it matches the identity of the waste designated on the accompanying manifest or shipping paper. This inspection and/or analysis is designed to flag obvious differences in waste types, as opposed to more subtle variances, such as variations in the concentrations of metals within a sludge. The verification may include visual inspection and rapid chemical analysis, for: physical state of the waste (powdered or granular solids, slurries, sludges, liquids or compressed gases), color and texture, whether liquids are primarily aqueous or organic, pH of aqueous wastes, odor, and specific gravity or density. The waste


analysis plan should detail this identification process and how and when the waste is to be analyzed. The owner or operator must describe in detail the sampling method which will be used to obtain a representative sample of the waste to be identified, if the identification method includes sampling.

Owners or operators of hazardous waste management facilities that manage hazardous waste liquids in containers must construct and maintain a secondary containment system. When liquids are accumulated in the secondary containment system, the owner or operator must analyze these collected liquids to determine the proper management needed for them when they are removed. The procedures for determining if the accumulated liquids are hazardous wastes must also be described.

Owners or operators that manage hazardous wastes in containers that do not contain free liquids are not required to provide secondary containment. They must, however, demonstrate by test procedures and results, or other documentation or information that the wastes do not contain free liquids.

6 HAZARD COMMUNICATION

INTRODUCTION

This chapter provides an overview of important concepts and practices for safety managers. Much of the information presented in this chapter can serve as the basis for a Right-to-Know training program under the 29 CFR 1910.1200 standard. The following provides an outline of those subjects the safety manager should incorporate into such a program:

HAZARDOUS SUBSTANCES

0 Work areas and equipment inspected and evaluated for hazards and unsafe conditions. Personal protective equipment inspected and maintained (protective clothing and respiratory protective equipment).

0 Hazardous substances in the work area are recognized (make a list or roster) and the danger is understood.

0 Correct handling techniques and safety precautions are observed. 0 Hazardous materials are properly stored.

LABELS

0 Is there a label on every hazardous chemical container in your work area?

0 Is the label readable (not obscured or too dirty to read)? 0 Is the chemical container identified?

Are health and safety hazards for the chemical identified: For example: Flammable? - Corrosive? - Reactive? - Poison?

239


TRAINING

Right-To-Know program is explained. Locations of MSDS sheets explained. Explain how to read a MSDS. Protective gear for safe handling available. Training provided before assignment where new hazardous materials are used. Personal protection information given to handle the chemical:

The type and level of respiratory protection. Personal protective equipment. Special cautions on handling.

It is a major objective of Occupational Safety Professionals and Managers to provide employees with the necessary information concerning health and physical hazards of the materials used in the operation of their business.

SUMMARY OF THE RIGHT-TO-KNOW LAW

All employers with one or more employees are required to comply with this law. This law requires employers to:

1. Evaluate their workplace for the existence of hazardous substances and harmful physical agents. The definition of a hazardous substance and a harmful physical agent are given below.

Hazardous Substances - Basically, if you’re using a material that has a Material Safety Data Sheet provided with it, that substance is likely hazardous.

Physical agents - These physical agents require an evaluation; heat noise, ionizing radiation (i.e., x-rays) and non-ionizing radiation (i.e., lasers).

Hazard Communication 241

2. Train employees who are routinely exposed to hazardous substances or harmful physical agents while at work. Employee training must be given before the worker is assigned to an area where a different hazard exist. All new employees must also be properly trained.

3. Have available written information on hazardous substances workers are exposed to. The information must be specific for each hazardous material including effects of over-exposure, and the proper conditions for their use. The Material Safety Data Sheets contain this information.

4. Provide a way for employees to obtain copies of material safety data sheets upon request.

5. Make sure that all containers of hazardous substances are properly labeled. Required labeling includes the name of the hazardous substance, the hazard warnings (such as a flammable sticker for an ignitable solvent) and the name and address of the chemical manufacturer or importer.

LISTING OF HAZARDOUS CHEMICALS

Whenever possible, MSDSs describing similar chemicals but different brand names should be consolidated to reduce the management of the information maintained. To obtain Material Safety Data Sheets from suppliers of hazardous materials the following is used:

0 Letter requesting information. 0 Files of MSDS are available to employees, local jurisdictional

authorities, and health or medical officers as required by the regulations.

0 Purchase requisitions note that proper labels are to be either attached to all containers received, or sent with the order and that the supplier should certify that all MSDS and labels comply with the standard.


LABELING REQUIREMENTS

All shipping containers holding a hazardous substance must be marked with:

0 The identity of the hazardous substances. 0 The appropriate hazard warnings (examples: flammable or may

cause skin burns). 0 The name and address of the chemical manufacturer.

Process containers (small cans or jugs, etc. used at the work area) need to be labeled with the identity of the hazardous substance. Immediate use containers are not required to be labeled, provided the hazardous material is used up during the 8-hour work shift.

If one of the four physical agents (noise, heat, ionizing or non- ionizing radiation) is generated by equipment in the work area, at or above the OSHA permissible exposure limit, the equipment must be labeled or signs must be posted.

TRAINING WORKERS

All employees in regulated areas of a facility must receive training. Records must be maintained on each employee’s training schedule.

A proper training program should cover:

The requirements of the hazard communication program. The operations in the work area where hazardous materials are present. The location of the MSDS. How to read and understand the MSDS. How workers can detect a spill of hazardous materials in the work area. How workers can protect themselves from the hazards - Le., work practices, personal protective equipment and emergency procedures. Respirator fitting, use, and care.


0 New employee’s to a work area where hazardous materials are used must receive the above training elements, and any other specific health and safety training as required to meet their job in a safe and efficient manner.

Elements of Right-To-Know Training

Initial education and training programs must be given to all new and reassigned employees within 30 days of employment or reassignment. Training should cover:

I. A general overview of occupational health, including an explanation of A. Chemical Hazard Identification - Recognition

1 . Written information - labels, MSDS’s, Hazardous

2. Form of the substance Substance Fact Sheets, Right-To-Know Survey

a. solids e. vapors b. dusts f. gases c. fumes g. mists d. liquids

3. Use of your senses - odors, sight, sounds, recurring symptoms

1 . Amount and concentration of the substance (dose) 2. Length of exposure 3. Route of exposure

a. ingestion b. inhalation c. absorption

B. Evaluation of Hazard Seriousness

4. Synergism 5. Individual sensitivity

C. Types of Damage Caused by Hazardous Chemicals 1. Acute vs. chronic effects 2. Adverse health effects

a. Asphyxiants e. Mutagens b. Carcinogens f. Poisons c. Corrosives g. Teratogens d. Irritants h. Sensitizers/Allergens


3. Safety Hazards a. Combustibles d. Oxidizers b. Explosives e. Reactives c. Flammables f. Radioactives

D. Measurement and Evaluation of Exposure 1. Sampling procedures

a. grab c. bulk b. continuous d. wipe

a. TWA (time-weighted average) b. Ceiling Value c. PEL (permissible exposure limit) d. REL (recommended exposure limit) e. TLV (threshold limit value)

E. Prevention and Control of Exposure 1. Substitution 2. Isolation

2 . Exposure limits

a. Isolate by time b. Isolate by place c. Use equipment that workers can operate from

another room to avoid direct contact d. Enclose the process

1. glove boxes 2. splash guards

3. Ventilation a. General dilution ventilation b. Local exhaust ventilation (LEV)

4. Good housekeeping methods 5. Administrative measures

a. Job rotation b. Frequent breaks

6 . Personal protective equipment (PPE) 11. Provisions of the Right-To-Know Act

A. Employees rights and employer responsibility 1. The purpose of the RTK Survey and the chemicals listed

on the Survey


2. How to use RTK labeling and the employer's obligation to label containers

3. The purpose and use of Material Safety Data Sheets (MSDS) and Hazardous Substance Fact Sheets (HSFS)

4. The RTK Central File and the employers obligation to maintain it, its location, the right to obtain MSDSs, HSFSs, and the RTK Survey, and the method to obtain this information

5. An employee's limited right to refuse to work with a substance.

LABELS AND LABELING

Every container must bear a label indicating the chemical name and Chemical Abstracts Service (CAS) number of the five most predominant chemical substances in the container whether they are hazardous or non- hazardous. This is known as "universal labeling. " Any hazardous substances below the top five must also be labeled except if they are below 1 % (or below 0.1 % for carcinogens, mutagens, and teratogens). The RTK Hazardous Substance List provides a list of synonyms of chemical names which may also be used on the label. For chemicals not listed on the Right-To-Know Hazardous Substance List, any chemical name recognized by the Chemical Abstracts Service may be used.

Example:

NAME CAS #

HYDROQUINONE 123-31-9 PARAF'ORMALDEHYDE 30525-69-4 TRIETHYLENE GYCOL 112-27-6 WATER 7732-18-6


If none of the contents of the container are known or if only some of the contents are known, the container must bear a label stating either "Contents Unknown" or "Contents Partially Unknown" and a good faith effort must be made to find out the ingredients. In the latter case, whatever chemicals are known must be listed on the label.

Examples:

CONTENTS UNKNOWN NAME CAS # HYDROQUINONE 123-31-9 PARAFORMALDEHYDE 30525-69-4

A good faith effort must involve at least two contracts by letter and/or a documented phone call to the product's manufacturer or supplier. If an employer finds out any additional ingredients of a product, the employer has up to 5 working days to add these ingredients to the existing label on the container.

Trade Secrets and Labels

You may find that one or more of the ingredients is considered a trade secret. In this case, the manufacturer may provide you with a Trade Secret Registry Number (TSRN) to be used in place of the specific chemical substance name and CAS number on the label. A trade secret substance may be hazardous or non-hazardous but should never be a substance that is carcinogen, mutagen, or teratogen. An acceptable label would appear as follows:

NAME CAS # I Hydroquinone 123-3 1-9 Paraformaldehyde 30525-89-4 Water 7732-83-7 Sodium Sulfite 7757-83-7 TSRN 43891OOO-5002~ TSRN 80000001-5103~

I


What the Label Should Look Like

The label must be a sign, emblem, sticker or marker of durable nature affixed to or stenciled onto a container. The printing on these labels must be easy to read, not obscured, and prominently displayed on the container.

When Must Containers Be Labeled?

Labels must be affixed to new containers that are opened or within five working days of the container's arrival at the facility, whichever is sooner. If there are several containers packed within properly labeled larger containers, they do not need to be labeled until they are removed from the larger container. Be sure to check new containers to see if the manufacturer or vendor has already labeled the container. Self labeling is not allowed!

Special Circumstances

Containers which are two ounces or smaller may be labeled by a code or number system if it allows ready access to the names and CAS numbers or the trade secret registry numbers.

If the containers are on a skid and it is not possible to get to all of the containers without breaking down the skid, only those containers on the outside face of the skid and within reach need to be labeled.

If the skid is shrink-wrapped, labels must be placed on the shrink- wrap on all four sides of the skid. If unlabeled containers are removed from the skid, they must be labeled immediately.

For petroleum products, you can have the following names (without CAS #'s) on labels:

1. For motor oil, "motor oil. "

2. For automatic transmission fluid, "automatic transmission fluid. "

3. For brake fluid, "brake fluid."

4. For heating oil and diesel fuel, "fuel oil."


5 . For grease, gear oil, hydraulic oil, cutting oil, lubricating oil, and other petroleum oil-based products, the name should be combined with Petroleum Oil such as "Petroleum Oil (Grease). If

If a product is not petroleum-oil based, then the words "Petroleum Oil" should not be included on the label. A CAS number would only be required on the label if the product has an assigned CAS number. Also, if a petroleum product contains a hazardous substance listed on a state's Right-To-Know Hazardous Substance List, as an additive, that hazardous substance must be added to the label (with its CAS number).

If a subcontractor stores hazardous substances at a public employer's facility, the public employer must insure that these containers are properly labeled.

Valves, outlets, sample connections, drains and vents of pipeline systems must be labeled if these points allow the release of a substance into the environment:

1. At least once during a twenty-four hour period.

2. Once a month when making repairs or conducting maintenance activities.

Containers That Do Not Need to be Labeled

The following substances and containers do not need to be labeled:

Any solid article (a Manufactured item formed to its final shape or design) which is not used in a manner which changes its physical form, and which does not pose any acute or chronic health hazards.

Examples:

Ammunition Bars of soap Chalk, pastels and charcoal Crayons Flashlight batteries Glue sticks Grinding wheels

Pills and capsules Photocopier toners and developers

Polaroid film Sorbent sample tubes Thermometers Pens and pencils

in self-contained cartridges


Consumer products if they are:

a. Packaged for consumer use (same size and concentration). b. Not used more frequently than a consumer would use it at

home. c. Stored in normal consumer quantities (e.g., less than a case).

Any fuel in a motor vehicle.

Containers which are removed from a larger, properly labeled container, are only used by the employee who performs the removal, and are used up by that employee during a workshift.

Process containers. These include:

a. Containers whose contents are changed at least once per shift.

b. Test tubes, beakers, flasks, or other containers which are regularly used and reused.

c. Containers of ten gallons or less into which a worker has poured a substance from a labeled container and which is used by the employee who performed the transfer.

d. Containers on which labels would be obscured by heat, spillage, or other factors.

Containers of bottled water intended for drinking purposes, drinking fountains, sinks, toilets, showers, safety showers, eye washes, soap dispensing units in bathrooms, fire hydrants, fire hose racks, sprinkler heads, and fire extinguishers.

Products and Substances That Do Not Require Additional Labeling

Containers that are labeled according to certain Federal and State laws do not need a Right-To-Know label. However, they still have to be reported on the Right-To-Know Survey if they are hazardous. These include:


Containers displaying labels pursuant to the Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA). These products display the phrase "EPA Reg No. #." For example, dis- infectants, pesticides, herbicides, and fungicides are all labeled according to FIFRA.

Example of a FIFRA Label

Single substance containers labeled with specific chemical substance shipping names and their four-digit UN or NA identification numbers from the U. S . Department of Transportation's (DOT) Hazardous Materials Table, 49 CFR Part 172.101.

In warehouses, storage and transfer facilities only, where product containers are not opened, generic DOT shipping names displayed on shipping containers are acceptable. (N.J.A.C. 8:59.l(d))

Examples:


Containers containing hazardous waste material that are labeled pursuant to the Federal Resource Conservation and Recovery Act (RCRA).

Examples:

Containers which are labeled pursuant to the Federal Food, Drug, and Cosmetic Act (FDCA). For example, hand soaps are usually considered drugs or cosmetics, and rubbing alcohol is considered a drug.

Containers containing radioactive materials regulated by the Atomic Energy Act (AEA) and the Nuclear Regulatory Commission (NRC).

Example:

UNDERSTANDING HAZARDOUS SUBSTANCE FACT SHEETS

Some states, like New Jersey, have developed Hazardous Substance Fact Sheets (HSFS). These information sheets are developed by the Department of Health for each Hazardous Substance on the state’s Right- To-Know Hazardous Substance List. Specific information found on an HSFS includes:


1 . The chemical name, the Chemical Abstracts Service number, the trade name. and common names of the hazardous substance.

2. A reference to all relevant information on the hazardous substance from the most recent edition of the National Institute for Occupational Safety and Health’s Registry of Toxic Effects of Chemical Substances.

3. The hazardous substance’s solubility in water, vapor pressure at standard conditions of temperature and pressure, and flashpoint.

4. The hazard posed by the hazardous substance, including its toxicity, carcinogenicity, mutagenicity, teratogenicity, flammability, explosiveness, corrosivity, and reactivity, including specific information on its reactivity with water.

5. A description of the acute and chronic health effects of exposure, including the medical conditions that might be aggravated by exposure, and any permissible exposure limits established by the OSHA.

6 . The potential routes and symptoms of exposure to the hazardous substance.

7. The proper precautions, practices, necessary personal protective equipment, recommended engineering controls, and any other necessary and appropriate measure for the safe handling of the hazardous substance, including specific information on how to extinguish or control a fire that involves the hazardous substance.

8. Emergency and first aid procedures for spills, fires, potential explosions, and accidental or unplanned emissions.

In essence, the HSFS is a state version of an MSDS, however, it is not product oriented; rather, it is ingredient oriented. As an example, if we had a product containing Benzene, Ethylene, Toluene and Xylene (BETX), the material’s MSDS would describe the composition of these ingredients and overall hazards associated with the product as a mixture.


In contrast, we would find that there is a separate HSFS for each individual ingredient.

OSHA 200 LOG OF INJURIES AND ILLNESSES

OSHA requires private employers to maintain the 200 Log, a record of work-related illnesses and injuries, and to make the records available to employees, former employees, or employee representatives upon request. Each February the summary page of the previous year’s 200 Log must be posted in the workplace for employees to read.

The 200 Log has separate sections for injuries and illnesses. For each employee injured on the job who has either lost time from work or received medical treatment, the following information must be recorded:

Case or File Number Date of Injury or Onset of Illness Employee’s Name Occupation Department Description of Injury or Illness Number of Days Away from Work Number of Days of Restricted Work Activity Date of Death, for Fatalities

These records form a resource for analyzing trends or patterns in the types of injuries or illnesses occurring and the occupations and departments in which they are occurring. Accurate, up-to-date records are necessary if they are to be useful to employers and employees.

In addition to the 200 Log, employers must maintain a Supplementaw Record of Iniurv or Illness giving more details on each recorded case.

FORMS OF THE CHEMICAL

Materials can take many forms. The form can impact on your exposure risk and the type of protection.


Substances you are exposed to can be in the following forms:

Solids - powders, granular materials that contact directly on your skin and clothing. If you don’t wash after handling, you could ingest the chemical. Dusts - also powdery materials or particulates, but these are airborne. You can inhale these. Some may be simple irritants, but others, like asbestos can be harmful. Fumes - very tiny particles, often formed by vapors that condense onto particulates. They can be micron size (1 micron = 0.0001 inch). An example are vapors produced during welding. These can asphyxiate or even poison you. Liquids - you can spill these onto your skin or clothing, or if the material is flammable improper handling or transfer can lead to spontaneous combustion or exposure to vapors which might asphyxiate or poison you. Examples are caustics or flammable liquids like gasoline. Vapors - all liquids (and some solids) have vapor pressure. This means that they are volatile. The higher the vapor pressure, the greater the risk of inhalation exposure. Workers should always read over the product’s MSDS when handling materials. Gases - your risk is inhalation exposure. Many gases are colorless and odorless. You will never know that you are being exposed to them. Many gases and vapors you can’t smell until you are exposed to them above the safe exposure level (the TLV). There are also gases like hydrogen sulfide that deaden your sense of smell. You could be in a cloud of 200-300 ppm of hydrogen sulfide, which is lethal, and not know it. Mists - these are formed by vapors condensing onto dust particles. An example is hydrogen sulfide, high humidity and dust. In this case we can form acid rain or sulfuric acid mist which you can breathe and cause lung or upper respiratory tract damage.

SIGNS AND SYMPTOMS OF OCCUPATIONAL HAZARDS

Eye irritation - Be aware of abnormal eye irritation, especially entering the work area.


Odors - Detecting an odor may indicate exposure to a dangerous amount of some workplace substance. However, don’t think all is well because you don’t smell anything. Some substances cannot be smelled, even when present in levels high enough to cause serious health problems. If you initially smell something but after a while don’t notice it, your nose may have lost its ability to smell the substance. It may not mean the substance is gone.

Visible dust clouds or fumes -Visible clouds of dust or fumes usually indicate a nonexistent or poorly functioning ventilation system. Dust and fumes may irritate the nose, throat, and lungs. Many of these materials also can cause serious lung diseases and/or enter the body through the lungs. Visible particles quickly settle to the floor, but the particles which enter the lungs are invisible and may be suspended in the air for many hours or days.

Noise - If the noise in your work area is so loud that you have to yell to be heard at a normal conversation distance, you may suffer hearing damage, plus other health problems.

Chemical spills - Chemical spills may indicate careless handling procedures. Spills can cause injuries and illnesses.

Persistent symptoms or illnesses - Recurring symptoms or illnesses in a work area may indicate a job-related health problem. When a number of people in a work area have the same problems with relative frequency, this may indicate a work-related illness and should be investigated.

Sight - Danger signals you might see include warning labels and signs, red or yellow lights, red or yellow flags, smoke, steam, fences or barricades, leaking or bulging containers, puddles, or dripping liquids.

Sound - Be aware of bells, gongs, whistles, and sirens. When you are in a place where there is a potential for exposure to hazardous material, listen for any warning signals and be ready to act. (Ask about your facility’s warning signals).


Common Methods Used to Recognize, Measure, Evaluate, and Control Employee Exposure to Hazardous Substances

1 . Use of Senses to Identify a Hazard - Using your senses, including smell, sight, and hearing, is one way to identify a hazard. Being observant may help to identify a hazard. A cloud in the air or wetness may indicate a leak or spill. Your senses may alert you to a hazard. Stinging eyes, itchy skin, dizziness, or nausea may indicate exposure to a hazardous substance, but lack of signs does not mean there is not hazard. For example, carbon monoxide (CO) is odorless, colorless, and tasteless but deadly at high concentrations.

It is sometimes possible to determine that a dangerous amount of a substance is present in the air based on an odor. However, anyone working in a bad smelling environment knows how easy it is to get used to an odor. For this reason smell is not a reliable way to detect the presence of a hazardous substance. When an employee states, "That odor used to bother me but I don't notice it any more" it probably means that their sense of smell is impaired or "fatigued." Sometimes the loss of ability to smell is temporary, and sometimes it is permanent.

2. Information About the Process - Knowing the process is one way to identify a hazard. Some exposures are associated with specific processes such as grinding, pouring, dumping, heating, mixing, etc. Knowing exactly what the process entails is an important step to being able to recognize the hazards associated with it.

3. Other Information Which May Help Identify a Hazard -

Labels: To find out information about the health effects of a hazardous substance, it is necessary to know the chemical name and/or the Chemical Abstracts Service number (CAS #) of the substance. Right-To-Know Labels containing the chemical name and (CAS #) for all containers are required.

Hazardous Substance Fact Sheets: The Fact Sheets distributed by the Department of Health cover important health and safety


information for numerous hazardous substances. This information helps indicate the presence of hazardous substances and should be used to recognize locations in the facility where exposure to hazardous substances occurs.

Material Safety Data Sheets: MSDSs are health and safety sheets developed by manufacturers for their products. MSDSs, along with the Fact Sheets, will provide the health and safety information necessary to address a health or safety problem knowledgeably.

Industrial Hygiene Sampling Results: A company may use an industrial hygienist to measure levels of specific substances in the work environment. Results of industrial hygiene monitoring are normally maintained at the company facility. This information will help indicate the presence of hazardous substance and should be used to recognize locations in the facility where exposure to hazardous substances occurs.

EVALUATION OF HAZARD SERIOUSNESS

This section covers the following:

1. Amount and concentration of the substance (dose) 2. Length of exposure 3. Routes of exposure 4. Synergism 5. Individual Sensitivity

The purpose of this section is to provide basic information and an outline of topics that should be covered in a hazard communication program. The objectives of such a program should be in part to:

0 Define toxicology. 0 Define the dose-response relationship. 0 Define LDSo, LCs0, relative toxicity, odor threshold, threshold

limit values - time weighted average, threshold limit values - short-term exposure limit, threshold limit values - ceiling, skin


notation, immediately dangerous to life and health, additive and synergistic health effects, and biological variance responses. Identify the categories of chemical exposures. Define the modes of action.

0 Define the routes of entry of chemicals into the human body.

TOXICOLOGY

Toxicology is the study of the nature and actions of poisons.

Dose-Response Relationships

The toxic potency of a chemical is defined by the relationship between the Dose (the amount over time) of the chemical and the Resuonse that is produced in a biological system. All substances are potentially toxic depending on the amount of chemical and the length of time you are subjected to that amount. To assess the toxicity of a chemical, the following terms are used:.

LD,--refers to the dose (the amount per unit of body weight) of a chemical at which 50 percent of a test animal population dies within a period of time by administering chemicals through ingestion.

LC,--refers to the concentration (the amount per unit of air) of a chemical in air at which 50 percent of a test animal population dies within a period of time by exposure through inhalation.

Relative Toxicity--is the term used to refer to a relative toxicity rating as exemplified by Table 1.

Other terms that are important to assessing the toxicity of a chemical or substance are:

Odor Threshold--The minimum concentration at which the odor quality (description of smell) of the compound can be described.

Threshold Limit Value (TLV)--The airborne concentration of a chemical with specific conditions (time weighted average, short-term


TABLE 1

Inhalation Toxicity Rating

1.

2.

3.

4.

5.

6.

~~ ~

Descriptive Term

Extremely Toxic

Highly Toxic

Moderately Toxic

Slightly Toxic

Practically Non- Toxic

Relatively Harmless

LD, - wtlkg Single Oral Dose -

Rats

1 mg OR LESS

1 - 50 mg

50 - 500 mg

0.5 - 5 g

5 - 1 5 g

15 g OR MORE

4 Hr. LC, - PPm

Rats

< 10

10- 100

100-1,Ooo

1,Ooo - 10,Ooo

10,Ooo - 100,Ooo

> 100,Ooo

exposure limit or ceiling value) under which it is believed that nearly all workers may be exposed day after day without experiencing adverse effects. There are several quantifying levels of the TLV. These are:

1. Time Weighted Average (TWA)--which represents an average TLV over 8 hours of continuous exposure.

2 . Short-Term Exposure Limit (STEL)--a 5-minute, 10-minute or 15-minute continuous TLV.

3. Ceiling--an instantaneous TLV that should not be exceeded.

4. "Skin" indicates harmful effects through skin absorption and one should wear gloves or personal protective equipment.

Immediately Dangerous to Life and Health (IDLH)--for the purpose of respirator selection represents a maximum concentration from which, in the event of respirator failure, one could escape within 30 minutes without experiencing any escape-impairing or irreversible health effects. Conceptually, however, IDLH may also apply to a fire hazard condition, where the environment is close to the lower explosion limit of the chemical.


The most common Routes of Entry for overexposure to chemicals are:

0 Inhalation 1. Most common route 2. Efficient route 3. Causes respiratory tract injury 4. Can lead to systemic (body wide) effects Skin Absorption 1 . Directly through skin but cuts or scrapes increase absorption

rate 2. Causes systemic effects 3. Local irritation or dermatitis involves skin contact only (not

absorption)

1. Food and drinks become contaminated in a hazardous waste work area and then eaten

2. Poor hygiene practices - not washing hands and face before eating or smoking

3. Affects gastrointestinal tracts, stomach, intestines and other organs

0 Others

Ingestion

Biological responses to overexposure to chemicals are not rigorous, but in fact show a Gaussian or normal type of distribution. In other words, toxicology is more of a science dealing with probabilities rather than engineering principles. Responses to chemicals vary depending on such parameters as the route of entry, the rate of chemical entry into the body, the person’s age, state of health, sex, hereditary conditions, and even historical exposures to the chemical. For this reason, safe exposure standards such as TLVs, PELS should never really be considered absolute; rather they should be interpreted as levels of exposure where it is believed that the majority of the exposed population will not suffer adverse effects.

Chemical Safety for General Service Workers

General service employees use a variety of chemicals or chemical products as part of their daily routines. Many of these substances are potentially hazardous. The actual risk to workers, using a particular


chemical, depends not only on the chemical but on the way it is handled. With the proper handling, highly toxic or dangerous chemicals can be used safely. However, chemicals that are not highly toxic can be extremely hazardous if handled improperly. Even our food contains small doses of chemicals that in high concentrations are harmful. For example, tiny amounts of copper and iodine are found in many foods and are essential to proper health. Yet too much of either can poison you.

Whether or not a chemical exposure results in injury depends on many factors. In addition to the dose, the outcome of exposure is determined by the way the chemical enters the body, the properties of the chemical, and the susceptibility of the person receiving the dose. Let’s look at these factors in more detail.

How do toxic substances get into our bodies? Let’s begin by talking about the primary routes of entry for toxic substances. No chemical can harm you until it has actually touched or entered your body. Chemicals can enter the body through the mouth, the lungs, the eyes, and the skin. To protect yourself, keep all chemicals, solids, liquids, and gases off your skin and away from your eyes. Avoid breathing vapors and dust. Don’t let chemicals contaminate your food. Wash your hands before eating and store and eat food away from your work area. Ingesting chemicals by accident may seem unlikely at work, but it can happen. Cigarette smoke can increase the effects of indoor air pollutants and chemical vapors. So breathing smoke while working with chemicals is especially hazardous.

The respiratory system is the most common route for gases, vapors, and small particulants to enter the body. The lungs have a very large surface area so that oxygen can get into the blood. Unfortunately, this large surface area allows other gases and vapors to enter the body as well. Aerosols, mists, dusts, fumes, fogs, and micro-organisms may be inhaled and deposited in the nose, throat, and lungs. Odors and irritants provide useful early warnings of overexposure. Chemicals, such as ammonia, are so irritating to the eyes and lungs that a person could never unknowingly receive a large dose. On the other hand, carbon monoxide and other odorless gases can be especially dangerous because they give you no warning at all when you are being poisoned. Watch for symptoms of exposure to irritating gases or vapors. These include headache, irritation of eyes, nose, and throat and increased secretion of mucus in the nose and throat. Exposure to some substances, including many common solvents, can cause narcotic effects. Symptoms include


headache, confusion, dizziness, and in extreme cases unconsciousness or collapse. If you experience these symptoms, immediately reduce your exposure by increasing ventilation, closing containers, opening windows, or leaving the area.

If your symptoms persist, get medical attention. You may need to use a respirator for protection. If you do, be sure your equipment is selected by a qualified person. Special respirators are needed to filter out chemical fumes. The use of respirators in the workplace requires a pre-examination by a physician.

The eyes are especially sensitive to chemicals. Most chemicals are irritating when splashed into the eyes and many cause painful burns or blindness. Don’t rub your eyes if a foreign substance does get into them. Instead, wash your eyes in running water for a least 15 minutes, making sure to flush the whole eye surface. Use any available source of water, such as a faucet or water fountain. It is good to know beforehand, where eyewash stations are located throughout the workplace.

Some people believe that if you have no cuts or open wounds your skin protects you from poisons. That’s not necessarily true. Several reactions can occur when a chemical comes in contact with your skin. The skin may act as an effective barrier against chemical injury or penetration. Or, the chemical may react with skin surfaces and cause local irritation, such as redness, blisters, dryness, or chemical-burns. In some people, a chemical in contact with the skin can cause an allergic or sensitivity reaction. After a person has been sensitized, even a small amount of the chemical can cause a rash or other reaction. Certain chemicals may penetrate the skin and enter the bloodstream. If your skin comes in contact with these chemicals for prolonged periods, they can build up in your system and make you ill. Therefore, you should do your best to keep the chemicals you work with away from your skin. The health of the skin and the properties of the chemicals involved affect the way chemical substances penetrate the skin. Injured or diseased skin will offer less resistance to chemicals. Learn to recognize the early symptoms of skin exposure to chemicals. Watch for dry, whitened skin or redness and swelling. Other symptoms include rash, blisters, and itching. It is extremely important to use gloves and other protective equipment to reduce the possibility of skin exposure to corrosive chemicals. Be sure to use the right kind of gloves for the chemicals you are using.


For every chemical, even the least toxic, a large enough dose causes damage to health. The dose is the amount of the chemical absorbed by the body. The dose depends on how much of the chemicals is present, as well as how long and how frequent the exposures are. When talking about chemical exposure, it’s useful to distinguish between acute and chronic toxicity. Acute toxicity is a potential for a chemical to cause harm after a single short exposure. Short exposure is commonly thought of as a single oral intake, a single contact with the skin or eyes, or a single exposure to contaminated air lasting less than a day. Harmful health effects caused by acute exposure usually appear quickly. Burns from a cleaning agent or being overcome by chemical vapors are examples of the effects of acute exposure.

Effects of acute exposure are often reversible. The effects disappear soon after the exposure ends. Any injuries usually heal rapidly and recovery is complete. Exposure to some vapors may cause throat and eye irritation, but this stops soon after the vapors are removed.

Chronic toxicity is a potential of a chemical to cause harm following repeated exposure over a period of time. The pattern of exposure is usually regular or frequent exposure over a period of weeks, months, or years. Health effects caused by chronic exposure usually takes some time to appear, and they may not be recognized until they have reached advanced stages. By this time, permanent damage may have occurred. A person who drinks alcohol every day may not show any signs of illness immediately, but long-term exposure can result in liver damage. Many, but not all chronic effects of toxic substances, are not reversible. They do not disappear once exposure stops. Cigarette smoking can lead to lung cancer, but the risk of cancer declines once the person stops smoking. Once a person has cancer, however, the disease does not go away without treatment even if the person quits smoking. Chemical substances may have a broad range of toxic effects on an organism. Many substances produce their most important effects at specific sights called target sights. One chemical might affect the kidneys, while another might affect the nervous system.

There is no definite boundary between a safe and unsafe exposure to chemicals. Stating the danger presented by a chemical to humans or other animals is complicated because within a given population individuals may respond differently to the same dose of a chemical agent. At a certain dose of a chemical some individuals show no reactions. A few react very strongly. The majority of individuals, however, fall in


the range between the two extremes. These differences in response are known as individual variation or susceptibility. The differences are often due to general health, heredity, diet, age, and sex. Let’s look at some examples. Some people are allergic to pollen or cat hair, but they can also be allergic to a chemical. Over time, exposure to some chemicals can lead to the development of an allergic skin rash or other reaction. The reaction flares up with further exposure to even small amounts of the chemical, but goes away when exposure stops. This is called sensitization. Epoxy resins and some solvents are common sensitizers. Allergic reactions are often minor, but they can be life threatening. A person who is allergic to bee stings can suffer a fatal reaction following an insect sting that most people would regard as a minor nuisance. Some medical conditions may make some people more susceptible to the effects of certain chemicals. Heart or lung disease may make a person more susceptible to respiratory hazards. While liver disease may limit the body’s ability to get rid of chemicals. The person’s life style may also be important. Smoking, drinking, and nutritional habits can alter the effects of many chemicals.

Developing fetuses are particularly sensitive to some substances. Although many people erroneously think the placenta protects the fetus from drugs and chemicals, the placenta is not a barrier to foreign compounds. It acts more like a sieve. If a pregnant woman drinks too much alcohol, her baby is likely to have fetal alcohol syndrome. The baby may be retarded and deformed. Chemical damage to a fetus is more likely during the first 12 weeks of pregnancy, which includes a period when a women may not know she is pregnant. During this time, the fetus’s organs are forming and one small error caused by chemical damage can have a very large effect. Pregnant women or women planning pregnancy should take special care to avoid contact with chemicals at work and at home. Only a very few chemicals have been shown to have reproductive effects on men. Nevertheless, it is a good idea for men to be careful when working with potentially dangerous chemicals. Men should avoid bringing chemically contaminated clothing into their homes where other family members might be exposed to it. Only you know exactly how you handle chemicals and what special circumstances affect your susceptibility to poisoning. Find out about the


health hazards of chemicals you work with so that you can better judge what protection you need.

Signs and Symptoms

The following is a list of chemical hazards by class which are common to industrial settings:

Irritants - Cause inflammation of mucous membranes with which they come in contact Examples: NH,, briefly water soluble, affects the upper

Sensitizers - Cause mild to severe reaction and the formation of antibodies upon first exposure; causes severe allergic or death upon second and subsequent exposure Examples: chromates in printing ink pigments Asphyxiants - Deprive the tissue of oxygen (displacing oxygen) 1 . Simple Asphyxiants

Examples: methene, ethane, propane, butane, pentane,

respiratory tract

nitrogen, carbon dioxide 2. Chemical Asphyxiants

Anesthetics - Depress central nervous system, primarily the brain Examples: methanol, isopropyl alcohols, toluene Hepatoxic Agents - Cause liver damage Examples: chlorinated hydrocarbons Nephrotoxic Agents - Cause kidney damage Example: cadmium Neurotoxic Agents - Produce effects on the nervous system Examples: methyl mercury, tetraethyl lead, organic phosphate

insecticide Hematopoietic Agents - Act on blood Examples: benzene, aniline Respiratory Agents - Damages lungs Examples: asbestos, silica, toluene diisocyanate (TDI) Special example: hydrogen sulfide (H2S) - paralyzes the breath-

ing apparatus and causes death

Examples: carbon monoxide, cyanides


MEASUREMENT AND EVALUATION OF EXPOSURE

Industrial Hygiene Monitoring

The purpose of industrial hygiene monitoring is to locate and identify source of exposure in the workplace so that they can be corrected, and to quantify the exposure of employees to chemicals in the air.

Air monitoring is conducted by industrial hygienists or other persons with specialized training. The hygienist first records relevant data such as the process or activity, sources of contamination and ventilation conditions. Then he or she uses special equipment to measure the levels of substances present in the workplace. Employees should be informed that they have a right to obtain monitoring results under the OSHA regulation, Access to EmDlovee and Medical Records, 29 CFR 1910.120.

Air Samples

Location of Samples - Air samples are generally collected in one of three locations:

At the breathing zone of the worker (personal sample). 0 In the general room air (area sample). 0 At the operation which is generating the hazardous substance

(area sample).

Length of Samples - Air samples are generally collected for two lengths of time. Grab samples (instantaneous) measure conditions at one moment in time and can be likened to a still photograph. They give only a picture of conditions at one place at one instant in time.

Continuous samples (range from twenty minutes to 8 - 10 hours). These are used to evaluate all day exposure by a series of continuous samples. Continuous samples may be thought of as like a motion picture since they record activity taking place in various places over a period of time. They provide an average of conditions over a period samples.


Other Sampling Methods

Bulk Samples - Bulk samples are collected from settled dust in the workplace or from drums or bags of chemicals. Their purpose is to analyze and identify the substances present. For example, bulk samples are used to analyze the percent of asbestos in insulation or dust. Usually, a substance which is greater than one percent of a bulk sample is considered a concern.

Wipe Samples - Wipe samples are used when skin absorption or ingestion is a suspected route of exposure. The purpose is to show whether skin, respirators, clothing, lunchrooms, lockers, etc., are contaminated.

It can show which surfaces are clean and which are contaminated. It can also show if some surfaces are more contaminated than others.

Sampling Devices

The general principle of sampling is to collect an amount of a contaminant onto a medium from a known quantity of air.

Air samples are collected using a small pump to suck air from the workroom. The pump is attached by tubing to a sampling device which contains the sampling medium; for example, a glass tube containing charcoal.

The sampling method used depends on the physical form of the substance:

0 Dusts - The sampling device is a filter of plastic or paper in a holder.

0 Vapors - The sampling device is a glass tube containing activated charcoal as a medium.

0 Gases - The sampling device is a bubbler containing a fluid medium to dissolve or react with the gas.

The collected samples are sent to a laboratory where the amount of the substance on the sampling medium (filter, tube, etc.) is measured.


In some cases air monitoring is conducted by using direct reading instruments such as a monitor for carbon monoxide. These instruments can measure the amount of a contaminant in the air immediately without being sent to a laboratory.

Planning Sampling

In preparing for monitoring, the following questions must be answered:

0 Where should samples be obtained? 0 Whose work area should be sampled? 0 For how long should the samples be taken? 0 How many samples are needed?

Over what period of work activity should the samples be taken? 0 How should the samples be obtained?

In answering these questions, the importance of adequate employee input cannot be overemphasized.

Sampling should be done in all the areas where employees are exposed to the chemical(s) in question. Sampling devices should be worn by employees likely to have the worst exposures. This could be on any shift, on the weekend, or during maintenance or shutdown. Only if the worst examples are measured can one be sure that all employees are protected.

LABORATORIES AND ANALYTICAL METHODS

A critical step in obtaining accurate sampling results in having samples carefully analyzed by a competent laboratory that uses accurate methods. A laboratory which is successfully participating in the NIOSH Proficiency Analytical Testing (PAT) Program should be selected. Note that not all labs are qualified to do every type of analysis.

Selection of an analytical method depends on the type of chemical to be detected. Common methods include:

0 Dusts - weighing. 0 Metals - atomic absorption. 0 Vapors - gas chromatography.


Interpretation of Industrial Hygiene Monitoring

Different types of exposure limits include:

PELs (Permissible Exposure Limits) - These are legal limits which have been established by OSHA. Recommended PELS - Also referred to as RELs (Recommended Exposure Limits) as proposed by NIOSH (National Institute for Occupational Safety and Health). Often these values are based on more recent scientific information than the legal PELs enforced by OSHA. Z V s (Threshold Limit Values) - These are exposure limits put out by a nongovernmental group, the ACGIH (American Conference of Governmental Industrial Hygienists). Many of these were adopted as legal requirements by OSHA when it started back in 1970. Revised TLVs are often based on the most recent and accurate scientific information.

For some substances, some employers have their own company exposure limits which can be more stringent than the PEL or TLV. For example, the TLV for cutting fluid mists is 5 milligrams per cubic meter (mg/m3) but the Ford Motor Company limit is 2.5 mg/m3. These may be referred to as OELs (Occupational Exposure Limits).

In some instances the PEL, recommended PEL, and TLV for a chemical are not the same, in which case it is best to use the lowest value for the exposure limit.

"Skin" Notation - When a TLV or PEL for a substance is followed by the notation "SKIN," this means that there is evidence that the substance can enter the body by absorption through the skin (including eye and mucous membrane) contact. Since a substance's TLV refers only to concentrations in the workroom air, this route of entry is not readily measured. The "SKIN" notation simply calls attention to the fact that an employee's total exposure to a substance will be increased by skin absorption unless appropriate protective measures are taken. The protective measures are obvious isolation or non-contact with the chemical, or the use of chemical protective clothing.


Units of Measurement - Exposure limits are usually expressed as either ppm (parts per million) or mg/m3 (milligrams per cubic meter) of the chemical in air as an eight-hour time weighted average (TWA), that is, as the concentration you can be exposed to for an eight-hour work day. They are intended to protect most employees from health hazards over a working lifetime.

How Exposure Limits Are Chosen - Exposure limits are based on the judgment of professionals and scientists who have looked at all the available information on the substance both from animal studies and studies of groups of people who have been exposed.

Problems With Exposure Limits - For many substances, the information we have available for choosing the exposure limit is very poor--since we do not have solid reliable information, some guesswork is necessarily involved. In fact, recommended exposure levels are often changed (and almost always to a lower level) when new information comes to light.

For many substances the recommended exposure limit is based only on preventing acute effects. Chronic effects are harder to study. Often we simply don’t have enough information to know if the substance can cause serious chronic problems at low levels of exposure. The way a particular level of a chemical affects one person may be different than the way it affects another person. Some people may be more easily affected than others. So even if the exposure limit protects most people, it may not protect people who are allergic to a substance. The reader should remember that the dose-response relationship follows a Gaussian population distribution.

TLVs regulate single substances. They do not consider what happens when several combine to produce effects far more harmful than either one produces by itself. We call these synergistic effects. Nor do they fully consider what happens when substances are changed in the body to more harmful materials.

Medical Surveillance - There are basically two types of job-related medical tests:

Disease Monitoring Tests look for evidence that an employee has developed an occupational disease. These include chest x-rays,


lung function tests, blood or urine tests for kidney or liver function, and EKG’s to check the heart.

0 Testsfor Toxic Substances in our blood, breath, urine, hair, or other part of our body. Such tests are known as biological monitoring.

Reasons for Surveillance - These tests can benefit employees in the following ways:

They can pick up health problems early, if done periodically, and allow time for correction of the hazard. They can detect change over time, to determine if health is getting worse. They establish a baseline, an initial measure of health at the beginning of employment. They are useful for studies which can compare the records of employees to determine if there is a pattern of disease in the workplace. If done periodically, they can detect the presence of dangerous chemicals in the body before actual disease is produced. If an employee has developed symptoms -- such as headache, dizziness, and fatigue -- the tests might point to the cause of the problems.

Planning the Testing - Before any medical surveillance program is undertaken, the following issues should be considered:

Medical testing is not a substitute for preventing exposure. There should be a scientific and medical basis for doing the tests. The accuracy of the tests should be reasonable. The tests should be defined to detect the effects of past and/or present exposure. Only the employees at risk from the particular hazard should be tested. Employees should be made aware of the general methods of testing, including testing equipment and normal values of the tests. Employees should be made aware of the limitations of medical testing, both the sensitivity of the tests and the conditions being tested.


Whoever performs the testing and examinations and interprets the results must be competent, preferably Board Certified in Occupational Medicine. A full report must be made to each employee about his or her medical findings. With consent of the employee, this information may be sent to a designated physician or other representatives. A report summarizing the results of all testing, without revealing identities of the employees examined, should be available to the employer and representatives of employees. The employer should not receive any individual medical results but rather the physician’s opinion on each employee’s suitability for specific types of work. Employees found unsuitable for specific work should be removed and given alternative work without any loss in wages, benefits, or seniority.

Regulations Governing Employees Access to Monitoring and Medical Records - In New Jersey, all private employees under the Federal Occupational Safety and Health Act, and all public employees under the New Jersey Public Employees Occupational Safety and Health Act (PEOSHA) Access to Medical Records Rule, have the right to obtain a copy of their complete employee medical record and exposure record. Most states have similar Right-to-Know laws, or at a minimum follow the Federal Hazard Communication Act. Employers must provide this information within 15 days of an employee’s request.

Access to medical records is also provided by rules enforced by the state boards of Medical Examiners which license physicians. Records available under these regulations include:

0 Medical histories and questionnaires. 0 Results of laboratory tests. 0 Results of medical exams. 0

0 Employee medical complaints. Medical opinions, diagnoses, and recommendations.

Originals of x-rays plus interpretation.


PREVENTION AND CONTROL OF EXPOSURE

The important concepts in prevention and the control of worker exposure can be broken down into six subject areas, namely:

1 . Substitution 2. Isolation 3. Ventilation 4. Good Housekeeping 5. Administrative Measures 6. Personal Protective Equipment

What is Substitution?

Substitution is simply replacing a more hazardous chemical or procedure with a safer one. It is one of the ways you can limit your exposure to hazardous materials. For example, if we use methylene chloride as a solvent to remove paint or clean brushes, we run the risk of inhalation exposure to a chemical that is:

-- flammable -- an asphyxiant -- a suspected carcinogen

We might want to replace this stripping solvent with something as simple as kerosene, which is a combustible (it has a much higher flashpoint!) and is not a carcinogen. Or, we may want to substitute another method to perform the paint stripping operation, such as scraping or the use of a heat gun. Other techniques or chemicals may have hazards associated with them, but we are trading off to a lower risk situation or one which could be more readily controlled. In evaluating substitution as a method of control and minimizing your exposure, you should:

0 Discuss the job with both management and workers to understand the exposure risks involved.

0 Look for safer alternatives. 0 Carefully read the labels and MSDSs of the currently used and

substitute chemicals, and compare them.


If there’s not enough information, call the manufacturer and ask for more.

What is Isolation?

Isolation involves separating a worker from the chemical or physical hazard. As an example, if the physical hazard is a loud piece of machinery that can cause hearing loss or damage, then the worker can be isolated from the danger by:

0 Enclosing the machinery in a soundproof room and having the worker perform his or her duties outside. Have the individual work in a soundproof control room or behind a sound barrier.

We can isolate workers from hazardous chemicals in similar ways. For example, if you are handling volatile chemicals where your risk involves inhalation, you may work with this material in a well-ventilated laboratory hood. Or, let’s say the room you normally work in has been freshly painted. To avoid exposure to inhalation, you should not work in the room until the paint has dried. Now you are isolated from the chemical by time -- the time it takes for the paint to dry.

Other examples of isolation include the use of glove boxes to prevent direct handling of chemicals, and splash guards to minimize chemicals from splashing onto one’s face or body.

VENTILATION

If you’re handling chemicals without the use of a respirator, it should be done in a well-ventilated area. There are two general types of ventilation:

General Dilution Ventilation (GDV). 0 Local Exhaust Ventilation (LEV).

Ventilation is a popular method of reducing employee exposures to airborne contaminants. It is also useful in preventing the accumulation of flammable or explosive concentrations of gases, vapors or dusts. If


process modifications or other controls do not lower contaminated levels to acceptable concentration, ventilation is often a good choice.

Dilution Ventilation - Dilution occurs when contaminants released into the workroom mix with air flowing through the room. Either natural or mechanically-induced air movement can be used to dilute contaminants.

Dilution ventilation is used in situations meeting these criteria:

Small quantities of contaminants released into the workroom at fairly uniform rates. Sufficient distance from the worker (or source of ignition for fire/explosion hazards to the contaminant source to allow dilution to safe levels. Contaminants of low toxicity or fire hazard. No air cleaning device needed to collect contaminants before the exhaust air is discharged into the community environment. No corrosion or other problems from the diluted contaminants in the workroom air.

The major disadvantages of dilution ventilation are that large volumes of dilution air may be needed, and that employee exposures are difficult to control near the contaminant source where dilution has not yet occurred.

Dilution ventilation is also called general ventilation. However, in many industrial plants the overall heating and cooling system is referred to as the general ventilation system so the term dilution will be used for contaminant control systems to avoid confusion.

Local Exhaust Ventilation - Local exhaust systems capture or contain contaminants at their source before they escape into the workroom environment. A typical system consists of one or more hoods, ducts, an air cleaner if needed and a fan. The big advantage of local exhaust systems is that they remove contaminants rather than just dilute them. Even with local exhaust some airborne contaminants may still be in the workroom air due to uncontrolled sources or less than 100 percent collection efficiency at the hoods. A second major advantage of local exhaust is that these systems require less airflow than dilution ventilation systems in the same applications. The total airflow is important for


plants that are heated or cooled since heating and air conditioning costs are an important operating expense.

Dilution, Not Removal - It is easy to picture moving through the work area in a straight path from the air inlet to exhaust fan, almost as if traveling inside an invisible duct, to whisk contaminants out of the workroom. Some of it passes through the zone of contaminant release and dilutes the contaminants to a lower concentration. The dilution continues as the material moves farther from the process until the contaminated air is removed by the exhaust fan. Depending on the location of the air inlet and exhaust fan, and the total airflow through the room, a considerable time period may elapse after the process stops before all contaminants are removed from the room. Dilution occurs from natural ventilation as well as mechanical systems that use fans or other air-moving devices.

Natural Ventilation - Natural ventilation is air movement within a work area due to wind, temperature differences between the exterior and interior of a building, or other factors where no mechanical air mover is used.

Even moderate winds can move large volumes of air through open doors or windows. A 15 mph wind blowing directly at a window with an open area of 36 ft2 can move about 25,000 ft3/min through the window if the air can escape from the building through another opening. This may be enough dilution airflow if the wind is reliable or if production can be scheduled to coincide with favorable winds as long as the building is not shielded from the wind by trees, hills or other structures. The problem is that in many parts of the country this large dilution air volume must be heated in winter, and fuel is expensive.

Air movement due to temperature differences may be more useful than motion causes by wind. Hot processes heat the surrounding air and the rising column of warm air will carry contaminants upward. Roof ventilators allow the escape of the warm air and contaminants. As long as a worker does not have to lean over the heated process and breathe the rising contaminated air, this type of natural ventilation may be adequate. A good sample of replacement air for the building is needed, especially during winter when doors and windows may be closed to minimize drafts.


Evaluating Dilution Ventilation - Deciding whether dilution ventilations is a good choice depends on several factors:

0 The air volume needed to dilute the contaminants to safe levels may be excessive if large quantities of contaminants are released.

0 Sufficient dilution must occur before workers inhale contaminated air. If employees work close to the contaminant source, the dilution airflow may have to be increased to reduce concentrations to safe levels before the air reaches the employee’s breathing zones. This can be a real problem in manual gluing or surface-coating operations where workers bend over the work and breathe solvent vapors.

0 With dilution ventilation for fire protection the dilution must occur before the contaminants reach a source of ignition. Only low fire hazard or low toxicity materials should be considered for control by dilution ventilation.

Although there is no firm toxicity classification system, the American Conference of Governmental Industrial Hygienists uses guidelines based on the Threshold Limit Values (TLVs) assigned to chemical substances as an indication of safe occupational exposure levels. Table 2 provides a summary of these guidelines.

The rate of contaminant release or evolution should be reasonably constant to avoid the need for high airflow rates to provide adequate dilution periods of peak contaminant release.

Toxicity Class TLV Range, ppm

Slightly toxic Moderately toxic Highly toxic

> 500 100 - 500 < 100


Calculating Dilution Airflow

The amount of dilution airflow required depends on the amount of contaminant released, its toxicity or flammability, the acceptable airborne concentration and the relative efficiency of the total air volume flowing through the area in diluting the contaminants. Room size is not used to calculate dilution requirement since the airflow for these systems is not based on the "number of room air changes per hour" as if often used for general comfort exhaust ventilation.

ADMINISTRATIVE MEASURES

Job Rotation vs. Frequent Breaks

Rotational Assignments is a managerial control method that can limit your exposure to chemicals. Remember, if the PEL is exceeded over an eight-hour work shift, your employer is out of compliance, and your health is at risk. By rotating your assignments, you can minimize risks. As an example, suppose you are exposed to chemical XYZ for 8 hours and your average exposure is 850 ppm over the day. If the PEL is 800 ppm, then you are at risk. Instead of having you work the full 8 hours at this concentration, suppose we limit you to a 4-hour shift at 850 ppm, and reassign you to another job where your exposure to that chemical is zero ppm for the next 4 hours. Then, your TLV is (850 + 0)/2 or 425 ppm. We are now in compliance, and you are not at risk.

It's important to know what and how much you are being exposed to, as well as the symptoms of overexposure. Review the options of rotational assignments with management and workers.

Also, frequent breaks are not only important, they are required under OSHA Standards. Over exertion can lead to heat stress or even heat stroke. Remember also that strenuous activities or continuous work loads can cause an individual to be less alert, to make mistakes, and increase their breathing patterns which can increase the dose-response relationship.


RADIATION HAZARDS

The field of radiation safety is probably the least understood by the professional with responsibilities for worker safety, or hazardous materials and waste management. Although radiation principles may be foreign to many, a review of a few of the basic principles can help to better understand the nature of radioactive materials or radiation producing devices which can be encountered in industry. One type of machine is the X-ray machine, normally in the context of a medical or dental examination. This type of equipment also has industrial applications. For example, the integrity of welds in a manufacturing process can be inspected by measuring the attenuation caused by the metal being inspected. In this case, a missed spot in a continuous weld would show up as a spot on a photographic plate or fluorescent screen simply because more X-rays have passed through the defect in the weld.

One may also encounter other sources of radiation used for a variety of purposes. Manmade or naturally occurring radioactive isotopes are used. Cobalt 60, a manmade radioactive isotope of Cobalt 59, is used to treat cancer patients using radiation therapy techniques. We are all familiar with Uranium 235 which is used to produce electricity in our nuclear power plants. Decaying radioactive isotopes emit radiation which, when absorbed, produce heat. The heat converts water to steam to generate electricity. Typically, the waste products fall into two categories: (1) high-level radioactive waste and (2) low-level radioactive waste.

There are three types of radiation with which we need to be familiar. For other types of radiation, consult an expert concerning appropriate safety measures.

Alpha radiation (CY): Alpha particles are produced when a radioactive substance such as radium decomposes to produce radon and an alpha particle. Alpha particles are double-charged helium ions. Radioactive materials which decay by only emission of alpha particles are usually not of concern, unless the material is ingested. Alpha particles can be stopped by a piece of paper and can only travel a few tenths of a centimeter in air.


Beta radiation (0): The second type of radiation is beta radiation. The beta particle is a fast moving electron produced by radioactive decay and it requires about 1000 times more mass to stop than does an alpha particle. A one MeV electron can travel 400 cm in air but only 0.5 cm in water. Therefore, water provides a good shield against beta radiation.

The third and final type of radiation which we will discuss is electromagnetic radiation, in particular X-rays and gamma rays. Both X and gamma rays are similar in properties to UV light and visible light. The wave lengths are much shorter and, therefore, the energy is much greater. More energy indicates that more damage may occur in the receiving body (yours or mine) if most of the energy is deposited. X-ray production requires an electrical source. High speed electrons are accelerated in a vacuum. They then strike a target and X-rays are emitted. Gamma rays on the other hand are produced by radioactive nuclei. A one MeV gamma ray can travel over 7000 cm in air and 10 cm in water. Lead is frequently used for shielding material.

Electromagnetic radiation (X, Y):

Activity - Radioactive materials emit radiation as they decay with time. Radioactivity is measured as the number of disintegrations per second (dps). The curie (3.7~10" dps) is used for radionuclides which decay at large dps. European countries have already switched to a new set of units which will soon come into use in the United States. The unit for activity is now the Becquerel (Bq) which is one dps.

Half-Life - One concept which we must be familiar with in working with radiation is half-life. With X-rays, when we turn off the machine the X- ray flux stops, but radioactive materials producing any of the three types of radiation discussed above decay with time. Eventually no more radiation is produced. We use the concept of half-life to describe this process. The half-life is the time required for the activity of a radioactive nuclide to decay to one half of its initial value.

Dose - The dose is the amount of energy absorbed by the receiving body. The energy which radiation imparts to the receiving body is what causes the damage, particularly in biological systems. The unit used to express the absorbed dose is the Rad. A Rad is 100 ergs absorbed in one gram of material. The Rad is being replaced by the Gray (Gy) which is Rads x loo.


Exposure - The unit used to measure exposure to X-rays or gamma rays is the roentgen. As these radiations deposit their energy in matter, the primary products are electrons. The roentgen is a measure of the charge produced as the rays pass through air. One roentgen is the amount of radiation that will produce 2.58 x lo4 coulombs in one kilogram of air.

Other Terms - Relative biological effectiveness (ME) is determined experimentally and identifies the effectiveness of certain types of radiation in causing a desired change in a biological system. The reference radiation is gamma and it is assigned RBE of unity. In comparison, the RBE of beta particles is also 1 and of alphas is 10. Alpha particles do more damage in biological systems.

Another term which the reader should be familiar with is the Roentgen Equivalent Man or rem. It is expressed as the product of the absorbed dose in rads x the W E . Most radiation safety exposures are listed in terms of the absorbed dose in rems. The International Atomic Energy Agency recommends that the maximum permissible dose be limited to 0.1 redweek. The total dosage should not exceed the number as determined by the following equation:

dose (rems) = (age in years - 18) x 5

Persons under age 18 should not be exposed to radiation! The REM will soon be replaced by the Sievert (Sv). A Sievert is equivalent to REMs x 100.

Inverse Square Law - When shielding is not available, the best protection against radiation is distance, because the intensity of the radiation decreases with distance according to the following inverse square relationship:

I = I,/D2

Where I, is the intensity of radiation measured at the source in rads and I is the intensity in rads measured at a distance D from the source. This concept is useful for estimating dosages as distances from a source increases or decreases.


Laws and Regulations - Many laws on atomic energy have been written, but the Atomic Energy Act of 1954 and its amendment, stand as the prime reference. The Atomic Energy Act created the Atomic Energy Commission. These commissions focus primarily on special nuclear materials @e., plutonium and uranium), but they are also charged with oversight responsibility for radiological health concerns. The federal government transfers responsibility for regulating to a state if the (agreement) state can develop a program that is essentially equivalent to the federal program. Many states have entered into an agreement with the NRC under Section 274b. of the Atomic Energy Act, as amended (73 Stat. 689). For example, the Tennessee counterpart of the federal law for health and safety aspects is the Radiological Health Services Act. The details of how to meet the requirements of this Act are contained in Tennessee's "State Regulations For Protection Against Radiation. " Other states have similar statutes and regulations for radiological health protection and radioactive materials management. For more information, contact your state's Radiological Health Division.

The basis for radiation protection is the minimization of the exposure to radiation of persons near the source. Exposure is limited in areas where radiation is used and is summarized in Table 3.

TABLE 3

(a) Whole body; head and trunk; blood-forming organs; lens of eyes or gonads

~~ ~~

Rems per quarter

1-114

(b) Hands and forearms; feet and ankles 18-314

(c) Skin of whole body 7-112

Other provisions permit exposure to amounts in excess of the whole body dose given above. These special circumstances should be detailed in your local state's regulations or can be found in 10 CFR Part 20.

7 PROCESS TECHNOLOGY SAFETY AND HAZARD ANALYSIS

PROCESS SAFETY INFORMATION

Employers must develop and maintain certain important information about their processes. It is this process safety information that must be communicated to employees who are involved in the processes. The information is intended to provide a foundation for identifying and understanding the hazards involved in the process.

The purpose of the process safety information (PSI) requirement is to provide an adequate data base to support the required elements of a process safety management program. PSI is needed:

0 To document formally the as-built/as-modified condition of the

0 To provide the necessary data with which to perform the required hazard analysis.

0 To provide the necessary data to support other process safety management policy, procedure and practice elements, such as standard operating procedures and emergency response and management of change procedures. To communicate information on hazardous substances to employees and others as required by state or federal regulations.

plant.

Facility mangers must compile and maintain written information that describes certain safety attributes of the substances, the processes in which they are used and the equipment within those processes (55 FR 29163(d)). This process safety information must allow company personnel to identify and understand the hazards imposed by the substances and their processes. The PSI must be communicated to

283


company employees in accordance with the U. S. Occupational Safety and Health Administration’s (OSHA) Hazard Communication Standard (29 CFR 1910.120). PSI must cover:

0 Information pertaining to hazards of the chemicals used in the process (55 FR 29163(d)(l)).

0 Information pertaining to the technology of the process (55 FR 29 163(d)(2)).

0 Information pertaining to the equipment in the process (55 FR 291 63(d)(3)).

HAZARDS OF CHEMICALS

Toxicity information--a number of toxicological ratings exist regarding hazardous chemicals. The most commonly referred values are:

LD,,/LC,: These values are determined from animal tests. LD,, (lethal dose) refers to the quantity of material given orally or through skin absorption that results in death to 50 percent of the test group. LC50 (lethal concentration) refers to the airborne concentration of material inhaled that causes death to 50 percent of the test group. LD,, and LC50 have 14-day observation periods associated with the testing.

0 Threshold Limit Value (TLV): The limits to workers of prolonged exposure. These values are established by the American Conference of Government Industrial Hygienists (ACGIH) and are derived from laboratory testing on animals, tests on humans, and/or industrial experience. TLVs are categorized in three ways:

1. TLV-Time-Weighted Average (TLV-TWA): The time- weighted average concentration to which workers can be exposed for eight hours per day (or 40 hours per week) without adverse effect.

2. TLV-Short-Term Exposure Limit (TLV-STEL): The maximum concentration to which workers can be exposed for 15 minutes without suffering intolerable irritation,

Process Technology Safety and Hazard Analysis 285

chronic or irreversible tissue change, or impairment of function.

3, TLV-Ceiling (TLV-C): The concentration that should not be exceeded even instantaneously.

Permissible Exposure Limit (PEL): The exposure limit established by the National Institute of Occupational Health and Safety (NIOSH) and codified in 29 CFR 1910.1000 of Jan. 1, 1977. PELS typically are expressed as time-weighted work shift averages, but some PELS are given as ceiling limits or time- weighted values for other than a normal work shift. Immediately Dangerous to Life or Health (IDLH): Concen- trations that do not cause adverse health effects (escape impairment or irreversible effects) for a 30-minute exposure. These values are established by the NIOSH in conjunction with OSHA.

Note that much of the toxicological information described above was derived from tests of exposure to laboratory animals. Some human exposure information is included from tests or from industry experience. However, the data varies widely because of the lack of a well-developed, consistent data base.

Toxicological data references are extensive, and not one reference is all-inclusive with respect to breadth of data or materials covered. However, some of the more commonly used references are:

Material safety data sheets (MSDS) required by OSHA’s Hazard Communication Standard (29 CFR 1910.1200(g)) and supplied by the material manufacturer or vendor. Dangerous Properties of Industrial Materials (Sax), Van Nostrand Reinhold. Threshold Limit Values and Biological Exposure Indices, published annually, American Conference of Government Industrial Hygienists (ACGIH). NIOSH/OSHA Pocket Guide to Chemical Hazards, U . S . departments of Health and Human Services and Labor. Hazardous Chemicals Desk Reference, Van Nostrand Reinhold. Perry ’s Chemical Engineer’s Handbook, McGraw-Hill. The Merck Index, Merck and Co.


Physical data--describe how the substance behaves in the environment under certain conditions. This is information needed by engineers, scientists and operators and which typically is supplied on MSDSs and can be found in other technical literature. Physical data should include the following information:

Boiling point temperature, referenced to atmospheric pressure. Freezing point temperature. Liquid specific gravity, normalized to water with the reference temperature, or the density expressed as a mass per unit volume. Vapor pressure, with the reference temperature. Vapor density, normalized to air. Solubility in water, by weight. Evaporation rate, normalized to another material, or expressed as a mass per unit time. Appearance (for example, colorless) and odor (expressed descriptively, such as "strong, " or the threshold concentration for humans).

number of technical references used by engineers and scientists from different disciplines are available to find some or all of the above data. Several of the most common references are:

MSDS for the material. Handbook of Chemistry and Physics, CRC Press. Perry 's Chemical Engineer's Handbook, McGraw-Hill. Handbook of Industrial Hazard Assessment Techniques, The World Bank. Fire Protection Handbook, National Fire Protection Association (NFPA). Dangerous Properties of Industrial Materials (Sax), Van Nostrand Reinhhold. NIOSH/OSHA Pocket Guide to Chemical Hazards, U.S. departments of Health and Human Services and Labor. The Merck Index, Merck and Co.

Reactivity data--information on how the substance reacts with various other families of materials, such as acids, bases and water. Also, information typically is provided on the stability of the material and its


incompatibility with other materials, Some references also will note whether the substance is an oxidizing agent or reducing agent and how strong or weak the substance is in these reactions. Some of the common references for reactivity data are the same as for physical data given above.

Corrosivity data--information on the substance's effect on containment materials. This usually is a metallic material, however, some hazardous substances also are incompatible, from a corrosion standpoint, with plastic or other materials. Some of the same references that provide information on physical properties and reactivity are sources of information on corrosivity . Additionally, industry codes and standards provide specific corrosion information on the use of various materials in the design of process equipment and systems. These include:

American Society of Mechanical Engineers (ASME), Boiler and Pressure Vessel Code.

0 American National Standards Institute (ANSI), Piping Code for Process Facilities, ANSI B31.3.

0 American Petroleum Institute (API), various recommended practices.

Thermal and chemical stability data--information on the fire and explosion potential of the substance. Data that typically are used to describe this potential are as follows:

0 Flammability limits: the range of concentration of a flammable gas in air where combustion can take place. Below the lower flammability limit (LFL) the mixture is too "lean" to bum and above the upper flammability limit (UFL) the mixture is too "rich" to burn. Also referred to as upper and lower explosive limit (UEL, LEL). These limits usually are expressed as a percentage by volume and defined as either tested or calculated.

0 Flashpoint: the temperature at which the vapor pressure of the substance is such as to give a concentration of the vapor in air that is the lower flammability limit. The type of test used to determine the flashpoint generally is listed with the temperature value.


Autoignition temperature: the lowest temperature at which combustion occurs in the bulk gas in a heated gas-air mixture. Autoignition temperatures (AIT) generally are determined from laboratory tests. Therefore, published values may vary widely from actual events because of the variances induced by actual industrial conditions (such as surface cleanliness, dust or other contamination of the vapor space).

Fire and explosion potential data may be found in the following common references:

MSDS €or the material. Perry 's Chemical Engineer's Handbook, McGraw-Hill. Dangerous Properties of Industrial Materials (Sax), Van Nostrand Reinhhold. Fire Protection Handbook, NFPA. NIOSH/OSHA Pocket Guide to Chemical Hazards, U.S. departments of Health and Human Services and Labor. Emergency Action Guides, Association of American Railroads- Bureau of Explosives.

Hazardous effects of inadvertent mixing--information on the accidental mixing of different materials that could foreseeably occur during operations or maintenance. A typical process facility has vessels that store materials or in which reaction or mixing is designed and intended to take place. Another typical arrangement is to have piping interconnections with appropriate valving to allow different materials to be transferred to these tanks for other purposes (for example, cleaning or flushing, purginghnerting and different produce manufacture). During certain phases of operation of the process, these other connections might have to be isolated from the tank or vessel to prevent an unwanted reaction. It is foreseeable, either because of operator error or equipment failure (such as valve leaks), that materials that are thermally, physically or chemically incompatible could mix and cause an unwanted reaction and toxic, explosive and/or flammable release. Since the number of materials, storage/reaction vessels, and piping connections to each vessel are fixed in any given facility, it is possible to analyze each potential unwanted reaction to determine its possible cause(s) and effects.


Bhopal is an example of such an event scenario, where water flowed into an underground tank containing methyl isocyanate, causing the generation of toxic gases at elevated pressures. The toxic gases subsequently were released from the plant because of other failures, however, the event occurred because of the reactivity of methyl isocyanate with water and the piping interconnections which allowed the two materials to mix inadvertently.

Material safety data sheets--these information notices are required by OSHA's Hazard Communication Standard (29 CFR 1910.1200). The standard also specifies MSDS contents. In practice, however, these documents rarely follow the same format or appearance--each chemical manufacturer or vendor is allowed to follow the format of its choosing. Additionally, it is typical that the MSDSs from different suppliers of the same substance will not contain identical data. For these reasons, it is incumbent upon the end user to review carefully the MSDSs for their materials and supplement the data supplied therein with data from other references such as those noted above for various properties and characteristics.

End users also should review carefully MSDSs for the same materials from different suppliers and combine the data from them. Conflicting data should be resolved immediately with the suppliers to ascertain which data are accurate. End users should be particularly attentive to missing data, or statements such as "unknown," "none established" or "not applicable. I' These and similar MSDS entries should be verified from another MSDS from a different supplier or from another reference source.

PROCESS TECHNOLOGY

Block flow diagram or simplified process flow diagram 0 ) - - t h e s e simplified diagrams show the major components used in the process and how they are connected. Connections to mechanical utility systems such as air, steam and cooling water also are shown in a simplified fashion.

Process chemistry--this information describes the nature of the intended chemical reactions needed to generate the products. It should include the following types of data:


Description of the feedstocks and their required amounts or flow rates. The chemical equations that describe the reactions. The chemical nature of the intermediates, final products and waste streams. Where appropriate, the necessary utility systems should be described in terms of heating rate (for example, Btu/hour supplied to a reactor); cooling rate; catalyst amount, addition rate, or consumption rate; and purginghnerting rate. This information should describe how the utilities support the chemistry of the process rather than how the utilities might provide safety functions. A clear description of the exothermic or endothermic nature of the chemical reaction(s). This information also should include the amount and rate of energy generation or consumption.

Maximum intended inventory--the maximum intended inventories for all storage tanks, reactors, drums and other vessels with either standing or variable levels must be provided. To ensure clarity, this inventory should be expressed in terms of a measured parameter, such as the output of a level detector. In this manner, the actual inventories can be compared easily and quickly to the maximum intended inventories with no conversion and little or no interpretation by plant personnel.

Safe upper and lower limits for process parameters--the normal operating ranges of key parameters must be provided such as:

0 Flow rate. 0 Pressure. 0 Temperature. 0 Level. 0 Phase. 0 Composition.

Additionally, the design values of these parameters should be described clearly for each component in the process. The design values are those that should not be exceeded during normal operations and for which engineered safeguards usually are provided.


Note that most PFDs in the process industry today show the information described in the four items above except for the process chemistry data. Most PFDs show operating flow, pressure and temperature values for each mode of operation in each major piping segment; simplified control functions; operating high and low levels in vessels and tanks; differential pressure and flow data for pumps; differential temperature data for both sides of heat exchangers; and design values of pressure and temperature for all equipment. Also, other useful process parameters such as safety relief valve (SRV)/pressure safety valve (PSV) setpoints, alarm setpoints, batch sizes and equipment dimensions often are included.

Therefore, the PFD has become a useful place to depict most of the required information pertaining to the technology of the process in one document. However, each company has its own standards for PFD format, symbology, type of data included and amount of data included.

Consequences of deviations--information describing the potential consequences to health and safety of deviating from the physical and chemical process parameters described above. This information usually is derived from the results of a formal process hazard analysis. For example, the definition of hazard and operability (HAZOP) study is to analyze specifically the possible deviations from the design intent in a facility using the process parameters (such as flow, pressure, temperature and reaction rate) as a basis for examination. Several techniques exist to perform a process hazard analysis:

0 HAZOPstudy. 0 Failure mode and effects analysis (FMEA).

Fault tree analysis (FTA). 0 What-if study. 0 Checklist review. 0 What-if/checklist review.

Most of the techniques listed above involve the use of a multidisciplinary team of knowledgeable personnel to "brainstorm" the possible deviations in an organized, documented fashion. Identifying the potential hazards in this way helps ensure completeness and also provides


a documented set of results that can be used to aid in both the reduction and communication of risk.

PROCESS EQUIPMENT

Materials of construction--information that shows which materials were used and why the particular materials were chosen. Selection of construction materials generally is by reference to a particular code or standard that specifies use of a particular material for a given type of service.

Electrical area classification--information defined by NFPA that classifies each area of the facility with respect to its potential for causing an electrically generated fire. The classifications are based on the flammable materials located within the area and establish certain design criteria with respect to the electrical equipment located in the same area. For example, electrical motors located in the same enclosed space as equipment containing hydrogen would have to be designed to be explosion-proof in accordance with NFPA criteria. The electrical area classifications usually are shown on a plot plan of the facility, however, the same information is sometimes shown using notes on piping and instrumentation diagrams (P&IDs).

Relief system design and design basis--information that provides the rational for providing safety relief valves (SRVs) in certain locations, the selection of the size of the relief valve, the establishment of the SRV setpoints, and the criteria to be used in designing the inlet and discharge piping of the SRV. This information usually is found in a report that includes or at least summarizes the calculations performed to specify the foregoing data. The results of the calculations are shown on the P&IDs in the form of SRV location, size, setpoint and piping arrangements.

Ventilation system design--information generally shown in the same manner as any other mechanical system, that is on a PFD and P&ID. Other design data such as the air flow calculations, psychometric calculations and equipment sizing calculations, generally are found in design reports or other backup documents.


Design codes--information that references the codes and standards used to form the design basis of the process. This is usually a combination of industry standards and company-specific design guidelines. A partial list of some of the organizations that have established design codes and standards is given in Table 1.

The codes and standards that are used most often are those pertaining to equipment design ratings, system layout, provision of certain safety requirements and fire protection. Therefore, the following listing shows the most frequently used standards and how they are applied:

ANSI: piping/valves/fittings/flanges and equipment design criteria, including selection of materials; standards for engineering drawings. ASTM: standard testing methods and acceptable test results; definition of metallic and non-metallic materials. NFPA: electrical area classifications and requirements; fire protection design standards. ASME: Boiler and Pressure Vessel Code; welding materials and welder qualifications; NDT requirements and standards; ferrous and nonferrous material specifications. IEEEASA: design and application specifications for electrical and electronic equipment; failure rate data. API: recommended practices governing the design of hydrocarbon systems and facilities, including safety systems; process hazards management guidelines for petrochemical facilities.

The organizations listed above provide design and operating criteria for specific substances or types of equipment, or issue standards and regulations regarding the safe operation of various types of facilities. The documentation of which codes and standards were used in the design of the process can be found in a variety of sources: PFDs, P&IDs, design reports for each system or component, the purchase specifications issued to equipment manufacturers and vendors, vendor catalogs, and design calculations for each system or component. Sometimes this information is included by the manufacturer on equipment nameplates.

If the code or standard is obsolete or superseded, the company must verify that the system or component is being operated and maintained in a safe manner and that the design still represents safe practice. This may require additional engineering study to confirm.


~ TABLE 1

I ORGANIZATIONS WITH DESIGN CODES AND STANDARDS

American National Standards Institute (ANSI) American Society for Testing and Materials (ASTM) National Fire Protection Association (NFPA) American Institute of Chemical Engineers (AIChE) American Society of Mechanical Engineers (ASME) Institute of Electrical and Electronic Engineers (IEEE) Instrument Society of America (ISA) American Gas Association (AGA) American Petroleum Institute (API) National Association of Corrosion Engineers (NACE) Chlorine Institute Compressed Gas Association (CGA) Manufacturing Chemists Association (MGA) Tubular Exchangers Manufacturers Association (TEMA) American Insurance Services (ASI) Bureau of Mines U. S. Coast Guard/Department of Transportation Office of Hazardous MaterialdDepartment of Transportation Environmental Protection Agency (EPA)

1 Occupational Health and Safety Administration (OSHA) , National Institute for Occupational Safety and Health/Department of Labor

Underwriter’s Laboratory (UL) Military Standards & Military Specifications/Department of Defense National Electrical Code, National Building Code, and other national,

state. or local codes

Material and energy balances (for new processes)--information must show that mass flows and heat transfers sum properly. For example, the feed stream mass flow rate to a vessel must equal the sum of its outlet stream mass flow rates. Similarly for energy, the heat contained in the inlet to a heat exchanger must equal the sum of the heat contained in the outlet plus that amount of heat removed by the cooling medium. This data usually is found in design reports and equipment design calculations. Some companies choose to show this information on the PFDs.


Safety systems--information that fully describes all of the safety systems and functions in the plant. This will cover a broad range of mechanical and electrical equipment. The following is a general list of the type of systems and equipment involved:

Control interlocks that automatically inhibit the operation of critical equipment until certain process parameters are within acceptable ranges. The interlocks either stop equipment that is running or prohibit the starting of standby or idle equipment. Systems designed to completely or partially depressurize the process. These take the form of SRVs or valves which automatically open at a predetermined setpoint to vent piping or vessels to a safe location. Systems designed to safely contain and dispose of excess hazardous material as it is generated. Examples of such systems are flares, scrubbers and holding tanks. Systems designed to suppress toxic or flammable materials as they are released, such as deluge and spray systems. Systems designed to detect toxic or flammable materials or heat as they are released. These devices are available commercially for a number of common materials, however, their reliability in an outdoor environment under varying weather conditions may be less than optimum.

number of documents are used to show and describe safety equipment. SRVs and depressuring equipment always are shown on the system P&IDs. The existence of control interlocks usually is shown on a P&ID by showing an electrical connection (typically a dashed line) between the interlocked components. Another often-used format for showing control interlocks is in a matrix format. The matrix shows all the process equipment controlled by interlocks and the control components and their setpoints that provide the interlocks. The locations of hazardous material detectors and fire protection equipment usually are shown superimposed on a plot plan of the facility.

piping and instrumentation diagram (€‘&ID)--a diagrammatic depiction of the as-built/as-modified status of the process system design showing the following information:


a

a

a

a

a a

a a

a a a

a

a

a

All components, including spares with their identification or tag numbers. All piping regardless of size, including instrument tubing, and the location and size of pipe size reducers and expanders. The nominal pipe size (NPS), iron pipe size (IPS), and pipe schedule or other data that conveys the diameter and wall thickness of the piping. Piping specification breaks, including description of the piping design classes. Flow directions. Symbols and identification of each instrument, including symbols denoting readout location, types of alarms, interlocks and trip features. All valves, including the fail position of non-manual valves. Representation of insulation and steam or heat tracing for all piping and equipment, where installed. Auxiliary equipment such as steam traps, filters and strainers. Elevations of all equipment and important nozzle connections. All auxiliary connections for venting, draining, sampling and flushing, including the size of the connection and its destination (such as sewer, flare or drain funnel). All connections to other systems, including all mechanical utility and waste treatment systems, and safety systems such as flares and depressuring systems. Depiction of all mechanical safety equipment, such as safety relief valves, including setpoints. Important notes relating to piping slope, pocketing and critical clearances.

P&IDs are one of the most important documents in a PSI data base. It is the one document that shows the most information and data about the system and is the single most vital document in performing a formal process hazard analysis. The American National Standard Institute provides guidance on standard symbology and format for the drawings, however, most companies modify that guidance to suit their own needs. For this reason, each company should publish a P&ID symbology diagram that shows how the standard engineering symbols have been modified or supplemented.


As with PFDs, the P&ID is a useful document to provide most of the other required information pertaining to the equipment in the process, including materials of construction, relief valve and equipment data, electrical classification, design codes and standards employed, and all safety functions such as interlocks, administrative controls (such as locked-open or locked-closed valves) and hazardous materials detectors. Most companies use their P&IDs to include this additional information, therefore the P&IDs become even more important documents.

RECORDKEEPING

The proposed process safety standard does not contain any explicit recordkeeping requirements for process safety information, however, the requirements certainly are stated implicitly. The regulations require that the information be maintained, with the implication that because the safety of the facility is somewhat dependent on employees having access to valid process safety information, that information must be up-to-date at all times.

Additionally, the entire process safety management program must be audited every three years and at that time the process safety information will have to be checked for validity. There is an explicit statement in the management of change section of the standard that links any change to required updates in the applicable process safety information.

To meet the recordkeeping requirement embedded in the management of change section of the standard, a document control system will have to be established. Additionally, there must be appropriate administrative controls in place that will ensure that design and construction activities are linked with record updates. In states that have actively regulated process safety management programs such as New Jersey, the following methods have proved successful:

0 Appoint a process safety-responsible manager. All proposed and completed work packages for plant modifications should be approved by the responsible manager to ensure that the recordkeeping requirements have been met.

0 Segregate from other documents process safety information records pertaining to those processes that contain the regulated substances.


Use computer-aided design (CAD) methods to maintain engineering drawings such as PFDs and P&IDs. The capital costs of the equipment must be initially borne, along with the costs of inputting the drawings the first time. However, updates become very quick and inexpensive. Also, the quality of the drawings is enhanced greatly.

0 Annually perform a documented safety review that includes verifying the P&IDs against the physical arrangement of the plant, verifying that all safety equipment shown on process safety information documents is functional, and verifying that plant operating parameters are within the ranges shown on the documents. This annual safety review is a regulatory requirement in New Jersey.

PROCESS HAZARD ANALYSIS

OSHA views the process hazard analysis as the cornerstone of any effective program for managing hazards because it is a thorough, orderly, systematic approach for identifying, evaluating and controlling processes involving highly hazardous chemicals. By performing a hazard analysis, the employer can determine where problems may occur, take corrective measures to improve the safety of the process and plan actions that would be necessary if safety controls failed.

The purpose of conducting a process hazard analysis (PHA) is to identify potential accidents or hazard scenarios that may occur and could result in undesirable consequences. In the context of OSHA’s standard, these primarily include the potential for serious injury to employees. Using a broader definition, other consequences include the potential for serious injury to off-site personnel, equipment and property damage and adverse environmental impact. The emphasis in conducting the study is on identification of potential hazards and their consequences.

The purpose of follow-up to the PHA studies is to prioritize the identified hazards and to initiate hazard control methods.

Process hazard analyses are required for any process involving a highly hazardous chemical as defined in the standard. A process includes any manufacturing or use of a highly hazardous chemical, including storage, handling or movement of the chemical. To simplify, almost any facility that has a designated hazardous chemical on-site in the quantities


named in the standard must conduct a process hazard analysis for the equipment and process in which the material is present (55 CFR 29164 (e)(l))*

Process hazard analyses are required to be conducted at intervals of least once every five years or more often as may be required under management of change requirements.

The scope of the hazard analysis must include:

The hazards of the process. 0 Engineering and administrative controls applicable to the hazards

in the process and their interrelationships. 0 Consequences of failure of these controls. 0 A consequence analysis of the effects on all workplace

employees (55 FR 29164 (e)(2)).

Types of Analyses

The regulation identifies six hazard analysis techniques as acceptable for compliance (55 FR 29164 (e)( 1)). Acceptable techniques are:

0 What-if analysis. 0 Checklists. 0 What-ifkhecklist analysis. 0 Hazard and Operability studies (HAZOP). 0 Failure mode and effects analysis (FMEA). 0 Fault tree analysis (FTA).

It is important to note that the regulation specifies the use of at least one of these techniques. Given that an analysis may identify a scenario as requiring more in-depth study, the use of a more detailed technique for follow-up study may be required.

In brief, the techniques can be described as follows:

What-if: The process is reviewed by the study team leader and questions that postulate mistakes in operation or failures of equipment are set out. For example, the question could be posed "What if the operator fails to shut down Compressor 19B?" After review of the questions by the team before starting the study, the questions are posed to the team as


a group, answered, and the consequences and preliminary recommendations are documented.

Checklist: The process is reviewed by use of a checklist that reflects previous operating experience in the process under study or a very similar process elsewhere. Deviations from appropriate answers are reviewed and appropriate actions are considered.

What-if/checkiist: A what-if analysis is conducted as described above in conjunction with use of a checklist to ensure that certain types of potential hazards or scenarios that have been identified in previous service are not overlooked.

Hazard and operability study: A hazard and operability study (HAZOP) uses a highly structured approach where process parameters such as flow and temperature are examined for deviations from their design intent. The effects of these deviations are considered to determine if potential hazards will result and preliminary recommendations for possible improvement may be proposed.

Failure mode and effects analysis: Failure mode and effects analysis (FMEA) is based on a component-by-component study of the processes where component-specific failure modes are identified. The effects of these specific failure modes are evaluated and preliminary recommendations may be proposed.

Fault tree analysis: A fault tree analysis (FTA) uses a graphical binary representation of specific events that lead to an undesired hazardous event. The connection of the specific events is made through Boolean logic thus allowing both qualitative and quantitative hazard analysis results. The technique provides results that identify potential hazards and also the sequences of events that may lead to the potential hazards. Preliminary recommendations for hazard reduction may be made with respect to equipment and procedures.

A process hazard analysis comprises three parts: preparation, conducting the hazard analysis and follow-up actions resulting from the hazard analysis.


The preparatory phase for a process hazard analysis requires the gathering of data, drawings, procedures and formation of a team. Typically, each of the acceptable methods will require up-to-date process flow diagrams, piping and instrumentation drawings, and data regarding process materials and conditions. Certain hazard analysis techniques may require additional, more detailed materials.

The hazard analysis is conducted with the clear goal of identifying potential hazards. Recommendations may be made with the intent of reducing or eliminating a potential hazard. Items of concern also may be identified fur further, more detailed study.

The follow-up phase involves evaluating the proposed recommendations to determine the appropriate course of action. The action taken may include:

0 Accepting and implementing the recommendation as made. 0 Accepting the recommendation in principle but developing an

alternative approach to meet the intent. 0 Accepting the current situation and not implementing the

recommendation. The current situation may be the course of action taken if there appears to be no technically feasible solution for the situation identified, if any recommendation considered would pose additional, more serious hazards, or if it is determined that the reduction in risk is not significant enough to justify implementing any recommendation.

Further study may be required to determine if certain hazards identified are indeed significant to exposed workplace employees. This further study initially may require a more detailed hazard analysis, possibly with a different technique from the group of approved methods, followed by a consequence analysis that will more precisely evaluate the consequences of the potential hazards.

The type of consequence analysis required will depend upon the identified potential hazards. For example, hazards involving fires may require evaluation of thermal radiation effects, where toxic releases may require the use of vapor dispersion models along with toxicology effect models.

The follow-up phase of a process hazard analysis is often an iterative process whereby the hazard analysis and/or consequence evaluations are redone as required to ensure that potential hazards are minimized.


ANALYSIS TEAMS

OSHA requires that the process hazard analysis be conducted using a team approach (55 FR 29164(e)(3)). The rationale for this is that a team with varying backgrounds will result in a more comprehensive review than would occur if the team members individually reviewed the process.

Selection of team members should be based on their ability to make a contribution to the study. Usually, this means that each member has either specific experience with the process or equipment under study or that the team member has other knowledge that will augment the team. For example, in a hazard analysis of a tank farm, a transfer operator would have practical experience of the process while an instrument specialist might be able to offer expertise on the alarms and indicators of the tanks.

Generally speaking, a combination of an individual with practical experience in operations and maintenance, along with a design or process engineer, is desirable. This provides a reasonable balance in considering existing and hypothetical hazards.

The mix of team members will depend upon the particular study. In some cases, a small group will have sufficient knowledge to consider all aspects of the process. In other cases, it may be necessary to have some team members with a specific expertise available on an as-needed basis. For example, in a process with a complex distributed computer control system, it may be necessary to have a controls engineer. Such a specialist team member may attend the study only when required.

Typical teams may include the following:

0 Team leader. 0 Safety engineer. 0 Process engineer. 0 Maintenancehspection supervisor. 0 Operations supervisor. 0 Facilities/mechanical engineer.

Team composition will depend upon the objectives of the study, the type of unit being studied, the titles used by the local facility and a variety of other considerations. Teams can be gathered from personnel within the facility or can utilize the skills of outside consultants. In any


case, it is essential to have at least one team member with operating experience from the facility.

Managers of the team members should be made aware of the study schedule. Process hazard analyses can be time consuming and often will run for many weeks. A commitment by management that the team members will be available for the duration of the study is important to ensure a good quality study.

CONDUCTING A PROCESS HAZARD ANALYSIS

There are a number of steps to be accomplished in conducting a hazard analysis. The proper attention paid to each of these steps can help ensure a successful study, one which adequately identifies potential hazards and provides meaningful recommendations that can be implemented. The steps in conducting a hazard analysis can be broken down as follows:

0 Define the study purpose, scope and objectives. 0 Gather and prepare the relevant information, including a site

survey or audit. 0 Conduct the study. 0 Document the study. 0 Review results of study. 0 Communicate study results. 0 Follow up on recommendations.

Each of these steps is essential to a successful study. Without a clear set of objectives and scope, a study will lack focus.

A lack of information and/or the insight gained from a site survey could slow the study. A predetermined and well-considered risk ranking will avoid confusion on the part of the team and allow for consistent results.

If a result of the study is to conduct further, more detailed studies, the above seven steps should be repeated for each succeeding study to reflect the changes in the scope of study as well as the more detailed focus.

An important note should be made of the need for consistency in hazard analyses. Consistency must be maintained on two levels: within


the study of each process and between various studies of different processes.

Consistency is important within a given study to ensure that all hazards that are considered are judged against a common background. Inconsistency in a study will result in some recommendations being given a higher priority than is justified, possibly resulting in greater risks to affected employees instead of decreased risk. For example, the hazard of personnel exposure to a given quantity of a highly toxic material should be weighed identically between similar types of releases wherever these might occur in the process.

Maintaining consistency within a study is a responsibility of the study team leader. It requires a constant level of vigilance to ensure that hazards are considered using the predetermined scope and objectives for the study and the risk rankings (if these are used).

Consistency between different studies is a responsibility of the facility management. If each study considers hazards according to widely different criteria, then the management of hazards for the facility as a whole will be flawed. For example, the hazard of a large-scale fire spreading throughout the facility should not be considered as a major level hazard in one study and medium level in another, assuming that the likelihoods are similar.

Therefore, it is necessary to ensure that each study has objectives and scope that are considered carefully in light of other studies already completed and upcoming studies to ensure an "apples to apples" comparison. This will further assist management by allowing more clear prioritization of recommendations from the different studies.

ANALYSIS FINDINGS

After a study has been conducted, the findings of the study must be acted upon. For this to be done systematically, a system should be established that covers the following:

Addresses each recommendation arising from the process hazard analysis. Documents the proposed remedial measures or actions undertaken with respect to the recommendations.


0 Informs employees who may be affected by the identified potential hazards and the recommendations and/or actions taken.

0 Ensures that recommendations are undertaken in a timely manner (55 FR 29164(3)(4)).

Recommendations often are made in a hazard analysis that require more detailed evaluation. Additional engineering or procedural review may determine that the recommendations are not feasible, are not desirable or that other more appropriate changes should be made. Such determinations do not invalidate the study, but must be weighed carefully in light of the identified potential hazard. All decisions regarding recommendations, and whether to implement them, should be fully documented. Such documentation should include the decision, reasons for the decision, planned implementation and final completion dates. Unnecessary questions of liability may arise if an incident occurs regarding a recommendation that was not implemented, without proper review and documentation to justify the decision.

Once action has been taken based upon the recommendations, resulting in either process modifications, new or revised procedures or both, employees who work in the facility should be properly informed of these changes. This communication may be handled as a part of the standard’s requirements for refresher and supplemental training.

Once proposed, evaluated and determined appropriate, recommendations should be implemented in a timely fashion. Recommendations that can be implemented without major shutdowns of the process should be done at the earliest opportunity. Recommendations that require a facility shutdown may need to wait until the next scheduled process turnaround. In establishing a schedule for implementation, consideration should be given to the likelihood and severity of the potential hazard. Recommendations associated with high likelihood and/or severity scenarios should be given a higher priority than recommendations associated with less-hazardous scenarios.

The regulation requires that process hazard analyses be updated and revalidated at least every five years (55 FR 29614(e)(5)). In addition, under the requirements for management of change, all or portions of a study may have to be amended and updated more frequently.

The process of updating and revalidating a study can take several forms. If no major changes in the process have been made, this effort simply may be a review of the previous study. If significant changes


have been made to the process, it may be necessary to conduct another hazard analysis study. The new analysis may use the same technique as the initial study or may use another of the approved techniques.

The team that conducts the update and revalidation study should have similar qualifications to the team that conducted the previous study. It is not required that the update team be the same team that conducted the previous study. However, if the personnel are available, there are some obvious advantages to using the previous team.

TRAINING

The standard does not set out any specific training requirements for persons involved in conducting process hazard analyses. However, while hazard analyses are not necessarily an arduous technical requirement, some training for both team leaders and team members is recommended.

The study team leader should be well-trained in the technique chosen for the study. Some techniques, such as checklists, require minimal training and experience. Other techniques, such as a fault tree analysis, require more knowledge and experience on the part of the study leader. The study leader ideally should have both training and practical experience in the method. Training may be self-taught through the use of a variety of references, by taking a course at a college or. university, or by attendance at one of a number of short courses offered by various organizations and institutions. Practical experience is best gained by participating in a number of studies as a team member.

It usually is desirable for team members to have some training and/or experience in the technique to be used. The degree of training or experience is dependant upon the technique chosen. The training may be as simple as reviewing previous checklists, to having a series of classroom seminars in hazard analysis techniques.

The training of additional personnel will depend upon the future needs of the company. If the potential exists for a number of persons to be involved in future studies, then training of a large number of personnel may be efficient. If, on the other hand, only a handful of personnel are expected to participate in a hazard analysis, then only those personnel need be trained. Some organizations take the approach that training all personnel in hazard analysis techniques produces a greater awareness of process safety.


PRESTARTUP SAFETY REVIEWS

OSHA wants to be sure that a facility addresses certain important considerations before it introduces a highly hazardous chemical into a process. Like most elements of process safety management, the pre- startup safety review section touches on several other parts of the standard, including process safety information, process hazard analyses, operating procedures, equipment tests and inspections, emergency planning, and training. All of these elements have a role to play in developing an effective pre-startup safety review program.

The intent is to ensure that new plant, or modification to existing plant, is ready to operate safely. The actions required should be done just before startup. They constitute a "final check" that all is ready to go.

The pre-startup safety review follows management of change as a logical next step. Management of change asks, "Is what you intend to do at least as safe as the rest of the plant?" Pre-startup safety review asks, "Did you build it the way you intended to?"

This effort takes principal aim at a source of problem that operations personnel encounter: construction shortcuts. In any capital project, cost control is a major consideration for those managing construction whereas safety of the operating plant is not. Thus, those in responsible control of the plant must ensure that the safety features that are supposed to be built are there and are ready to operate. This is a verification that the hazard and operability study recommendations or other recommendations are complete and not allowed to slip. This ensures that the design features for safety have been included and not cut out as a result of cost- control pressures.

Several of the actions are confirmation that other sections of the standard have been accomplished. In this way, pre-startup safety review is integrated into the whole of the management system. It is useful to confirm with the operating and maintenance personnel directly that the actions required have been done. Pre-startup safety review is not intended to be a paperwork exercise. It is necessary to "get up out of your chair and see for yourself" that all is in order.

According to the proposed standard, facilities must conduct a pre- startup safety review for:


New facilities. 0 Modified facilities for which the modification required a change

in the process safety information.

Facility managers are required to assure that:

Process construction is in accordance with design specifications. Safety, operating, maintenance and emergency procedures are in place and are adequate. Process hazard analysis recommendations have been addressed and actions required for startup have been completed. Operating procedures are in place and training of operating personnel has been completed (55 FR 29165(i)(2)).

Managers also should ensure that the appropriate sections(s) of the process safety information files have been revised or that changes have been appended.

Pre-startup safety reviews must be conducted before startup of a new process or modification of an existing one.

As a practical matter, pre-startup safety reviews will be carried out as sections of the construction are finished. In some cases, construction will be completed except for final tie-in. The time between end- construction and startup can be weeks or months, so it pays to delay training until it is needed.

OSHA includes no explicit recordkeeping requirements for pre- startup safety review, however, a facility undergoing an inspection that must "assure" the agency that it has complied with the requirements clearly would need documentation showing that such a review was conducted.

HAZARD EVALUATION TECHNIQUES

All technical endeavor carries with it some degree of hazard. In recognition of this, industry historically has devoted considerable resources to the effort of controlling hazards. While the techniques used and intensity of effort have varied widely from one organization to the next, there remains a common three-phased approach to this problem:


New facilities. 0 Modified facilities for which the modification required a change

in the process safety information.

Facility managers are required to assure that:

Process construction is in accordance with design specifications. Safety, operating, maintenance and emergency procedures are in place and are adequate. Process hazard analysis recommendations have been addressed and actions required for startup have been completed. Operating procedures are in place and training of operating personnel has been completed (55 FR 29165(i)(2)).

Managers also should ensure that the appropriate sections(s) of the process safety information files have been revised or that changes have been appended.

Pre-startup safety reviews must be conducted before startup of a new process or modification of an existing one.

As a practical matter, pre-startup safety reviews will be carried out as sections of the construction are finished. In some cases, construction will be completed except for final tie-in. The time between end- construction and startup can be weeks or months, so it pays to delay training until it is needed.

OSHA includes no explicit recordkeeping requirements for pre- startup safety review, however, a facility undergoing an inspection that must "assure" the agency that it has complied with the requirements clearly would need documentation showing that such a review was conducted.

HAZARD EVALUATION TECHNIQUES

All technical endeavor carries with it some degree of hazard. In recognition of this, industry historically has devoted considerable resources to the effort of controlling hazards. While the techniques used and intensity of effort have varied widely from one organization to the next, there remains a common three-phased approach to this problem:


Identzfi the hazards. A hazard is defined as "an inherent chemical or physical characteristic that has the potential for causing damage to people, property or the environment." Clearly, recognizing a hazard and its significance is the first and most critical step in controlling that hazard. Evaluate the hazards. The damage potential of a hazard can only be realized through some sequence of events leading to the incident of concern; these events are typically equipment failures, human errors and external factors (such as earthquakes or extreme weather conditions). Hazard evaluation attempts to identify all of these events sequences, which represent weaknesses in the design or operation of the facility. Usually an assessment of significance, involving at least a subjective judgment of the likelihood and consequences of the event sequences, is required. Control the hazards. Ideally, hazards should be eliminated whenever possible. If this elimination is not possible, the hazard severity should be reduced or its effect mitigated. Most systems will include a variety of engineered and/or administrative controls intended to achieve these aims. Based upon the knowledge gained through hazard identification and evaluation, existing controls are evaluated for adequacy and additional controls recommended as required.

This approach can be briefly summarized with four short questions:

Identify the hazards:

Evaluate the hazards:

Control the hazards:

"What can go wrong?"

"What are all the causes?" "How bad can it be?"

"What should be done about it?"

As shown in Table 2, this procedure has been referred to by a variety of names. The underlying principles, however, remain the same. The American Institute of Chemical Engineers' (AIChE) Center for Chemical Process Safety (CCPS), has established the term hazard evaluation.


TABLE 2

OTHER TERMS USED FOR 'HAZARD EVALUATION'

Hazard Assessment Process Risk Review

Hazard Study Process Risk Survey Predictive Hazard Evaluation

Process Hazard@) Analysis Risk Assessment

Process Hazard@) Review Risk Review

Process Safety Review

The Need for Hazard Evaluation

While the need for hazard evaluation generally is recognized throughout the industry, its degree of application and the results obtained have varied widely. More emphasis is being placed on hazard evaluation than ever before; some of this emphasis is self-imposed as more companies recognize that process hazard management (PHM) is not only an ethical imperative, it is a sound business practice. Some of this emphasis comes from technical and trade organizations (such as AIChE, the Chemical Manufacturers Association [CMA] and the American Petroleum Institute [API], who issue recommended guidelines and codes of practice for PHM.

Some of this emphasis has become mandatory as regulatory agencies have become more focused on the issue; in fact, chemical accident prevention regulations already are in effect in the states of Delaware, New Jersey and California. The federal government is also exerting its influence through the proposed rule: Process Safety Management of Highly Hazardous Materials (55 FR 29150, July 17, 1990) and through regulations to be promulgated by the U.S. Environmental Protection Agency (EPA) under the Clean Air Act Amendments of 1990. Each of these regulations contain requirements for facility owners and operators to implement some form of hazard evaluation program.

Table 3 lists a variety of techniques available for use in hazard evaluation. While not an exhaustive list, it includes those techniques most commonly and most effectively used in the chemical and


TABLE 3

TECHNIQUES COMMONLY USED IN HAZARD EVALUATION

Cause-Consequence Analysis Human Reliability Analysis

Checklist Analysis Preliminary Hazard Analysis

Event Tree Analysis Relative Ranking

Failure Modes and Safety Review Effects Analysis

Fault Tree Analysis What-If Analysis

Hazard and Operability Study What-If/Checklist Analysis

petrochemical industries. These techniques differ markedly in both approach and level of detail in their application. Not all of the methods are appropriate for every hazard evaluation application.

In the most general sense, hazard evaluation is an exercise in asking "what if?" questions. For example: "What if the vessel is not fabricated properly?" "What if the level transmitter fails?" or "What if the wrong set-point is entered?" Many techniques are merely tools to help analysts formulate these "what if!" questions. The techniques differ in the degree of structure with which they approach this task. Some of these techniques (for example, preliminary hazard analysis) are general and quite unstructured and, thus, are useful during the earlier stages of the process life cycle or when a "broad-brush" style of review is appropriate.

Other techniques (for example, HAZOP) are methodical in approach and are useful when a detailed review of the design or operating procedures is intended. Some techniques (such as human reliability analysis) are specific in their scope of application and should be used only by specially trained and experienced practitioners to address narrowly defined problems. Finally, a number of techniques (fault tree analysis, event tree analysis and cause-consequence analysis) do not propose "what if?" questions but, rather, use graphical models to display the cause and effect relationships identified during application of one or more of the other techniques.

Some more general guidance is provided on selecting techniques appropriate for particular sets of hazard evaluation circumstances.


However, many experienced practitioners believe that the significance of technique selection is overshadowed in importance by both the expertise (that is, training and experience) of the analyst and the make-up and motivation of the review team. In other words, a competent review team, guided by a knowledgeable, experienced analyst could accomplish a high-quality hazard evaluation using a variety of the techniques described in this section.

A number of considerations go into determining when it is appropriate to conduct the hazard evaluation. The intent is to begin shortly after project conceptualization. At this point, options are relatively freely available; substitution of less hazardous feedstocks, less hazardous reaction paths, or alternate facility locations can still be accomplished at minimal cost. Each major milestone in the project life cycle provides another opportunity to critically analyze the design of the process; clearly, however, changes can be more economically effected the earlier the need is recognized. For example, a relief valve can be less expensively replaced when it still exists only on paper.

After the process has been started up, reviews should be scheduled appropriately throughout the operating life of the facility. Hazard evaluation also can be used as part of an accident investigation. Finally, one should not overlook the potential value of the hazard evaluation procedure in determining what considerations go into the safe decommissioning of a facility. Table 4 lists the various stages of a project/process life cycle.

Hazard evaluations typically are chartered by facility management, with the responsibility for conducting a valid, thorough hazard evaluation delegated to the review team and its leader. It is imperative that this charter be understood by all involved. Obviously, the team must know what portion of the facility or process is to be reviewed. Additionally, the type or purpose of the review must be defined (for example, whether it will be a "broad-brush'' screening review or a detailed review intended to identify specific design changes required before construction). Finally, reasonable schedule and resource constraints must be negotiated between the team and facility management.

The quality of facility and process information used to support the hazard evaluation is probably the most important factor in determining the degree of success achieved in the review. The type and amount of information available will be dependent upon when during the facility's process life cycle the hazard evaluation is being conducted. Obviously,


TABLE 4

PROCESS PHASES REQUIRING HAZARD EVALUATION

Research, Detailed Engineering Plant Modification Development

Conceptual Design Construction/Start-up Incident Investigation

Pilot Plant ODeration Periodic Review Decommissioning

much more detailed information is available for a "mature" facility than for a review being conducted to support a preliminary appraisal of project feasibility. Regardless of the process phase, however, it is critically important that the information used be accurate and up-to-date. For example, a review conducted from outdated piping and instrument diagrams (P&IDs) would be a waste of the team members' time and efforts.

Team make-up may be the second most important factor determining the success of the review. A team approach often is used to ensure the diversity of both expertise and opinions as to the requirements for safe operation of the process. The team should have the assistance of someone experienced in the proper selection and application of hazard evaluation techniques. This experienced analyst may be the team leader responsible for the overall effort or may function as a facilitator present primarily to ensure that the proper hazard evaluation technique is used correctly. Assisting the team leader is a core group typically representing the production, technical support, maintenance and (in the case of a new project) the facility design functions. Other ad hoc members may join the reviews when their particular areas of expertise (for example, control systems, relief devices) are required.

Proper documentation of a hazard evaluation study results is an important aspect of any hazard evaluation. There are many reasons for this: first, results of the hazard evaluation must be succinctly communicated to the manager who chartered the study. In many cases, the hazard evaluation will result in a number of recommendations to modify either the equipment design or operating procedures, perhaps involving significant expenditures of capital or operating funds.


Consequently, the documentation must communicate clearly and support the bases for these recommendations. Second, the documentation can be used advantageously to support other PHM activities. For example, a thorough, well-written report can be used to help train new personnel about the hazards present in the facility. Third, the report also should serve as a valuable reference for use when making future updates of the hazard evaluation or in conducting an incident investigation. Fourth, the report should serve as a benchmark against which the significance of process and equipment modifications can be assessed as part of the organization's management of change procedure.

A formal system must be established to ensure the timely resolution of each recommendation made in the hazard evaluation study report. Responsibility and a schedule must be established for each recommendation and a periodic review of unresolved recommendations must be made. Note that the potential exists for management to reject some of the team's recommendations; however, team members should not feel constrained to make recommendations based upon their perceived likelihood of acceptance. Where recommendations are rejected, a defensible rationale must be documented.

Completion dates for accepted recommendations also should be documented. Many organizations have found it appropriate to issue a follow-up to the hazard evaluation study report, to document the resolution of all recommendations. The potential liability aspects of an hazard evaluation study recommendation, which could have prevented an accident had it been implemented, should be evident.

We now discuss some of the more commonly used hazard evaluation techniques.

Safety Review

This technique, also known as process safety review, design review, loss prevention review, or process review, can be used at any stage of the process life cycle. Most commonly, a safety review is a walk-through inspection of an existing facility. In this context it can range from an informal, routine visual examination by a single individual, to a formal examination performed by a team over several weeks. For new processes being designed, the safety review may be conducted as a conference room review of the process by the design team as they "walk


through" the process technology, P&IDs or proposed operating procedures.

When performed on existing facilities, safety reviews should be viewed as cooperative efforts to improve the overall safety and performance of the plant. They should not be construed as an interference to normal operations or a predecessor to management retribution. Cooperation is essential; people within the plant must be encouraged and have the confidence to share openly concerns that they may have about factors that contribute to the safe operation of the facility. It should be clear that the review offers potential benefit to each participant.

A typical safety review includes interviews with many people in the plant: operators, maintenance staff, engineers, management, safety staff and others, depending upon the plant organization. The active support and involvement of all these groups helps to ensure a thorough review.

The safety review usually focuses on major process risk situations. "Traditional" personnel safety concerns (such as, use of personal protective equipment or integrity of scaffolding) or general housekeeping issues are not the normal objectives of a safety review. Substandard performance in these areas can, however, indicate organizational or attitudinal problems that may impact process safety issues.

Safety reviews are used to ensure that the facility and its operating and maintenance practices comply with the design basis and any applicable standards. The more significant benefits of the safety review procedure are to:

0 Ensure that operating personnel are aware of the process hazards. Confirm that operating procedures are up-to-date.

0 Identify equipment or process changes that could have introduced new hazards or exacerbated existing hazards. Re-evaluate the design bases of control and safety systems.

0 Apply new technology to existing hazards. Review the adequacy of equipment maintenance inspections.

Safety reviews result in qualitative descriptions of potential process safety problems with corresponding recommendations for corrective actions. The inspection team's report should detail:


Deviations from the design intent. Deviations from authorized procedures. Any new process safety items encountered.

Responsibility for implementing corrective actions remains with the facility management.

For a comprehensive review, the review team members will need to be familiar with applicable codes and standards and should have a good knowledge of the facility and process details (with access to P&IDs and flowcharts as well as plant procedures for start-up, shutdown, normal operation, maintenance and emergencies). Additional insight about the hazards present in the process can be gained from previous hazard evaluation studies; personnel injury reports; hazardous incident reports; maintenance records (such as critical instrument checks, pressure relief valve tests and pressure vessel inspections); and a review of process material characteristics (such as toxicity and reactivity information).

Special technical skills and experience are helpful when evaluating instrumentation and control systems, pressure vessels and relief systems, process materials and chemistry, and other special-emphasis topics.

Checklist Analysis

Checklist analysis is a much-used hazard evaluation approach in which the analyst uses a written list of design or operational features as a guide in assessing the process safety status of a system. While checklists can vary widely in level of detail, they all combine experience and knowledge to establish design standards and practices that can be reviewed easily, even by relatively inexperienced analysts. The checklist analysis approach is easy to use and can be applied at any stage of the process life cycle. The checklist analysis method is a versatile, cost- effective way to identify common hazards.

Checklists can be specific to one type of process, or they can be more generic in scope. A detailed checklist provides the basis for standardized evaluation of process hazards, but only for the process for which it was written. It provides a list of features normally required for the safe operation of that process. Generic checklists, on the other hand, are intended to provoke more original thought by suggesting broad areas for investigation rather than specific, predetermined solutions to problems. Thus, detailed checklists can be used by individuals, while


generic checklists often are used in a team approach to provide the diverse mix of expertise and opinion that has been previously discussed.

Checklists are limited by their author's experience; therefore, they should be developed and used by analysts with varied backgrounds who have extensive experience with the systems they are analyzing. Checklists should be updated regularly to reflect new knowledge and experience.

Many organizations use standard detailed checklists for controlling the development of a project from initial design through plant decommissioning. The completed checklist often must be reviewed by the appropriate manager before authorization is given to take the project from one stage to the next. In this way, the checklist serves as both a means of communication and a form of control.

Checklists do not have to be unique documents compiled by the organization using them. Industry consensus standards or trade association codes of practice can, in certain circumstances, be used quite effectively as checklists.

Using a detailed checklist would result in a completed checklist containing, "Yes, " "No," "Not applicable, I' or "Needs more information" answers to the questions on the list, Qualitative results vary with the specific situation, but they generally lead to a yes or no answer about the facility's compliance with standard practices and procedures. In addition, if the analyst finds any areas of deficiency, a specific list of possible safety improvement alternatives should be provided for managers to consider. A generic checklist may result in a listing of concerns prompted by the checklist's questions, along with the corresponding list of recommendations (which may include recommendations such as "We need to study . . . in greater detail").

The type of evaluation performed with a checklist can vary; it can be used quickly for a screening-type review or in a more deliberate manner for in-depth evaluations (which may involve the use of multiple checklists, each addressing specific aspects of the facility design and operation).

To perform this technique properly, the following must be available: an appropriate checklist, an engineering design procedures and operating practices manual, and, for detailed checklists, someone to complete the checklist who has basic knowledge of the process being reviewed. As explained above, a team approach often is used for more generic checklists. If no relevant checklist exists, one must be prepared by one


or more experienced, knowledgeable persons. The degree of detail and amount of process information required will vary considerably depending upon the phase at which the process is being reviewed.

Relative Ranking

The relative ranking technique is actually an analysis strategy rather than a single, well-defined analysis method; a number of organizations have developed their own relative ranking methodologies. Using relative ranking, hazard analysts can compare the attributes of several processes or activities to first, determine whether they possess hazardous characteristics that are significant enough to warrant further study and second, evaluate the relative effectiveness of risk reduction alternatives. These comparisons are based on numerical values that represent the analyst’s judgment of the significance of each hazard. Relative ranking studies often are performed early in the process life cycle (for example, during conceptual design when selection of alternatives is still practicable). However, the relative ranking method also can be applied to an existing process (such as to prioritize a schedule of hazard evaluation studies for the facility).

Several formal, widely used relative ranking methods exist. For example, the Dow Fire and Explosion Index (F&EI) has been in existence for many years. As its name implies, the Dow F&EI evaluates the existence and significance of fire and explosion hazards in a process facility. The analyst divides a process or activity into separate process units and assigns indices based on the physical and chemical characteristics of the process materials, process conditions, plant arrangement and equipment layout considerations, and other factors. An overall F&EI score is then calculated and ranked against the scores of other process units under evaluation.

The Dow Chemical Co. has several other indices that it uses to evaluate and manage the risk of its processes and activities. One of these, the Chemical Exposure Index (CEI), is used to rank the relative potential of acute health hazards from potential chemical release incidents.

Many other organizations have created their own specialized indices to rank the hazards associated with facilities, processes and operations. One method that is less well known in the United States is the IC1 Mond


Index. This index addresses fire and explosion hazards as well as chemical toxicity hazards.

The main intent of various relative ranking methods is to determine the process areas or operations that are the most significant with respect to the hazard of concern. The various relative ranking methodologies typically address the three of the four basic questions used in risk analysis: (1) What can go wrong? (2) How bad can it be? and (3) What should be done about it? Answering these risk analysis questions using an appropriate relative ranking technique allows the analyst to determine the importance of processes/activities from a process safety standpoint before additional, more detailed hazard evaluations or risk analyses are performed. Consequently, these more expensive hazard evaluation studies may be focused only on the more significant areas of concern. Also, the results of the relative ranking could be used to prioritize the expenditure of limited capital improvement funds.

All relative ranking methods should result in an ordered list of processes, equipment, operations or activities. This list may have several stratified layers representing levels of significance. Other results such as indices, scores, factor scales, or graphs, depend upon the particular technique used to perform the ranking. It is important to note that, while these techniques all try to answer three of the four risk analysis questions in some way, the fourth question (that is, "What are all the causes?") typically is not addressed. Since the relative ranking technique does not identify these specific accident sequences , analysts should not consider the results of such studies as absolute and complete estimates of the risk associated with a process or activity. Accordingly, relative ranking does not normally lend itself to developing safety improvement recommendations specific to accident sequences but does suggest the broader, "inherently safer" design alternatives such as equipment siting issues, inventory reductions or substitution of less hazardous materials.

The information requirements of a relative ranking study depend upon each ranking method's unique needs. Generally, a relative ranking study will require basic physical and chemical data on the substances used in the process or activity. While these studies do not normally require detailed process drawings such as P&IDs, they do require information on the maximum inventories of materials, processing conditions (such as pressures and temperatures), and distances between major equipment items and between equipment and other vulnerable facilities or personnel.


A relative ranking study can be carried out by a single analyst or a team, depending upon the complexity and size of the process or activity and the number and type of hazards. It is often most efficient to have an analyst who is experienced with the technique working with someone who is knowledgeable about the process and who can quickly locate and interpret the necessary material and process data needed for the analysis.

Preliminary Hazard Analysis

A preliminary hazard analysis (PHA) is a technique that is derived from the U.S. Military Standard System Safety Program Requirements. A PHA focuses on the hazardous materials and major process areas of a plant to identify hazards and potential accident situations by considering the following:

0 Plant equipment. 0 Interface among system components. 0 Operating environment. 0 Operations (including testing and maintenance). 0 Facility description and layout.

One or more hazard analysts assess the significance of process hazards identified and assign a criticality ranking to each particular hazardous situation. This criticality ranking is used to prioritize any recommendations for improving safety that result from the analyses.

A PHA typically is conducted as a screening review early during project development when there is little information on design details or operating procedures. A PHA can be very useful in supporting site selection decisions. It also is commonly used as a design review tool before a process P&ID is developed. Changes suggested as the result of an early PHA can be made easily and less expensively than can changes suggested at a later stage in the project life cycle.

With its emphasis on hazard identification, PHA is often a precursor to further hazard analyses. While the PHA technique normally is used in the preliminary phase of plant development for cases where experience provides little or no insight into potential safety problems (for example, a new plant with a new process), it may be helpful when analyzing large existing facilities or in prioritizing hazards when circumstances prevent a more extensive technique from being used.


A PHA typically produces a qualitative description of the process hazards as well as a qualitative ranking of hazardous situations. This ranking can be used to prioritize recommendations for reducing or eliminating hazards in the process.

Since the PHA typically is conducted early in the project life cycle, the types and amount of data available for use will vary widely. The PHA analyst typically would have access to available plant design criteria, preliminary equipment and material specifications, and some amount of flowsheet information. A PHA can be completed by one or two people who have a process safety background, but, like most process safety studies, can benefit additionally from the synergism of a team activity.

What-If Analysis

In a what-if analysis a group of experienced people use a brainstorming approach to formulate a list of questions or concerns addressing hazards, hazardous situations, or specific accident events that could produce an undesirable consequence in a system or a process. For example: "I'm concerned about having the wrong material delivered," "What if pump A stops running during start-up?" or "What if the operator opens valve B instead of A?"

As the team uses its creativity to propose these questions and concerns, a scribe records them on a flip chart, marking board or word processor. The questions are then divided into specific areas of investigation, such as operations issues, technical issues, or maintenance and inspection issues. Each group of questions is assigned to a person who has the proper expertise to address them. Answers to the questions, along with any risk reduction recommendations, typically are formulated outside of the meeting and reported back to the team at a future meeting.

The questions are formulated from the experience of the team members, generalized and applied to the specifics of the process under study. Usually there is no specific pattern or order to these questions, unless the leader provides a logical pattern, such as dividing the process into functional systems; rather, the emphasis is placed upon random, creative thought and group interaction ("brainstorming"). The questions can address any variation related to the plant, not just component failures or process variations. It should be noted that team members need not


constrain themselves to phrasing their contributions in the form of a "what i f . . .I' question.

The what-if analysis is not a structured technique like HAZOP or failure modes and effects analysis. Instead, it requires the analyst to adapt the basic concept to the specific application. This technique is frequently used by industry at nearly any stages of the project life cycle.

A what-if analysis generates a list of questions and concerns addressing hazards, hazardous situations or specific accidents that could exist or occur in the process. Individual team members then evaluate consequences, existing safeguards and possible options for risk reduction. The team subsequently reconvenes and members submit their reports and recommendations. Through discussion, the team reaches a consensus on the nature of the hazards present in the process and the recommendations required to address them. Subsequently, the individual team member reports, as modified by the team discussion, are consolidated as part of the hazard evaluation record.

Since what-if analysis is so flexible, it can be performed at any stage of the process life cycle, using whatever process information and knowledge is available. Teams of at least three people should be assigned to perform the analysis; however, a larger team is preferred. A large, complex process can be divided up among a number of teams so that they can work in parallel.

What-If/Checklist Analysis

The what-if/checklist analysis technique combines the creative, brainstorming features of the what-if analysis method with the systematic features of the checklist analysis. This hybrid method combines the strengths and offsets the individual shortcomings of the separate approaches. For example, the results of a checklist analysis are highly dependent on the contents of the checklist. If the checklist is not sufficiently comprehensive, the analysis may not effectively address a hazardous situation. On the other hand, a what-if analysis encourages the hazard evaluation team to consider any potential hazard or accident event and, thus, does not restrain the team. Conversely, the checklist portion of this technique lends a more systematic structure than does the what-if analysis. The what-ifkhecklist analysis technique may be used at stage of the process life cycle.


Like many other hazard evaluation methods, the what-ifkhecklist analysis works best when performed by a team experienced in the subject process. While a skilled analyst can direct a team in using this technique to evaluate the significance of accidents at almost any level of detail, the what-ifkhecklist analysis method usually focuses on a less detailed level of resolution than, for example, the FMEA technique. The what- ifkhecklist analysis can be used very effectively as the first hazard evaluation method performed on a process, and as such, it is a precursor for more detailed studies.

In some cases, the review team may first apply the what-if methodology, as described, permitting maximum use of its creativity. As the energy level in this process starts to dwindle and good questions become less frequent, the team leader provides a suitable checklist to help formulate supplemental questions.

In other cases, the review team uses a checklist first, with the leader prompting "what if" thinking for each entry on the checklist. In either case, the checklists used are commonly of the more generic form, as discussed previously.

As was the case with the what-if method, questions and issues raised in the question formulation meeting are categorized and assigned to individual team members based upon the area of expertise required to answer them. Then these questions are answered and recommendations formulated outside of the team meeting. Individual responses are presented and discussed in another meeting during which the team members try to reach consensus on the hazards evaluated and recommendations made.

As might be expected, the results of a what-ifkhecklist review combine the results of the individual methods.

Resource requirements are similar to those discussed previously for the checklist and what-if methods.

Hazard and Operability Study

The hazard and operability (HAZOP) study technique was developed by the chemical industry to identify and evaluate process plant safety and environmental hazards as well as processing problems which, while not hazardous, could affect operating efficiency issues such as productivity, product quality or operating cost. The HAZOP study technique requires detailed information on the design and operation of the process and


facility. Consequently, the HAZOP method is most commonly used during or after the detailed design stage. However, the HAZOP concept can be applied effectively even in more preliminary stages of process development. Several variations of the HAZOP study technique are practiced in the chemical industry.

When conducting the HAZOP study, an interdisciplinary team uses a structured brainstorming approach to identify and analyze hazard and operability problems that result from deviations from the design and operating intent of the process. The technique uses a standard set of guide words which, when applied to pertinent process parameters, form the deviations that are to be analyzed (Table 5) . For example, the guide word "No" combined with the process parameter "Flow" results in the deviation "No Flow." The team then agrees on possible causes of the deviations (such as operator error blocks in pump), the consequences of deviations (pump overheats, with the potential for casing rupture), and the currently existing safeguards that tend to prevent or mitigate the deviations (pressure relief valve on the pump discharge line).

The HAZOP technique is methodical intentionally and, therefore, is a potentially time-consuming approach. It is intended to propose systematically all credible process deviations and determine which can lead to undesirable consequences. Using accurate, up-to-date design information, such as P&IDs, an experienced team leader systematically guides the team through the plant design, applying the methodology to specifically defined points or study nodes (for example, a vessel or a section of pipeline). If the team judges that the identified causes are credible, the consequences are significant, and the safeguards are inadequate, recommendations for eliminating or mitigating the hazard typically are proposed for management consideration. The team may identify a deviation with a realistic cause, but unknown or undefined consequences (such as unknown reaction products). In such cases, the appropriate recommendation may be to implement follow-up studies to determine the possible consequences.

The HAZOP technique can be used effectively to review both continuous and batch operations, and it also has proven useful in reviews of operating procedures. When reviewing batch processes or procedures, the proposed deviations often have a temporal context (such as "Mixing time too long," "Mixing time too short," "Step 3 completed before step 2"). HAZOP also has been used when analyzing the interface between the human operator and computer control systems by looking at


information-related deviations (such as "Too little information, " or "Information provided too rapidly").

Finally, while it most commonly is applied to analyses of plants during and after the design phase, HAZOP also can be used effectively at more preliminary stages of the process development. A preliminary flowsheet drawing could be reviewed with the HAZOP technique in a screening review intended to identify, but not analyze, hazards present in the process.

TABLE 5

HAZOP DEVIATIONS FORMED FROM GUIDEWORDS AND PROCESS PARAMETERS

Resultant Guide Word" ParameteP Deviation'

No

Less

More

Part Of

Flow No Flow

Temperature Lower Temperature

Pressure High Pressure

Composition One Component Omitted

As Well As Phase

Reverse Pressure

Other Than Operation

Two Phase Mixture

Vacuum

Maintenance

"This constitutes the total list of standard guide words. "Later Than" and "Sooner Than" can be applied to batch processes or procedures.

common parameters include level, time, pH, speed, frequency, viscosity, voltage, information, mixing, addition, reaction.

'Each guideword is applied to each parameter if a meaningful deviation results; for example, "More Temperature" should be considered,


It should be noted that HAZOP generally is regarded as a useful tool for identifying some types of human error.

The results of a HAZOP study include all identified hazards and operating problems; an assessment of their significance; corresponding safety features that currently exist in the facility design or operating procedures; and, finally, any appropriate recommendations for changes in design, procedures and other elements to improve safety. Some recommendations may be to conduct studies of issues where no conclusion was possible, because of a lack of information. While the format is not mandatory, these results customarily are recorded in a columnar table.

In its most common applications, the HAZOP technique requires accurate, up-to-date P&IDs and other detailed process information, such as operating procedures. It also requires considerable knowledge of the process, instrumentation and operation. It is for this reason that HAZOP specifically is defined as a team-based approach. The HAZOP team for a large, complex process may consist of five to seven people with a variety of experience, including design, engineering, operations and maintenance. For a simple process or in a limited scope review, a team can have as few as three or four people a long as the proper mix of technical skills and experience is maintained. As is the case with other detailed techniques, it is important that a skilled leader or facilitator, experienced in the technique, help conduct the review.

Failure Modes and Effects Analysis

Failure modes and effects analysis (FMEA) is a technique adapted from the aerospace industry in which the analyst considers the various failure modes of equipment items and evaluates the effects of these failures on the system or plant. Table 6 shows failure modes typically considered for some common equipment items. The effect of the failure mode is determined by the system’s response to the equipment failure. Equipment failure modes can be initiating events or contributing events leading to an accident (for example, failure of a pressure controller would be the initiator and failure of a relief valve would be a contributor in an event sequence leading to the rupture of a vessel).

An FMEA deals with single equipment failures and does not efficiently identify combinations of equipment failures that lead to accidents. Human errors generally are not examined directly in an


TABLE 6

TYPICAL EQUIPMENT FAILURE MODES CONSIDERED IN AN FMEA

Eauiument Item Failure Mode

Control valve

Transmitter

Heat Exchanger

Fails to closed position Fails to open position Fails stuck in same position Leaks through when closed Small leak to environment Massive failure of valve body

Stops when running Fails to stop when intended Cannot start when intended Starts when not intended Cannot deliver desired pressure

Gives erroneously high reading Gives erroneously low reading Fails to respond to process change

Leaks from process to service side Leaks from service side to process side

Process leaks to atmosphere Heat exchange surfaces fouled

FMEA; however, the effects of a misoperation as a result of human error usually show up in equipment failure mode. For example, "Controller fails, output high" and "Operator error, high setpoint entered" have the same consequences (that is, a high loading signal is sent to the control valve).

As was the case with HAZOP, the FMEA technique requires detailed process design information. Consequently, the FMEA technique most commonly is used during or after the detailed design stage. Also, like HAZOP, the FMEA technique intentionally is methodical and can require


considerable time for identifying equipment failure modes and analyzing their potential effects. Using accurate up-to-date design information, such as P&IDs, an experienced leader systematically guides the team through the plant design, applying the methodology to each significant equipment item. For example, a temperature control loop normally would be broken into its component elements (including sensor, transmitter, controller and control valve). As with HAZOP, credible failures with significant consequences and inadequate safeguards require formulation of appropriate recommendations for removing or mitigating the hazard.

Using checklists that identify each possible failure mode for each type of component can minimize the probability of missing important failure modes in an FMEA.

An FMEA generates a qualitative, systematic list of equipment, failure modes and effects. A worst-case estimate of the consequences of each failure is included. Some analysts find it helpful to perform the consequence analysis in two steps, looking first at the immediate effects and then the ultimate effects of the failure. For example, failure of the pressure controller immediately overpressurizes the vessel, which can ultimately lead to vessel rupture. This distinction can be useful in evaluating the consequence of failures of elements in protective systems. The immediate effect of the failure is loss of protection (for example, a plugged relief valve results in loss of overpressure protection). The ultimate effect would be the event that was to be protected against (vessel rupture).

FMEA results usually are documented in a table, including any recommendations for improving safety. As before, all recommendations need not define a specific course of action. In some cases the recommendation may point out the need for further study of a particular issue.

Failure modes, effects and criticality analysis (FMECA), a variation of FMEA, allows equipment failures to be ranked according to the approximate significance of their effects and/or their likelihood.

To perform an FMEA the team must have the following data and information sources: a system or plant equipment list or P&ID, knowledge of equipment function and failure modes, and an understanding of the system or plant function and its responses to equipment failures.


FMEAs can be performed by individual analysts; however, within the chemical industry a multidisciplined team approach often is used. It is important that the analyst (or team leader) be experienced in the use of the technique.

Fault Tree Analysis

Fault tree analysis (FTA) is a deductive technique that focuses on one type of accident or main system failure and provides a method for graphically modeling the various basic causes (equipment failures, external factors and human errors) that can result in the main system failure of interest (called the "top event").

The strength of FTA as a qualitative tool is its ability to identify the combinations of the basic causes that can lead to an accident. In some instances, the fault tree model allows the analyst to infer the relative importance of the various basic causes. This allows the hazard analyst to focus preventive or mitigative measures on these basic causes to reduce the likelihood of the top event. Quite often, the FTA model is based upon cause-and-effect relationships discovered through application of other hazard evaluation techniques such as HAZOP or human reliability analysis.

FTA produces logic models for system failures using Boolean logic gates (such as, AND, OR) to illustrate how external factors, equipment failures and human errors can combine to cause a main system failure (the "top event"). The fault tree analyst usually solves each logic model to generate a list of failure groupings, called minimal cut sets. Each minimal cut set is a necessary and sufficient grouping of failures that can result in the top event (that is, each failure must be combined with the other failures in the cut set to cause the top event and the cut set contains no failures other than those required to cause the top event).

These lists of minimal cut sets can be qualitatively ranked based upon the number and type of failures (such as hardware or procedural) in each cut set. Cut sets containing larger numbers of failures generally are less likely than those containing fewer failures. Through inspection of these minimal cut sets, the analyst can identify system design or operation weaknesses that may require correction.

To complete an FTA the analyst must have access to information on how the plant or system functions, detailed process drawings and procedures, knowledge of the failure modes of the equipment and their


resultant effects and a basic understanding of factors contributing to human error. Because of its complexity, the use of well-trained and experienced analysis is advised to ensure an efficient and high quality FTA. It is not often that this mix of process expertise and experience with the FTA technique can be found in the same individual. Therefore, qualified analysts commonly develop the fault trees with process input provided by the engineers, operators and other personnel who have experience with the systems and equipment under study.

Event Tree Analysis

As discussed previously, an accident typically results from a sequence of events or failures, beginning with a specific initiating event (an external cause, equipment failure, or human error). Subsequent events in the accident sequence are called contributing events and typically represent the failure of protections intended to prevent the accident. An event tree graphically shows all possible outcomes that result from an initiating event as well as the success or failure of the associated protective features (typically engineered safety systems and operator intervention).

The results of the event tree analysis (ETA) are event sequences, sets of failures and/or successes that result either in an accident or in the system being returned to a safe state. These results describe all possible outcomes that could follow an initiating event. An event tree analysis commonly is used to analyze complex processes with several layers of safety systems or emergency procedures in place to respond to specific initiating events. After these individual accident sequences are identified, they can be analyzed in greater detail using FTA.

An ETA results in event tree models that depict the various safety system successes or failures that lead to each defined outcome. These event sequences are combined using Boolean logic and, thus, can be put into the form of one or more fault tree models for further qualitative analysis. By studying the event tree models, analysts can identify design and procedural weaknesses and provide recommendations for reducing the likelihood and/or consequences of the potential accidents under study.

To complete an ETA, the analyst must have knowledge of potential initiating events (that is, equipment failures, human errors or system upsets that can potentially cause an accident) and safety system functions or emergency procedures provided to mitigate the effects of each initiating event.


An event tree analysis can be performed by an individual analyst, but a team of two-to-five people often is preferred to promote brainstorming, which results in a more complete event tree. While ETA procedurally is less complex than FTA, it is preferable to have at least one team member who is practiced in event tree analysis. The remaining members should know the processes and have experience working with the systems included in the analysis.

Cause-Consequence Analysis

A cause-consequence analysis (CCA) combines fault tree and event tree analyses. A major strength of a CCA is its use as a communication tool because the cause-consequence diagram displays the relationships between the accident consequences (modeled by the ETA) and their basic causes (modeled by the FTA). This technique most commonly is used when the failure logic of the analyzed accidents is rather simple, since the CCA diagram, which combines both fault trees and event trees, can become quite large and difficult to use.

A cause-consequence analysis generates diagrams portraying accident sequences and qualitative descriptions of potential outcomes. It is the functional combination of the results of an FTA and an ETA.

A CCA is best performed by a small team (two-to-four people) with a variety of experience. One team member should be experienced in cause-consequence analysis (or fault tree and event tree analysis). The remaining members provide the experience with the design and operation of the systems under study.

Human Reliability Analysis

A human reliability analysis (HRA) is a systematic evaluation of the factors that influence the performance of operators, maintenance staff, technicians, engineers, supervisors and other plant personnel. HRA uses one of several types of task analyses that describe the physical and environmental characteristics of a task, along with the skills, knowledge and capabilities required to perform the task successfully. HRA will identify error-likely situations that can cause or lead to accidents. It also can be used to trace the causes of human errors. HRA often is performed in conjunction with other hazard evaluation techniques.


HFU produces a systematic listing of the errors likely to be encountered during normal or emergency operation, a list of factors contributing to such errors and proposed system modifications to reduce the likelihood of such errors. It also may produce a graphical model of the task (similar to an ETA model) that depicts the various outcomes resulting from failures and successes at each opportunity for error. The results are initially qualitative, but may be quantified. The analysis includes identifying system interfaces affected by particular errors, and ranking these errors in relation to the others, based on probability of occurrence or severity of consequences.

To complete an HRA, the analyst must have access to the following data and information sources: plant procedures and design drawings; information from interviews of plant personnel; knowledge of plant layout, function, or task allocation; control panel layout; alarm system layout; and the plant response or consequences caused by various human errors. Staffing requirements vary based on the scope of the analysis. Generally, one analyst should be able to perform an HRA for a facility. Like FTA, HRA requires specialized skills on the part of the analyst. The analyst should be familiar with interviewing techniques as well as being practiced in HRA. Plant- and process-specific data often is provided by other team members who are familiar with the design and operation of the systems under study.

Technique Selection

While it is not the dominant factor in determining the success of a study, selecting the proper hazard evaluation technique can have a significant impact on the efficiency of the analysis. A successful analysis is defined here as one that produces, with the least expenditure of resources, the needed high-quality risk information in a form that decision makes can use easily.

The definitive guidance on technique selection cannot be provided in a single, detailed protocol. While the novice analyst may not find this thought reassuring, technique selection is, to a large degree, a skill that comes with increased familiarity and practice with the various techniques. When the analyst has learned the relative strengths and weaknesses of each technique as they have been applied to a variety of different analysis needs, the rationale for technique selection will become more evident.


Keep in mind that many of these techniques overlap somewhat in approach and results; and, as pointed out previously, a skilled and motivated analyst and team could, in many situations, use a variety of techniques to conduct a good-quality review. However, it is possible to highlight some of the more significant considerations that should be kept in mind when weighing the relative merits of each technique. Included in these are:

What is the intent of the analysis? Will it merely identify the hazards present in the process or will detailed information on potential accident sequences be developed? Or is the review intended to ensure that previously identified safety issues have been incorporated into the process before start-up? Is some prioritization of result desired? At what phase of the project life cycle is the review being done? Is the project team still working on the early conceptualization of the process or is detailed design underway? What is the type and detail of information available for the process and equipment? Is the review to be based upon preliminary flowsheet concepts or are hard data from pilot plant or full-scale plant operation available? What is the nature of the perceived hazards? Are they unique hazards with which the organization has little experience or are they well understood hazards for which a body of information exists within the corporation or is generally available in the literature? If this is a periodic review of an operating facility, what has been the operating experience? Is it relatively incident-free or has it been marked by accidents or near-misses that the organization must learn how to avoid? What is the nature of the process? Does the mechanical complexity of the equipment, the sophistication of the control system or the complexity of the chemistry dominate? Are there specific accidents that need to be analyzed in great detail or is it intended that a wide range of hazards be studied? Is human error likely to play a significant role in the safe operation of the process? Are complex event sequences anticipated or do single failures lead directly to the accident of concern?


0 How great are the risks associated with the process operation perceived to be? What regulatory impacts are expected?

Additionally, organizational or analyst biases may exist for or against a particular hazard evaluation technique, or time or resource constraints may restrict the analysis. While these factors do sometimes exist, they should not be permitted to unduly influence the selection of hazard evaluation techniques, lest an inadequate analysis result.

Safety review, checklist, what-if, what-ifkhecklist, relative ranking, preliminary hazard analysis, and, less often, HAZOP, all have been used effectively in reviews primarily intended for hazard identification. Detailed analysis of accident sequences can be accomplished with ETA, HAZOP, FMEA, HRA and what-iflchecklist. If the intent is to ensure compliance with previously identified process safety recommendations, a checklist review or safety review would be appropriate. Finally, if prioritization of results is needed, consider relative ranking, PHA or FMECA.

A safety review, checklist, relative ranking, what-if, what- if/checklist, or PHA could be performed in the earlier stages of project development when the amount of information is limited or detail is lacking. Techniques suited to detailed reviews of a wide range of hazards and events would include ETA, detailed checklists, what- if/checklist, HAZOP, FMEA, and, less frequently, what-if.

Reviews of processes containing well-understood hazards can readily be addressed using the experienced-based techniques such as checklist, safety review, what-if, ETA and what-if/checklist . Where novel hazards or event sequences exist, other techniques that prompt original, creative solutions should be applied (for example, HAZOP, FMEA or what- if/checklist).

If a periodic review is to be made, and facility operating experience has been good, then the analyst may consider using one of the less- detailed techniques or one of the more experience-based techniques, as described above. Before a path is chosen, the analyst should consider whether the good process safety record is because of "skill" (that is, sound design and operating practices) or is it due to "luck." Review of previous hazard evaluation reports may give the analyst confidence as to how much "skill" was involved in the good process safety record. If the


record indicates that significant issues remain to be resolved, use of one of the more detailed techniques is indicated.

Processes involving a good deal of mechanical complexity or involving sophisticated control systems often lend themselves to FMEA (or FMECA) or FTA. If complex chemistry dominates, the analyst may wish to consider HAZOP.

Detailed analysis of specific accident outcomes suggests the use of FTA or CCA. For operations involving significant human activity (and, therefore, human error potential) the analyst should consider HRA and, in some instances, HAZOP. It should be emphasized that all hazard evaluation techniques require an appropriate level of analyst expertise for their proper application. However, FTA, CCA, and HRA are each highly specialized techniques whose use typically is delegated to specially trained and skilled practitioners. Analysts are cautioned to use these methods on tightly focused problems because they require significantly more time and effort to perform than do the broader-focused approaches.

Complex sequences of multiple events typically are modeled using techniques such as FTA, ETA, or CCA. Single-failure accidents suggest FMEA, HAZOP, or the less detailed techniques, such as checklist. For example, many loss-of-containment incidents involve single failures (such as pipe corrosion from improper substitution of materials).

Finally, some potential accidents may have such significant risk that a detailed review is warranted, with the likelihood of a follow-up quantitative risk assessment (to permit quantitative comparison of risk reduction alternatives). Some techniques, such as ETA, FTA, CCA and HRA, either may be quantified or are suitable to support other quantitative techniques.

Obviously, the challenge to the analyst is to assess the significance of each of the factors discussed above and integrate the various recommendations into a rational selection of techniques. Fortunately, the overlap encountered in the capabilities of many of the techniques makes this task much less formidable than it might seem at first.

It is not uncommon to use a number of different techniques during the same study. For example, a broad review may be performed on the entire project using a technique such as what-ifkhecklist, followed by a more detailed review of the reaction step using HAZOP. The HAZOP review may reveal a particular concern with the reliability of a flow control loop that is subsequently analyzed using FMEA.


Finally, one particular incident may pose the potential for particularly grave consequences, warranting an even closer examination using FTA.

8 HAZARDOUS WASTE TRANSPORTATION

INTRODUCTION

The Hazardous Materials Transportation Act (HMTA) can be viewed as a hybrid between safety and environmental legislations. The principal thrust of the HMTA is safety. It is a regulation that addresses the requirements for the safe transport of regulated hazardous materials. It does this by establishing formal rules for manifesting, placarding, labeling of shipments, the use of packing group designations for certain non-bulk shipments, in establishing performance requirements for non- bulk packaging, and through shipping restrictions for certain modes of transportation. We can view the HMTA as an environmental statute from the standpoint that it is responsible for enforcing and policing the transport requirements of RCRA for hazardous waste. This chapter will only serve as an introduction to the HMTA, with emphasis given to wastes.

THE REGULATIONS

The HMTA authorizes the Department of Transportation (DOT) to regulate the transport of hazardous materials by land, water, or air, including transport through pipelines. Only bulk shipments by water are excluded since they are regulated by the United States Coast Guard. The implementing regulations (49 CFR 171-195) are administered by the Materials Transportation Bureau of DOT. A reference list of the regulations is given in Table 1.

Materials classification--The shipper bears the responsibility of correctly identifying and classifying the shipment and providing the appropriate

337


TABLE 1

QUICK LIST FOR REGULATIONS GOVERNING HAZARDOUS MATERIALS TRANSPORTATION

General Information 49 CFR 171 Hazardous Materials

Tabulation Listing Shipping Papers Container Marking Container Labeling Placarding

General Shipping Requirements Materials Classification

Dual Classification Small Quantity Exception

Transporter Requirements : Rail Aircraft Vessel Highway

Container Specifications Transportation by Pipeline

- EPA

Hazardous Waste Generator Regulation Manifests Pretransport Requirements

49 CFR 172 Subpart B Subpart C Subpart D Subpart E Subpart F

49 CFR 173

173.2 173.4

Subparts C-0

49 CFR 174 49 CFR 175 49 CFR 176 49 CFR 177

49 CFR 179- 49 CFR 190-

40 CFR 262 Subpart B Subpart C

79 95

Hazardous Waste Transporter Regulation 40 CFR 263 Manifests Subpart B

Emergency Response Subpart C

Hazardous Waste Transportation 339

containerization and labeling. Proper classification is extremely important because emergency response for unexpected events during transport will be based on the shipper’s classification. The determination of whether a certain material is regulated is accomplished through reviewing either the hazardous material table in 49 CFR 172.101 or the 22 hazard class definitions give in 49 CFR 173. A material is regulated if it is either listed in the hazardous material table by name or exhibits a characteristic (e.g., flammability) of one of the 22 classes. For materials which have more than one class, a hierarchy of classes is shown in Table 2. The highest class must be used. For regulated materials the shipper selects the appropriate shipping container and other requirements (e.g., labeling and markings) based on table in 49 CFR 172.101. Container specifications exist for carboys, jugs in tubs, cylinders, metal barrels, drums, kegs, boxes, trunks, wooden barrels, mailing tubes, bags, and portable tanks. When containers are reused, the shipper must assure that the container meets packaging requirements each time it is used.

Pretransport requirements--The shipper must prepare shipping papers which include the material name, hazard class, UN/NA (United Nations/North America) hazard identification number, and total quantity of hazardous material. The UN/NA designation refers to the DOT shipping number designation. The letters UN or NA precede a four-digit shipping number which is unique to the regulated chemical. UN stands for United Nations, meaning that the shipment may be offered internationally. The letters NA stand for North American, meaning that the shipment is restricted to the North American continent and Canada. The shipper must also certify that the hazardous materials have been managed properly under the applicable regulations. Hazard classes ( O W ) A, B, and C are exempt from shipping paper requirements when transported by rail or highway.

With a few exceptions, each package must be marked with the proper shipping name, identification number, an indication of which end is the top (i.e., orientation arrows on packaging), and the reportable quantity (RQ) (if any). RQs are predetermined material quantities which, if spilled, are considered environmentally significant under the Comprehensive Environmental Response Com-pensation and Liability Act (CERCLA). RQs are found with the shipping name in the hazardous material table. No RQ listing means there is no reportable quantity


TABLE 2

DOT--HIERARCHY OF CLASSES (from 49 GFR 173.2)

Radioactive material Poison A Flammable gas Nonflammable gas

0 Flammable liquid 0 Oxidizer

Flammable solid 0 Corrosive material (liquid)

Poison B Corrosive material (solid) Irritating materials

0 Combustible liquid (in containers of over 1 10-gallon capacity) ORM-B ORM-A

0 Combustible liquid (in containers of 1 10-gallon capacity or less) ORM-E

and no RQ should be listed on the package. Standardized labels are used to indicate specific hazards associated with the packaged material. With a few exceptions, each package must have at least one DOT- approved hazard class label. Multiple labels must be used if the package contains more than one hazard (known as dual placarding). Labels can be secured to small packages or tags if necessary. Label requirements are contained in 49 CFR 172.400.

TRANSPORTER REQUlREMENTS

Transporters are responsible for determining that packaging and materials are in proper condition and that all labels and placards are in place.

Transporters must carry a supply of labels in case a label needs replacing. Transporters are responsible for seeing that their vehicle is properly loaded. Truck drivers must see that the shipping papers are in the vehicle’s cab at all times. Railroad crews, aircraft pilots, and the


master of the vessel must carry the shipping papers for transport by rail, aircraft, or water, respectively.

Hazardous materials transporters, including waste transporters, are not required to have transporter permits by EPA or DOT. However, waste transporters must notify the regulatory agency (state or federal) and obtain an EPA identification number. In addition, many states have enacted a waste material transporter permit program which requires transporters to have permits for waste shipments within the state.

Placards--Color-coded, diamond-shaped placards are used on hazardous material transportation vehicles to publicize the hazardous characteristics of the shipment. Shippers and transporters share responsibility for placarding vehicles carrying hazardous materials. The shipper must offer the proper placards to the transporter for the specific materials being shipped (based on 49 CFR, Section 172, Subpart F). The transporter must determine which placard to use on the vehicle. Placards are not required on vehicles carrying only etiologic (Le., disease causing) agents, materials classified ORM-A, B, C, D, or E; or limited quantities of hazardous materials. Limited quantities vary according to the hazard class and the particular packing method and can be found in 49 CFR 173. Aircraft are never placarded, and shipments in bulk quantities can be placarded with the material identification number instead of the hazard word. Figure 1 provides a table of the commonly used DOT designated placards. The distinguishing features of a placard are its diamond shape, its color, the hazard symbol, and the hazard class or division number which appears at the apex of the diamond. This number designation is based on one of nine hazard class designations that are listed in Table 3. The UN or NA shipping number designation may appear in either a rectangular panel in the center of the placard, or in a separate panel next to the placard. The placard and shipping number designation not only signifies that the shipment is regulated, but it provides valuable information to responders in the event of emergency.

Emergencies--Transporters are required to notify the National Response Center (1-800-424-8802) in the event of most spills involving hazardous materials in transport, including loading, unloading, or temporary storage. Any spill of material exceeding the RQ must be reported immediately. All notifications must be followed by a written report to DOT using form 5800.1 within 15 days of the incident. Transporters

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can call CHEMTREC, a service of the Chemical Manufacturers Association (1 -800-424-9300) for guidance in emergency response. Spills involving etiologic agents should also be reported to the Center for Disease Control in Atlanta (1-404-633-53 13). State emergency management agencies must also be notified immediately following a spill. The transporter is responsible for cleanup of spilled hazardous materials through insurance required by the Federal Highway Administration.

ENFORCEMENT

DOT conducts routine inspections of hazardous material transporters, enforces regulations promulgated under HMTA, and advises EPA of potential violations of the RCRA requirements. EPA and DOT may bring enforcement action against hazardous waste transporters. EPA and DOT coordinate inspection and enforcement actions to obtain compliance with the RCRA and HMTA regulations. The HMTA safety regulations apply to all regulated hazardous materials, not just wastes. Failure to comply can result in delays in shipments, fines and penalties, embarrassment to the company, and even danger or incidents that could impact on the public or environment.

HAZARDOUS WASTE REGULATIONS

EPA and DOT work closely to ensure that hazardous wastes are regulated consistently. Pertinent EPA regulations are codified in 40 CFR 262 (hazardous waste generators) and 40 CFR 263 (hazardous waste transporters). Onsite transportation of hazardous wastes is not regulated by EPA.

The manifest--EPA requires use of a manifest to track the waste from the point of generation to final treatment or disposal. The manifest document is similar to the shipping papers for a hazardous material. The Uniform Hazardous Waste Manifest is given in Figure 2. States must use the uniform manifest but can require additional information under separate cover. For this reason generators must obtain manifests from the receiving state, from the originating state, and from any other source, in that order.


Figure 2. Uniform Hazardous Waste Manifest


In completing the manifest, the generator must provide the waste generating site's EPA identification number and the manifest document number. The document number is assigned by the generator if the state or receiving facility does not provide one. The number must be a serially increasing number of five digits. The generating site location and an emergency contact telephone number must be provided. The generator must designate at least one certified transporter and a permitted treatment, storage, or disposal (TSD) receiving facility for his waste on the manifest. The TSD facility address on the manifest must be the receiving site address, as opposed to corporate headquarters. A certified transporter is an entity which holds a valid EPA transportation identification number. For transporters holding identification numbers from several states, the identification number from the waste receiving state is generally shown on the manifest.

The waste description on the manifest follows DOT'S package marking requirements by using the same shipping name, hazard class, and identification number, except that the word "waste" must appear before each shipping name. The type of containers and units of quantity should be abbreviated as shown in Table 4, with pounds or kilograms being the preferred weight nomenclature. The total quantity should not include the container weight. Special considerations for transporter or TSD facilities should be noted in the pertinent optional sections.

The generator signs and dates the manifest, certifying that the shipment has been properly classified, packed, marked, and labeled. Note that "highway" is the designated transportation mode on the manifest. If a mode other than highway is to be used, the term "highway" should be deleted or modified accordingly. The certification also includes a waste minimization statement.

EPA allows a hazardous waste transporter to assume the responsibilities for completing the manifest except for signing the certification statement, which is the generator's responsibility.

Pretransport requirements--EPA has adopted the DOT regulations pertaining to waste classification, packaging, marking, and labeling. With few exceptions, all containers for transport of 110 gallons or less must bear the generator's name, address, manifest document number, and the following statement:


"Hazardous waste--Federal law prohibits improper disposal. If found contact the nearest police or public safety authority or the United States Environmental Protection Agency. I'

All waste containers should be free of nonshipping related markings and labels.

Manifest tracking--The manifest must be complete prior to removing the waste from the generator site. The transporter signs the manifest and gives the generator one copy. Other copies must be made available for each transporter and the designated TSD facility. A separate copy of the manifest showing all intermediate signatures is to be returned to the generator after the TSD facility has accepted the shipment. There are slightly different requirements for nontruck shipments. Bulk waste shipments by water must be manifested, but copies are not required for

TABLE 4

STANDARD MANIFEST ABBREVIATIONS

Types of Containers

DM = metal drums, barrels, kegs G = gallons (liquids

DF = fiberboard or plastic drums, P = pounds

TP = tanks portable T = cubic yards TT = cargo tanks (tank trucks) L = liters (liquids

DT = dumptruck K = kilograms CY = cylinders M = metric tons (lo00

Units of Measure

DW = wooden drums, barrels, kegs only)

ll barrels, kegs T = tons (2000 Ibs)

TC = tankcars only)

CM = metal boxes, cartons, cases kg) (including rolloffs) N = cubic meters

CW CP

BA

= wooden boxes, cartons, cases = fiber or plastic boxes, cartons,

= burlap, cloth, paper or plastic cases

bags


each transporter. In this case, the generator must send manifest copies directly to the TSD facility. For rail shipments the generator must send three manifest copies to any nonrail transporter or directly to the TSD facility if transported solely by rail.

The generator should receive a signed copy of the manifest from the TSD facility within 35 days from the date that the initial transporter accepted the waste. If not, the generator must take action to determine the status of the waste. If a fully signed manifest is not received within 45 days, the generator must file an exception report with the regulatory authority. The report must include a copy of the manifest (which bears the generator and first transporter signature), an explanation of the generator’s efforts to locate the waste and/or manifest, and the results of those efforts.

All generators are required to keep a copy of each signed manifest for three years from the date of waste acceptance by the first transporter.

Special requirements for hazardous wastes transporters--In addition to registering with EPA, a hazardous waste transporter must sign and date the manifest, and ensure that the second transporter or TSD facility also signs the manifest. The transporter is not required to verify the information on the manifest or the packing details since these are the responsibility of the generator. However, the transporter can only accept for transport the wastes identified on the manifest and can reject a container if it does not meet the DOT specifications. The transporter must retain his copy of the executed manifest for three years.

A transporter may be a hazardous waste generator during the cleanup of transfer equipment. A transporter can hold a hazardous waste shipment for up to ten days at a transfer facility and without a storage permit.

TSD REQUIREMENTS

The receiving facility is responsible for verifying that all hazardous wastes documented on the manifest are received at the facility. Any discrepancies must be noted on the manifest and reported to the EPA Regional Administrator if they cannot be resolved with the generator within 15 days.


TRANSPORTATION OF HAZARDOUS WASTE SAMPLES

Greater emphasis is being placed on waste generators to fully disclose all chemicals in their waste streams either for recycling, treatment, or disposal purposes. Waste identification is a problem to many generators since specialized laboratory equipment is often not present nearby. This presents a transportation question to generators who must ship waste samples. EPA specifically exempts from the RCRA requirements the transport of waste samples to and from a laboratory. However, DOT does regulate shipments of small waste quantities with specific requirements for packaging (49 CFR 173.4). Many packages containing waste samples are exempt from the materials classification, marking, labeling, and documentation requirements under HMTA, but there are weight limits and requirements for inner containers, cushioning and absorbent material, and exterior packaging. The complete package cannot exceed 65 pounds and must be certified by marking the following statement on the exterior of the package:

I I

This package conforms to conditions and limitations specified in 49 CFR 172.4.

1 1

The United States Postal Service (USPS) and United Parcel Service (UPS) generally accept the HMTA requirements for mailing hazardous waste samples. However, USPS has specific package marking requirements for certain hazardous material classes and excludes some materials from air transport. For example, USPS cannot accept packages for air transport if they contain flammable liquids. The USPS requirements are explained in the Domestic Mail Manual, which can be obtained from most local postal offices. UPS prohibits any DOT Regulated item from air transport. UPS also has a standard hazardous material label (form G1114) for most parcels containing hazardous materials. UPS requirements are contained in the UPS Hazardous Materials Guide, which can be ordered from most UPS offices.


SUMMARY

The hazardous materialdwaste shipper bears the responsibility of correctly identifying, classifying, packaging, labeling, and completing shipping papers for the transport of hazardous materials. All of the above must be certified on the shipping papers, or on the manifest in the case of hazardous wastes. The shipper and the transporter share the responsibility of placarding transport vehicles, while the transporter is responsible for emergency response and for making the proper notifications should a spill occur during transportation.

Hazardous wastes are a special category of hazardous materials and are regulated by both EPA and DOT. Hazardous wastes are treated similar to hazardous materials with the exception that most waste shipments require a manifest. The waste generator is responsible for completing the manifest and seeing that it is fully executed.

The hazardous materialdwaste manager must be familiar with both DOT regulations (HMTA) and EPA regulations (RCRA) regarding transportation since proper transportation is an important link between the manufacturer and user, and the waste generator and TSD facility.

9 TREATMENT, DISPOSAL AND WASTE MINIMIZATION MANAGEMENT PRACTICES

INTRODUCTION

Proper management of hazardous waste is an important business decision for many companies. Prices for commercial hazardous waste treatment and disposal facilities are escalating and will continue to rise. Federal and state regulations governing management of hazardous waste are tightening adding new wastes to hazardous categories, restricting management choices, and requiring special worker safety training. Therefore, the role of the waste manager has never been more important to the corporation.

This chapter reviews the factors to be considered for the fundamental choices in a waste treatment and disposal strategic plan. These factors are:

1. Regulatory Framework 2. Waste Minimization and Onsite Treatment 3. Use of Commercial Facilities

REGULATORY FRAMEWORK

Proper waste management begins with determining the minimum requirements for waste management at a facility by assessing three factors : the federal regulations, the state enforcement policies of hazardous waste regulations, and the general liabilities of the facility. Although commonly a manager will approach his decision in that order, the best managers prepare their company policy considering the factors in the opposite order.

353


The federal waste management requirements are the basic rules necessary to follow. These are regulations developed from the Resource Conservation and Recovery Act (RCRA) and its subsequent amendments. A waste manager must determine first whether the facility operates in a manner covered by these regulations; if so, is it complying with the regulations.

The federal regulations will be constantly in revision for the foreseeable future as Congress pressures the system to regulate more waste generators and more types of waste, to promote recovery and to allow less land disposal. The waste manager must stay informed about such changes.

The changing of federal regulations to protect surface water and air quality from toxic chemicals also can change a hazardous waste manager's options for treatment and disposal. This susceptibility to regulatory changes is one factor a manager must consider in evaluating major capital investments for waste treatment or disposal equipment.

Often the most important regulators to maintain contact with are the state regulators. Many states have their own regulations controlling hazardous waste which may be stricter than the federal minimum. A common example, is an additional information requirement on the shipping manifest, treatment permits, or the taxing of waste management activities.

For those states authorized to conduct inspections and enforcement of the federal RCRA program, it is the state regulators who make the determinations of whether a particular waste has the characteristics of hazardous waste, whether sampling was adequate, whether the operation is adequate and what are the penalties for noncompliance. As much as the Federal Environmental Protection Agency encourages .uniformity, there can be variation in interpretation from state to state (and indeed from inspector to inspector).

Finally, and what the wise waste manager considers first when designing a waste strategy, present and future liability has become of paramount importance. The Comprehensive Environmental Response Compensation and Liability Act, coupled with the existing state legal traditions about landowner responsibility for releases from the property, is driving an open-ended concern about any chemical which might be released in a sudden or in a "nonsudden" fashion to pose an environmental or public health threat.

Treatment, Disposal and Waste Minimization Management Practices 355

Stated simply, regardless of what we are "permitted" to do by today's state and federal regulators, tomorrow we may be responsible to assess the risk and to take appropriate remedial action. Certain states and certain financial institutions already routinely require such actions prior to the sale of real estate. The wise corporation looks first to what strategy is in its best long-term interest.

WASTE MINIMIZATION AND ONSITE TREATMENT

Management Reasons to Promote Operation without Hazardous Waste--For the following reasons, it is best to promote enough waste reduction to fall below the hazardous waste minimum quantity limits:

1.

2.

3.

4.

5 .

6 .

7.

The hazardous waste system requires much specific paperwork which a company could do in a simpler fashion. Companies that are generators are subject to more frequent inspections and enforcement actions under RCRA. Disposal of hazardous waste tends to be significantly more expensive than disposal of nonhazardous waste. Companies who have TSD permits are susceptible to corrective action requirements on any solid waste management unit on their site. The special RCRA worker training requirements must be coordinated with the partially overlapping OSHA Hazard Communication Standard; companies with TSD permits have additional special worker training required by OSHA. The time constraints for removing the waste can be difficult for some operations to manage. Less waste disposed of is less liability.

To help get a perspective on the options available, it is a useful exercise to do the mass balance required by the Supefund Amendments and Reauthorization Act. Manufacturers who are large chemical users are required to compare the amounts of chemicals purchased each year to the amounts which they can account for leaving the facility.

Treatment Onsite--Reducing the hazard or the quantity of waste reduces disposal costs and liabilities.


The federal and state rules about whether a RCRA permit is required for certain onsite treatment are under a great deal of discussion. Further, state rules themselves may be stricter than EPA. Check with your state and EPA officials before you make a major investment without a permit.

The current general guidelines for exemption from a treatment permit are:

1 . Totally Enclosed Treatment Facility

Strictly, this means a treatment step in a pipe connected directly as a part of the process pipe. Waste collected in barrels around a plant and carried to one single treatment facility is not exempt from the permit requirement. There are many similar processes for which interpretation is required. However, if you can connect your treatment in the process piping so that waste is never handled before treatment, you should not require a permit.

2. Elementary Neutralization Unit

This exemption applies to hazardous wastes that are hazardous only because of the characteristic of corrosivity. Thus hazardous waste acids and bases are treated without a permit creating a material which is no longer a hazardous waste. Listed wastes cannot be neutralized without a permit. If the corrosive wastes also contain another hazardous constituent, this exemption does not apply.

3. Permit-by-Rule

A generator who dewaters or dries the waste before shipping the waste for treatment or disposal does not require a permit from the dewatering treatment facility.

4. Discharges to a Publicly Owned Treatment Works (POTW)

The wastes which a generator is allowed to discharge to a publicly owned treatment facility (POTW) are not hazardous wastes and neither the wastewater pretreatment facilities nor the POTW need have a hazardous waste treatment permit.


5 . Direct Discharges to Surface Waters

Wastewater treatment regulated under the Clean Water Act is exempt from the RCRA hazardous waste treatment permit.

COMMERCIAL FACILITIES

Generally regard anybody you deal with to transport, treat or dispose of your waste as somebody with whom you are willing to share a long-term risk, because that is what you are doing. That applies whether the waste is in the hazardous waste system or not.

There are no firm guidelines to use in choosing a commercial vendor beyond those that you would use to choose others you do business with. Nobody (and certainly not the government) shares responsibility for your choice.

Being listed in a state or federal "directory" of commercial hazardous waste management facilities is no guarantee of the facility's capabilities. Use any prepared list or directory judiciously. The careful waste manager will quickly ascertain that these lists or directories are quickly outdated. Typically, one can find a number of the "listed" waste management facilities simultaneously identified as current Superfund projects.

Any list or directory may provide an initial starting point in reviewing waste management options, but a more detailed and thorough screening is necessary before commitments are made.

1. Check with the State Government

Access to state files is generally much easier than trying to review federal government information. A visit to the state regulatory agency with a request to review the facility file is all that is necessary to gain access to all but only the most confidential or enforcement sensitive (attorney-client privilege) information. Most state regulators are glad to assist you in securing adequate and environmentally sound waste management services. Be sure to check financial assurance (and insurance) information.

In some instances, should it prove necessary, requests can be made for federal records under the Freedom of Information Act


(FOIA). Some states also have similar public access laws and programs. While reviewing state records, make an appointment to talk with the inspector responsible for the facility under consideration. Is the facility generally in compliance or is it generally out-of-compliance with the agency? Review the state file on the facility.

2. Visit the Facility

No one can predict how any business will be doing five years from now, but we can check now on corporate attitudes and ability towards orderliness and housekeeping. Treatment and disposal businesses that are in trouble frequently are not doing a good job of accepting, cataloging, storing, treating and disposing of their wastes. A large quantity of barrels awaiting treatment or disposal or poorly stored barrels can be very bad signs.

Determine how the facility management feels about unannounced corporate client inspections. Is there a willingness to show you the operations or do you hear that the corporate relations staff isn’t in, or their insurance prohibits it, or the system is down?

Almost any facility at one time or another has been cited by state or federal regulators for a violation. Will the facility talk with you about them? Have they been corrected? Were they major or minor violations? Do they have proper insurance and will they show it to you?

3. Talk with Other Generators

Conversations with other generators may be made easier if the facility is willing to share some of its customers with you during an interview. If not, the state records most certainly will have documents (manifests or biannual reports) from which other generators may be determined.

What has been their experience with this facility? Do they make regular corporate compliance inspections?

Surprisingly, it is not uncommon for several units (plants) of the same corporation to be using the same waste management facility (or different ones) without ever sharing this information.


Check with your other plants to see what they are doing.

wastes received at the gate? unacceptable loads?

Does the facility routinely check chemical composition of Does the facility turn back

4. Be Certain You Know Exactly Where Your Waste Will Go

Knowing where your waste is or obtaining a "certificate of destruction" may be extremely valuable in the future.

If you are using a landfill as a disposal facility, ensure that the facility is capable of determining and documents the exact location of your waste, using an established gridheference system. Being able to pinpoint potential trouble spots is critical both to the facility and to you. For instance should a waste characterization analysis prove faulty, the ability to exhume a specific section of landfill, rather than several acres, is important. As a matter of good practice, waste analysis should be performed on a routine basis by both the corporate waste manager as well as the waste management facility just so as to preclude such a possibility. Good management practice doesn't just start at the gate of the waste management facility.

If you are using an incinerator, be sure that you can get a "certificate of destruction" or some documentation that shows data and time of incineration. Note carefully (through onsite visits and historical records) the amount and type of storage capacity for the particular facility. In particular, what are their contingency plans for your waste in the event of a plant shutdown for whatever reason? Can they handle wastes at other facilities or do your wastes sit or continue to pile up while repairs are made?

A number of hazardous waste streams, because of their flammability, have potential for use in a "fuels program." That is, they may be used individually, or blended with other flammable wastes and used as auxiliary fuel sources in boilers and furnaces. Although this may be a legitimate practice, it may become a difficult one for the corporate waste manager to assure adequate documentation. Specific assurances for the "equality" of the waste are paramount for both the corporation and waste management facilities alike.

Quality controls, and quality assurance procedures, proper manifesting, and even shipping and sales receipts may become an


important part of any corporate waste management strategy that utilizes a "fuels program" as an alternative to incineration or reclamation.

As a corporate waste manager, you must, in concert with other corporate staff, identify and understand short and long-term costs and liabilities associated with whatever management option is selected. The corporate "comfort level" is directly proportional to many of the activitiedquestions discussed in this chapter. Continuous attention to detail is important to minimize future liability and potential double handling (at tremendous cost) of your own waste material.

WASTE MINIMIZATION PRACTICES

Our environmental protection efforts in this country currently emphasize the control and cleanup of pollution by hazardous materials after they are generated as hazardous waste and no longer serve a useful purpose. Virtually all industries generate hazardous waste; and, the cost of controlling these wastes is in the billions of dollars annually. Hazardous materials that are not destroyed can ultimately enter the environment to contaminate clean areas.

In an attempt to protect our environment, numerous regulatory controls have been implemented by the Environmental Protection Agency (EPA) in the code of Federal Regulation (CFR), Title 40. These regulations control discharges to the air, water and land. Accordingly, stiff financial penalties can be levied against those who follow unacceptable practices.

Congress strengthened its position on environmental protection by preparing the following policy statement: "The Congress hereby declares it to be the national policy of the United States that, wherever feasible, the generation of hazardous waste is to be reduced or eliminated as expeditiously as possible. Waste nevertheless generated should be treated, stored, or disposed of so as to minimize the present and future threat to human health and the environment." This policy statement is supported by the waste minimization provision included in the Resource Conservation and Recovery Act, as amended by United States Congress.

At present there are only three formal statutory requirements relating to waste minimization. All were enacted as part of the 1984 Hazardous and Solid Waste Amendments (HSWA) (Still referred to as RCRA by many in this field).


1. Section 3002(b) of HSWA requires generators to certify on their waste manifests (mandated under Section 3002(a)) that they have in place a program to reduce the volume or quantity and toxicity of such waste to the degree determined by the generator to be economically practicable.

2. Section 3005(h) of HSWA requires the same certification in relation to any new permit issued for treatment, storage, or disposal of hazardous waste.

3. Section 3002(a)(6) of HSWA requires, as part of any generator's biennial report to EPA, the generator to describe the efforts undertaken during the year to reduce in volume and toxicity of waste generated as well as changes in volume and toxicity of waste actually achieved during the year in question in comparison with previous years.

These requirements are intended to increase the awareness of generators and facility owners and operators of the importance of minimizing hazardous wastes and to serve as the basis for more specific and farther reaching developments. They are not restrictive. Each generator must determine whether any particular waste minimization approach that might apply to a process is economically practicable.

EPA provides a working definition for the term "waste minimization" focusing on primarily two types of activities: (1) source reduction and (2) recycling. These definitions are as follows:

Source Reduction. Reduction or elimination of waste generation at the source, usually within a process. Source reduction measures can include some types of treatment processes, but they also include process modifications, feedstock substitutions or improvements in feedstock purity, various housekeeping and management practices, increases in the efficiency of machinery, and even recycling within a process. Source reduction implies any action that reduces the amount of waste exiting from a process.

Recycling. The use or reuse of a waste as an effective substitute for a commercial product, or as an ingredient or feedstock in an industrial process. It also refers to the reclamation of useful constituent fractions


within a waste material or removal of contaminants from a waste to allow it to be reused. Recycling implies use, reuse, or reclamation of a waste either onsite or offsite after it is generated by a particular process.

Waste Minimization. The reduction, to the extent feasible, of hazardous waste that is generated or subsequently treated, stored, or disposed of. It includes any source reduction or recycling activity undertaken by a generator that results in either (1) the reduction of total volume or quantity of hazardous waste, or (2) the reduction of toxicity of hazardous waste, or both, so long as the reduction is consistent with the goal of minimizing present and future threats to human health and the environment.

Figure 1 illustrates the waste minimization techniques referred to in EPA’s definitions.

The Congressional Office of Technology Assessment (OTA) has established the following definition:

Waste reduction. In-plant practices that reduce, avoid, or eliminate the generation of hazardous waste so as to reduce risks to health and environment. Actions taken away from the waste generating activity, including waste recycling or treatment of wastes after they are generated, are not considered waste reduction. Also, an action that merely concentrates the hazardous content of a waste to reduce waste volume or dilutes it to reduce the degree of hazard is not considered waste reduction. This definition is meant to be consistent with the goal of preventing the generation of waste at its source rather than controlling, treating, or managing waste after its generation.

There are several reasons for minimizing waste generations. Some are mandatory (Le., regulatory) and others are nonmandatory (i.e., economic). Regulatory-driven requirements discussed earlier include:

0 Certification of a waste minimization program on the Manifest (Section 3002(b)). Certification of a waste minimization program in relation to TSD facility permitting (Section 3005). Biennial reporting on the status of the waste minimization program (Section 3002(a)).

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Economic-driven incentives include, among others, the following:

0 Increasing land disposal costs. 0 More costly treatment technology. 0 Reduction in raw material cost. 0 Liability avoidance. 0 Energy conservation. 0 Reduced operating costs.

Often times waste minimization incentives are associated with the reduction of risk to the health and safety of the operational personnel and to the environment. This is a favorable response where operational personnel are only peripherally involved (such as storage and handling of packaged products) and where the Treatment, Storage, and Disposal Facilities (TSDFs) are properly managed, maintained, and inspected.

Organizations need to recognize the possible benefits to be gained from waste minimization efforts, even it its considered a long-term ideal rather than an immediate goal. Most companies will embrace the concept but do not vigorously implement standard procedures. Because of this, a good mix of incentives (Le., economic savings) and waste management controls are needed to encourage an acceptable level of participation.

Waste minimization strategies have focused largely on refinements in the manufacturing process such as process modifications and product reformation. These efforts have been mostly voluntary and many companies that have become involved have realized success in significant cost savings. Some private firms have actually reversed the competitive edge in their favor and improved the marketability of new products through the implementation of an internal waste minimization program.

Many companies have initiated good housekeeping and storage management practices as part of their hazardous waste minimization plans; but, the fundamental programs of some companies remain unchanged. The following are practices that can be incorporated into a waste minimization plan:

Inventory Control and Accounting Methods. Improve inventory control and accounting methods and the reduction of on-hand quantities of potentially dangerous chemicals are effective management tools to


reduce the amount of hazardous waste generated from spills, expired sheir-life, and excess quaititics .

Waste Segregation. When hazardous waste is generated, proper handling and segregation are necessary to maximize the reclamation potential of the waste material. Simple plans designating specific areas for segregation of potentially valuable chemicals from unserviceable chemical wastes will enable a company to achieve lower quantities of hazardous wastes for disposal, lower disposal costs, and increased waste recycling.

Employee Training and Motivation. An employee training program can ensure that every person storing or handling hazardous material is aware of the potential of a hazardous material becoming hazardous waste. Many have initiated such training and awareness programs to keep employees informed of waste reduction advances and goals; and, some have established reward programs for employees that provide suggestions leading to successful waste reduction.

Material Handling Improvements. Improvements in the operation of material handling equipment can help minimize the amount of waste generated by a facility. The best practice is minimizing unnecessary movement of hazardous material. When hazardous materials are handled, the proper equipment for safe movement should be used. Use of equipment not suited for the task can lead to damage and loss of materials. For example, the rated capacity of a piece of equipment should never be exceeded. Power-loading equipment can create a dangerous situation with the potential of generating hazardous waste. Using improved handling methods can help minimize damaged materials and the amount of waste a facility generates.

Involvement by All Employees. Waste reduction must be accepted as the responsibility of all workers and managers involved in production rather than just those who are responsible for pollution control and compliance.

Transfer of Knowledge. Waste reduction techniques learned in one part of the organization or company might have utility in another part.


Isolated successful methods should be reviewed and considered for implementation as standard practices.

Spill Control and Good Housekeeping. Much hazardous waste results from spills of hazardous materials and poor housekeeping practices. Institution of good spill control and containment and good housekeeping practices (like drip pans) can materially reduce hazardous waste generation.

Waste Reduction Audit. When an audit is used to minimize generation of hazardous waste, identification of all waste sources is extremely important. Waste source identification and quantification may require an extensive onsite inspection. Once the waste sources are identified, the next step is to identify waste reduction methods. Methods for waste reduction must be evaluated for effectiveness, extent of current use, future application potential, and cost.

After all the waste sources and waste reduction methods are identified, discussed, and evaluated, a document outlining and explaining implementation options must be prepared and presented. The objective is to stimulate alternative reduction methods rather than to select from prepared options.

Waste Exchange. Many avail themselves of the services of waste information and waste material exchanges. The waste information exchange is, in effect, a clearinghouse for information. When a generator is faced with the problem of disposing of a particular waste stream, consideration of such factors as the cost of raw materials and waste management may prompt him to solicit the services of a waste information exchange and, in turn, a waste material exchange for the actual removal and disposition of the waste. Regardless of problems that can occur with regard to waste management, participation in a waste exchange program as part of waste minimization is considered to be an effective option.

Current pollution controls do little more than move waste around from one medium to another (Le., air, land, and water). Also, many wastes are not yet regulated. Therefore, a comprehensive, management approach to waste minimization is essential. By reducing the generation of waste, industry can use materials more effectively and achieve


improved protection to health and the environment. Waste reduction at the source is an economically sensible approach whereby industry can lower waste management and regulatory compliance costs, liabilities, and risks. Waste minimization efforts cannot eliminate all wastes, but it can help to lower costs to operators as regulations continue to expand.

WASTE STORAGE PRACTICES

Storage regulations are a vital issue to all hazardous waste generators. To avoid a storage permit requirement, wastes cannot be accumulated by the generator for longer than 90 days. Accumulation time begins when the first drop of waste enters a drum or a bulk storage tank. (The first drop in a drum as start of accumulation start date has caused some problems. The regulations do not specify start date for drums. The accumulation start date for wastes in satellite filling areas begins when the 55-gallon drum is full. After the drum is full, 72 hours are allowed before the drum must be moved to the storage area. The 90-day exemption from a permit requirement is contingent on satisfying requirements for proper storage, labeling, employee training, and contingency plans.

Exceptions to the 90-day limit include small quantity generators and generators of a characteristic (not listed) waste who have obtained a resource/reuse/recovery exclusion. Accumulation time for the small quantity generator begins when total accumulated wastes reach 1000 kg. Check with the state agency with regard to storage accumulation for excluded characteristic wastes.

The basic principles of sound management of stored wastes (and hazardous materials) include considerations of the following:

1. Container Management Plan (reusing uncleansed drums may be very hazardous)

2. Protection from Weather 3. Segregation of Incompatible Wastes (Materials) 4. Contingency and Emergency Plan (must be written and

employees trained to implement) a. Actions required by personnel b. Arrangements with local fire, police, and hospitals


c. Equipment list d. Evacuation plan

5. Preparedness and Prevention Plan (must be written) a. Maintenance of the facility b. Required equipment c. Maintenance and testing of equipment d. Access to alarm and communication equipment e. Required aisle space f. Local authorities arrangement

6. Labels and Labeling Plan 7. Accumulation Starting Plan and Records. 8. Employee Training Plan (must be written) 9. Detailed Job Descriptions for all employees working in area

(may be most common violation)

Generators who apply for a RCRA storage permit are required to develop a written Part B application which should address:

1. General Facility Standards a. Waste analysis and waste analysis plans b. Facility security c. Inspection requirements d. Personnel training

2. Prevention and Preparedness Plan 3. Contingency and Emergency Plan 4. Manifest and Recordkeeping System 5. Groundwater Monitoring 6. Closure and Postclosure 7. Financial Requirements

a. Closure limit estimate b. Liability insurance

8. Use and Management of Containers

10 MANAGING UNDERGROUND STORAGE TANKS

INTRODUCTION

Leaking Underground Storage Tanks (UST) have become an increasing source of groundwater contamination. Corrosion and improper installation of systems are the major causes of leaking underground tanks and their piping. Because of the increasing numbers of water supplies being contaminated by toxic substances stored in underground tanks, regulations concerning tanks, their construction, installation, and use have been established.

This chapter reviews the federal regulations for storage tanks for the management of hazardous waste and for underground tanks that contain petroleum products and hazardous substances. The chapter also outlines requirements for inventory monitoring, leak testing, corrosion protection, secondary containment, corrective action, and financial responsibility.

In the HSWA amendments of 1984, the United States Congress also enacted Subtitle I out of concern for the risks that leaking underground tanks posed a threat to the nation’s groundwater resources. Subtitle I provided for the development and implementation of a comprehensive regulatory program for underground tanks containing regulated substances other than hazardous wastes. Subtitle C regulations cover hazardous waste tanks, and Subtitle I regulations cover petroleum products and hazardous substances.

Subtitle C - REGULATIONS FOR HAZARDOUS WASTE STORAGE AND TREATMENT TANKS

EPA established hazardous waste standards applicable to accumulation tank systems, interim status tank systems, and permitted tank systems.

369


These regulations were codified as 40 CFR Parts 264 and 265, Subpart J, and became effective on January 12, 1987.

The regulations covered by this Subpart apply to tank systems used for treatment or storage of hazardous wastes. Included are aboveground, onground, and underground tank systems.

Exceptions to the regulation include:

1. Tanks used to store or treat a hazardous waste which contains no free liquids and are situated inside a building with an impermeable floor.

2. Tanks that are a part of a "close-loop" recycling system.

3. Tanks that are themselves a part of a secondary containment system.

Basic requirements for existing tank systems that do not have secondary containment include the following requirements:

1.

2.

3.

Undergo integrity checks to determine that the tank system is not leaking or is unfit for use.

Obtain a written assessment by an independent professional engineer to document the tank system's integrity. This assessment must consider design standards, compatibility, corrosion protection, age of the tank, and prior integrity checks.

If a tank system is found to be leaking or unfit for use, the owner or operator must comply with the requirements for spills and leak response.

Owners or operators of new tank system or components must:

1. Obtain and submit to the Regional Administrator a written assessment, reviewed and certified by a professional engineer, attesting that the tank system is acceptable for storing and treating a hazardous waste. Minimum requirements are addressed in 40 CFR 264.192(a).

Managing Underground Storage Tanks 371

2.

3.

4.

5 .

6.

Ensure proper handling procedures are adhered to in order to prevent damage to the system during installation.

Ensure clean, noncorrosive backfill is used during installation and compacted so that the tank and piping are uniformly supported.

Conduct tightness testing on tanks and ancillary equipment prior to covering with backfill.

Provide corrosion protection as recommended by an independent corrosion expert.

Maintain all records associated with the installation, certification, operation, etc. of the hazardous waste tank system.

MEASURE TO PREVENT/DETECT RELEASES

Complete secondary containment must be installed in the following situations :

1 . All new hazardous waste tank systems or components.

2. All existing tank systems used to store or treat EPA hazardous waste codes F20 through 427.

3. For existing tanks systems of known and documented age or when the tank system has reached 15 years of age.

4. For tank systems for which the age cannot be documented, within eight years of January 12, 1987.

Secondary containment systems must be:

1 . Designed, installed, and operated to prevent migration of waste to the soil or groundwater at any time.

2. Capable of detecting and collecting releases.


3. Capable of meeting the design standards specified in 40 CFR 264.193(c), (d), and (3) or 265.193(c), (d), and (e).

Ancillary equipment must also be provided with secondary containment as specified in 40 CFR 264.193(b) and (c) or 265.103(b) and (c) except for:

1.

2.

3.

4.

Aboveground piping that is visually inspected for leaks on a daily basis.

Welded joints and connections that are visually inspected daily.

Pumps without seals or magnetic coupling pumps that are visually inspected daily.

Pressurized aboveground piping systems with automatic shutoff devices.

Variances for secondary containment of tank systems and/or ancillary equipment may be obtained from the Regional Administrator if the owner/operator can demonstrate an acceptable alternative.

GENERAL OPERATING REQUIREMENTS

As a general practice, hazardous wastes must not be placed in a tank system if they could cause the tank or ancillary equipment to leak, corrode or otherwise fail.

The owner or operator of hazardous waste tank systems must take precautions to prevent spills and overflows. These include:

1. Spill prevention controls.

2. Overfill prevention controls.

3. Maintenance of sufficient freeboard in uncovered tanks.

4. Compliance with corrective action requirements in case of a spill or release.


Inspection schedules must be developed for all hazardous waste tank systems. At a minimum they must address inspections of

1. Overfill devices.

2. Aboveground portions of the tank system.

3. Data gathered from monitoring and leak detection equipment.

4. Cathodic protection devices.

RESPONSES TO LEAKS OR SPILLS

A tank or secondary containment system from which there has been a leak or spill, or which is unfit for use, must be removed from service and the owner or operator must satisfy the following requirements:

1.

2.

3.

4.

5 .

6.

Discontinue the flow of waste into the tank and inspect for leaks.

Remove waste from the tank or secondary containment system.

Contain any visible release of waste to the environment.

Initiate notification reports to the Regional Administrator within 24 hours.

Initiate repairs in accordance with 40 CFR 264.196(e)(2) through (4) or 265.196(e)(2) through (4).

Obtain certification from an independent professional engineer that the repaired system is capable of handling hazardous waste.

CLOSURE AND POSTCLOSURE REQUIREMENTS

At closure of a tank system, the owner or operator must remove or decontaminate all waste residues, contaminated containment system components, contaminated soils, structures, and equipment contaminated


with waste, and manage them as a hazardous waste. Figure 1 shows the removal of a UST.

The closure plan, closure activities, cost estimates and financial responsibility for tank systems must meet the requirements specified in 40 CFR 264 or 265, Subparts G and H.

Special Requirements--for Ignitable, Reactive, or Incompatible Wastes in Tanks

The following requirements apply when handling specialized wastes:

1 . Ignitable or reactive wastes must not be placed in tank systems unless: a. The waste is treated after placement in the tank so it no

longer meets the definition of ignitable or reactive. b. The waste is stored or treated in such a way that it is

protected from conditions that would cause the waste to ignite or react.

c. The tank is used only for emergencies.

2. The owner or operator of tank systems used to treat or store ignitable or reactive wastes must comply with the requirements for protective distances as specified in the National Fire Protection Association's "Code for Flammable and Combustible Liquids. I'

Figure 1. Removal of a gasoline UST.


3. Incompatible wastes must not be placed in the same tank system.

4. Hazardous waste must not be placed in a tank system that has not been decontaminated and that previously held an "incompatible" waste or material.

Subtitle I -- REGULATIONS FOR UNDERGROUND STORAGE TANKS STORING PETROLEUM PRODUCTS OR HAZARDOUS SUBSTANCES

Applicability (40 CFR 280, Subpart A)

An UST is any tank and associated piping used to contain regulated substances which has at least 10 percent of its volume below ground. This definition does not include:

1.

2.

3.

4.

5 .

6.

7.

8.

9.

Farm or residential tanks of 1100 gallons or less, used for storing motor fuel for noncommercial purposes.

Tanks used for storing heating oil for consumptive use on the premises where stored.

Septic tanks.

Pipeline facilities.

Surface impoundments, pits. ponds, or lagoons.

Stormwater or wastewater collection systems.

Flow-through process tanks.

Liquid traps or associated gathering lines related to oil or gas production and gathering operations.

Storage tanks situated on an underground area, if the tank is upon or above the surface of the floor (i.e., a basement, cellar, or shaft).


The regulations apply to owners and operators of USTs storing either petroleum products or hazardous substances. EPA defines a hazardous substance as any material listed in Section 101 (14) of the Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA), other than a hazardous waste.

Some UST systems are excluded from regulation and are subject only to interim prohibition (described below), and corrective actions. This includes :

1 . Wastewater treatment tanks.

2. Sumps.

3. UST systems containing used oil.

4. Underground bulk storage tanks (greater than 20,000 gallon capacity)

5. UST systems containing radioactive wastes.

6. UST systems containing electrical equipment.

7. Hydraulic lift tanks.

Interim Prohibition--Another provision of the Hazardous and Solid Waste Amendments of 1984 required set standards for new underground tank systems installed after May 7, 1985. This prohibition is to be in effect until EPA enacts final regulations for underground petroleum tanks and tanks containing hazardous chemicals. According to the interim prohibition, no new underground tank systems may be installed unless they:

1. Will prevent releases due to corrosion or structural failure for the operational life of the tank.

2. Are cathodically protected against corrosion, constructed of noncorrosive material, steel clad with a noncorrosive material, or designed in a manner to prevent releases.


3. The material used in construction or lining of the tanks is compatible with the material to be stored.

Installation and Notification (40 CFR 280, Subpart B)

The following standards are required for new UST systems to prevent releases due to structural failure or corrosion.

1. Each tank must be designed, constructed, and protected from corrosion as specified below: a. b.

Constructed of fiberglass reinforced plastic. Constructed of coated steel with a corrosion protection system, designed, operated, and maintained by an independent corrosion expert.

c. Constructed of a steel-fiberglass reinforced plastic composite.

d. Designed and constructed to prevent the release of a regulated substance and is equally protective of the environment.

2. Underground piping must also be designed and constructed as to prevent a release to the environment.

3. Installation of tanks and piping must be according to the manufacturer’s instructions and must: a. Take precautions to prevent damages to the tank and

piping during installation. b. Provide sufficient space for tanks, piping, and associated

equipment, and allow for compaction of backfill material. c. Provide clean, noncorrosive backfill material which allows

for proper support and protection of the tank and piping after installation.

d. Install supports and anchorage for tanks located in high water tables to avoid flotation.

e. Avoid crossed lines and interference with conduit and other tank system components.

f. Assure pipe joints are cut accurately and deburred to provide liquid-tight seals.


g. Provide swing joints or flexible connectors at the beginning and end of each line, as well as where lines change direction. Assure installation of tank and piping as in accordance with the manufacturer’s instructions and specifications. Provide for tank and piping tightness testing after backfill is installed and before the system is operational.

h.

i.

4. All owners and operators must submit information demonstrating compliance with the installation requirements and certify compliance on the UST notification form (EPA Form 7530-1).

Within ten years of the effective date of the final regulations, all existing UST systems must comply with the performance standards for new UST systems, must have field-installed cathodic protection designed by an independent corrosion engineer, or permanently closed in accordance with CFR Part 280.80.

Notification--Owners/operators of existing underground storage tanks and those taken out of service after January 1, 1984, but still in the ground, were required to notify the state agency prior to May 8, 1986. The information requested on the notification included the age of each tank at a facility, the material of construction, type of internal and external protection, type of piping and substance being stored in the tank. Currently, any owner/operator who brings a new UST system into use after May 8, 1986, must submit notification to the appropriate agency within 30 days.

General Operating Controls (40 CFR 280, Subpart C)

Specifically included are requirements for spill and overfill control, operation, and maintenance of corrosion protection, tank repairs, and recordkeeping .

1. All owners/operators must ensure that releases due to spills and overflows do not occur. Owners must: a. Ensure that the volume available in the tank is greater than

the volume of product to be transferred.


2.

b. Ensure that a person is present at all times during transfer to observe the transfer.

New UST systems, as well as all existing USTsystems, must use one or more of the following spill prevention devices: a. Level measurement with audible or visual alarm when the

tank is 90 percent full. b. Automatic flow shutoff device when the tank is 95 percent

full. c. A spill catchment basin around the fill pipe, large enough

to contain the volume of the hose. d. An equivalent device for spill control.

All owners and operators of existing UST systems must provide one or more of the spill or overfill prevention devices within ten years of the effective date of the final regulations.

3. Owners and operators of steel UST systems with corrosion protection must comply with the following requirements to prevent releases: a. Continuous operation and maintenance of corrosion

protection equipment. b. Inspection of cathodic protection systems by an

independent corrosion expert according to frequencies specified in 280.3 1 (b) .

c. Must maintain records of corrosion protection to document compliance.

d. Certify compliance with the corrosion protection requirements on the tank notification form.

4. UST systems must be made of, or lined with, materials that are compatible with substance stored in the tank.

5 . A tank may be repaired and relined once, provided written certification is received from an independent registered professional engineer that: a. b. The lining material is compatible with the regulated

It passed the vacuum test.

substance.


c. The tank was inspected internally and found to be structurally sound.

d. The tank had not been repaired or relined previously.

6. Additional requirements are also in effect for tank systems being repaired: a. Steel tanks with corrosion holes that are being repaired

must be retrofitted with a corrosion protection system. b. Repairs to fiberglass reinforced plastic tanks may be made

only by the manufacturer’s authorized representative. c. Vacuum tests (at 5.3 in. Hg) are required after the

repairhelining is completed and before returning the system to service.

d. Piping and fittings damaged by corrosion cannot be repaired, only replaced.

e. Tank tightness tests must be performed within one year of repair on all UST systems without interstitial monitoring or other release detection. Adequate records must be maintained which document compliance with the repair requirements.

f .

7. Owners and operators of UST systems must cooperate with the appropriate implementing agency, including request for document submission, testing andlor monitoring. All required records are to be maintained onsite, immediately available for inspection, or available at an alternate site and provided for inspection within 24 hours.

Release Detection (40 CFR 280, Subpart D)

Owners and operators of new and existing UST systems must provide a method of leak detection that is:

1. Capable of detecting a release from any portion of the UST system.

2. Installed, calibrated, operated, and maintained in accordance with the manufacturer’s instructions.


3. Capable of meeting the performance standards in 40 CFR 280.11.

4. Sampled, tested, or checked for releases at least every thirty days.

If an external release detection method is to be used, a site

Existing UST systems must comply with the following schedule for assessment must be performed prior to installation.

the release detection requirements:

1. Existing UST systems that are not protected from corrosion and not made of noncorrodible materials--three years from the effective date of the regulations.

2. Existing UST systems that are protected from corrosion or made of noncorrodible materials--five years from the effective date of the regulations.

3. Existing UST systems that cannot apply an approved method of release detection must be permanently closed within five years of the effective date.

New UST systems must use one of the leak detection methods specified in 40 CFR 280.41(c) through (i). The tank owner must notify the implementing agency within thirty days of bringing a tank into use.

Owners of new hazardous substance UST systems must provide interstitial monitoring between the UST system and the required secondary containment as a release detection method, unless an alternate method is approved. Approved methods of release detection are specified in 40 CFR 280.41, paragraphs (c) through (i).

Owners and operators of new UST systems must have release detection for underground piping that meets the requirements for release detection for tanks. In addition, owners of new UST systems with piping that conveys a regulated substance under pressure must use a method of continuous release detection that is capable of automatically detecting and shutting off a release of at least two gallons per hour (with special exceptions). Owners of new petroleum UST systems with underground


piping that convey petroleum under suction are given a limited exception from release detection.

Records must be maintained to demonstrate compliance with leak detection requirements. They must include documentation on equipment installation as well as results of any sampling, testing, or monitoring.

Release Reporting and Investigation (40 CFR 280, Subpart E)

When a suspected release has occurred, all UST owners and operators must report within 24 hours to the implementing agency the following information:

1.

2.

3.

4.

Sampling or monitoring results from leak detection which indicate that a release may have occurred.

Unusual operating conditions which may be indicative of a problem.

Impacts in the surrounding area such as evidence of substances or vapors in the soil, sewers, utility lines, basements, or nearby surface water.

Analysis by a gas chromatograph that there is a concentration of at least 100 ppm of total hydrocarbons in the soil.

Any spill of a regulated substance that exceeds its reportable quantity under CERCLA or any spill of petroleum that exceeds 25 gallons or causes as sheen on surface water, shall be reported to the implementing agency within 24 hours. Spills of less than 25 gallons of petroleum, which cannot be cleaned up within 24 hours, must also be reported. Releases of RQ quantities of hazardous substances must be reported to the National Response Center immediately under 40 CFR Part 302 regulations.

Unless corrective action is initiated by the owner or operator, or ordered by the implementing agency, suspected releases must be investigated according to the following procedure. Confirmations of a release requires corrective action:


1. Site specific investigation under the direction of the implementing agency.

2. Investigation of the interstitial area in hazardous chemical tanks with secondary containment.

3. For tank systems which failed tank or piping tightness tests: a. b.

c.

Check inventory records to detect any discrepancies. Retesting of tank and piping system separately within seven days. Analysis of soil core samples for hydrocarbon and/or chemical contamination in the unsaturated zone under the UST system.

As required by the implementing agency, all suspected releases requiring reporting must be investigated and confirmed or disproved by the owner to establish whether corrective action under Subparts F and G must be followed.

Corrective Action for UST Systems Containing Petroleum (40 CFR 280, Subpart F)

In response to a suspected or confirmed release from a UST system containing petroleum, the owner must comply with the following requirements:

1. Report the release to the implementing agency.

2. Stop any further release from the UST system.

3. Mitigate fire and safety hazards.

4. Remove and properly dispose of visibly contaminated soil.

5. Report initial corrective action taken within twenty days of discovery of the release.

6. Conduct an investigation to determine the presence of free product and initiate removal as soon as possible.


The owner or operator must assemble information on the site investigation to complete all corrective action measures. This information must be submitted to the implementing agency according to a schedule established by the agency.

Corrective action plans will be required for soil and/or groundwater cleanup operations. These plans will be approved by the implementing agency only if their implementation provides adequate protection of human health and the environment. Prior to approval of the corrective action plan, the public will have an opportunity to review and comment on the plan. Notice is to be given to those directly affected by the release.

Corrective Action for UST Systems Containing Hazardous Substances (40 CFR 280, Subpart G)

In response to a release from a UST system containing a hazardous substance, the owner or operator must comply with the following requirements:

1. Immediately stop the flow of substance into the tank of secondary containment and inspect to determine the cause of the release.

2 . Within 24 hours after confirmation of a leak--remove enough of the substance to prevent further release.

3. Contain any visible release of material to prevent migration to soil or surface water.

4. Initiate a site investigation.

As described in Subpart F for petroleum tank releases, once a release of a hazardous substance has been confirmed, steps need to be taken to remediate the situation. This includes a corrective action planning and implementation, along with reporting requirements to the implementing agency and public participation.


Out-of-Service UST Systems and Closure (40 CFR 280, Subpart H)

When a UST system is taken out of service for less than three months, and if regulated substances are left in the tank, the owner must:

1. Continue operation and maintenance.

2. Continue release detection measures.

3. Comply with Subparts E, F, and G if a release is suspected.

A UST system taken out of service for more than 3 months, but less than 24 months, and regulated substances are left in the tank, it must meet the following requirements in addition to those mentioned above:

1 . Leave vent lines open and functioning.

2. Cap and secure all other lines, pumps, manways, and ancillary equipment.

When a UST system is taken out of service for longer than 24 months, it must be permanently closed according to the following:

1.

2.

3.

4.

5 .

Notify the implementing agency.

Assess the excavation area for potential releases. This may be done by soil sample analysis and/or groundwater monitoring.

Tanks must be emptied and removed from the ground or filled with inert solid material.

Releases discovered during closure and subject to corrective action requirements.

Adequate records must be maintained to demonstrate compliance with all closure procedures.


A final section of the Subtitle I Regulations requires owners and operators of petroleum tanks and those containing regulated substances to demonstrate financial responsibility. This requires $1 million dollars worth of insurance per facility to cover the cost of cleaning up a site and compensating other people for bodily injury and/or property damage.

11 FEDERAL INSECTICIDE, FUNGICIDE AND RODENTICIDE ACT

INTRODUCTION

The first version of the Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA) was passed by Congress in 1947. The primary purpose of the Act was to require registration of pesticides to protect consumers from misbranded, adulterated and/or ineffective pesticides. Jurisdiction was originally placed with the United States Department of Agriculture, but was transferred to the Environmental Protection Agency (EPA) in 1970.

In 1972 FIFRA was amended by the Federal Environmental Pesticide Control Act. It was this amended Act that completely restructured the federal pesticide regulatory scheme and redefined its thrust. FIFRA was changed from a labeling law into a comprehensive regulatory statute to control the manufacture, distribution, and use of pesticides. The primary purpose of the 1972 amendments was to ensure that pesticide use would be subject to a thorough review of environmental and human health hazards.

This was to be accomplished by requiring all pesticides sold or distributed in the United States to be registered by EPA. The Administrator of EPA hereinafter referred to as the "Administrator" was also given authority to suspend, cancel, or restrict pesticides that pose a risk to the environment. The requirements of this Act are enforced through inspections, labeling, notices, and regulation by state authorities. FIFRA was extended in 1975 by public law 94-140 and amended again in 1978 by public law 95-396. Key sections of the amended FIFRA and regulations (CFR-40) are discussed in more detail later.

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PESTICIDE REGISTRATION

Section 3(3) of the Act provides that, except as otherwise provided by the Act, no person in any state may distribute, sell, or otherwise place into commerce, any pesticide which is not registered with the EPA.

Each applicant for registration of a pesticide must file with the Administrator a statement (3(c)( 1)) which includes: the name and address of the applicant, the name of the pesticide, a complete copy of the labeling, a statement of claims, directions for use, and, if requested by the Administrator, a full description of tests and results on which claims are based. The complete formula for the pesticide, and a request for classification of use is also required. The Administrator publishes guidelines (3(c)(2)) specifying the kinds of information required to support registration.

Upon completion of application for registration and review of supporting data, the Administrator may approve (3(c)(5)) or deny (3(c)(6)) registration. To approve registration, the Administrator must determine (considering restrictions imposed under subsection (d)) that the material warrants the claims for it, its labeling and other material required to be submitted comply with requirements of the Act, it will function as intended without unreasonable adverse effects on the environment, and when used in accordance with widespread and commonly recognized practice, it will not generally cause unreasonable adverse effects on the environment.

If a pesticide can be used by an untrained person according to directions without unreasonable adverse effects on the environment or applicator, it is classified for general use, A pesticide that can harm the environment or injure the applicator even when being used according to directions is classified for restricted use.

If the Administrator classifies a pesticide for restricted use because of environmental or health hazard, the pesticide may only be used, for any use to which the restricted classification applies and by or under the direct supervision of a certified applicator. A pesticide product which is classified for restricted use shall bear a label containing a statement of restricted use classification and directions for use which are consistent with the terms of the restriction.

Federal Insecticide, Fungicide and Rodenticide Act 389

USE OF RESTRICTED USE PESTICIDES

In order to use restricted use pesticides, applicators must be certified. The Administrator sets minimum standards for the certification of applicators. Each state develops a state plan for certifying applicators which is approved by the Administrator (Sec. 4(a)(2) amended 1978).

A private applicator may use or supervise the use of restricted use pesticides to produce any agricultural commodity on property, he or his employer owns, or without compensation on another person’s property. A commercial applicator is certified to use or supervise the use of restricted use pesticides for any purpose on any property other than that provided in the definition of a private applicator.

To be certified as a commercial applicator, a person must demonstrate practical knowledge of the principles and practices of pest control including the safe use of pesticides by passing a written examination. In addition to general standards, he must pass an examination to show competency on one or more specific categories of pest control. To be certified as a private applicator, a person must show that he has knowledge of pest problems and control procedures related to his agricultural operation, but a written examination may not be required.

There are two basic classes of pesticide applicators.

EXPERIMENTAL USE PERMITS

Under FIFRA the Administrator is given the authority to issue and set terms for the experimental use of a pesticide in order to obtain data to support registration. The Administrator may establish a temporary pesticide residue tolerance level for the pesticide before issuing the experimental use permit.

ADMINISTRATIVE REVIEW; SUSPENSION

This section sets forth the procedure for changing classification, or suspension, or cancellation of registration if the Administrator has reason


to believe a registered pesticide does not comply with the Act or if when "used in accordance with widespread and commonly recognized practice, " generally causes unreasonable adverse effects on the environment.

Section 6 also states that the Administrator shall cancel the registration of any pesticide at the end of five years from the date of registrationunless the registrant or other interested party requests that the registration be continued in effect.

REGISTRATION OF ESTABLISHMENTS

Each establishment which produces pesticides must be registered with the Administrator. Producers are required to inform, within 30 days after initial registration and annually thereafter, which pesticide is currently produced, which has been produced in the past year, and which has been sold or distributed during the past year.

The Administrator assigns the establishment an establishment number. The number of the final establishment at which a specific pesticide product was produced must appear somewhere on the pesticide label.

RECORDKEEPING AND INSPECTIONS

All producers of pesticides and active ingredients used in producing pesticides are required to keep a variety of information on record. Records include: name and quantity of pesticides produced; receipt and shipment of all pesticides, active ingredients and devices; inventory; copies of advertisements of restricted use pesticides; copies of guarantees; export records; disposal methods, dates, locations, sites, and types and amounts of pesticides disposed; any tests conducted on human beings; and research data relating to registered pesticides.

These records must be available for inspection by EPA and/or state officials, after presentation of appropriate credentials, and a written statement of the reason for inspection.

For the purposes of enforcing the Act, officers or employees designated by the Administrator may, upon presentation of a written


statement as to the reason, enter any establishment or other place where pesticides are held for distribution or sale for the purpose of inspecting and obtaining samples of pesticides, containers, labels, etc.

TRADE SECRETS

This section prohibits disclosure of data or information related to trade secrets or commercial or financial information required by the Act to the public or to foreign producers by the Administrator and other federal employees.

OTHER MAJOR ISSUES OF FIFRA

Standards Applicable to Pesticide Applicator--No regulations under the Act may require a private applicator to maintain records or files. Certification standards for private and commercial applicators must be separate.

Unlawful Acts--This section specifies unlawful acts regarding distribution and use of pesticides. In general, it states that it is unlawful for any person in any state to distribute, sell, offer for sale, hold for sale, ship, deliver for shipment, or receive and (having so received) deliver or offer to deliver to any person any pesticides in a manner inconsistent with the requirements of the Act, or to use a pesticide in a manner inconsistent with its labeling.

Stop Sale, Use, Removal, and Seizure--Stop Sale Orders: If the Administrator has reason to believe, based on inspection and tests, that a pesticide is being or is intended to be distributed or sold in violation with any provisions of the Act, or when the registration of the pesticide has been canceled by a final order or has been suspended, the Administrator may issue a written Stop Sale, Use or Removal Order to any person who owns, controls or has custody of the pesticide. After receipt of such order, no person shall sell, use, or remove the pesticide except in accordance with provisions of the order.


Penalties--The Act provides for both civil and criminal penalties for violators of the Act. Civil penalties for commercial applicators, registrants, dealers, etc. shall not be more than $5000 for each offense. Any person who knowingly violates any provision of the Act is guilty of a misdemeanor and upon conviction may be fined not more than $25,000, or imprisoned for not more than one year, or both, for each violation.

Civil penalty for private applicators is a maximum fine of $lo00 for each offense. Private applicators convicted of knowingly violating the Act are guilty of a misdemeanor and may be fined not more than $1000 or imprisoned for not more than 30 days, or both, for each violation.

This section also provides that any person who intends to defraud, or uses, or reveals information relative to product formulas acquired under authority of section 3 shall be fined not more than $10,000, or imprisoned for not more than three years, or both.

Indemnities--If the registration of a pesticide is canceled to prevent an imminent hazard, the owners of the pesticide shall be paid an indemnity if they suffered a loss because of the cancellation, unless the Administrator finds that they had knowledge of facts that would have shown the pesticide did not meet registration requirements and continued thereafter to produce the pesticide without giving timely notice to the Administrator.

Imports and Exports--Pesticides produced solely for export to any foreign country and prepared or packed according to the specification and directions of the foreign purchaser will not be deemed in violation with the Act except that the pesticide must be subject to section 8 of the Act concerning records.

The Administration is required to notify foreign governments through the State Department whenever a registration, cancellation, or suspension of the registration becomes effective or ceases to be effective.

Pesticides which are imported are subject to inspection, and those which violate the Act will be refused entry or seized and destroyed.

The Administrator may exempt any federal or state agency from any provision of the Act if emergency conditions exist.


DISPOSAL, STORAGE, AND TRANSPORTATION

The Administrator has the authority to establish procedures and regulations for disposal and storage of packages and containers of pesticides, for disposal or storage of excess amounts of pesticides and to accept at convenient locations for safe disposal pesticides, which have had registrations canceled under section 6(c), if requested by the owner of the pesticide. The Administrator is also responsible for providing advice and assistance to the Secretary of Transportation with respkt to the transportation of hazardous materials.

Regulations under CFR 40 part 165 outline procedures recommended and not recommended for disposal and storage of pesticides and containers. Pesticides or containers should be disposed of or stored in a manner inconsistent with their labels. Open dumping, open burning (except open burning by the user of small quantities of combustible containers formerly containing organic or metallo-organic pesticides except organic mercury, lead, cadmium, or arsenic compounds), water dumping, and other procedures which violate federal or state pollution control standards, or any provisions of the Act are prohibited.

A. Recommended Procedures for Disposal of Pesticides: 1. Organic pesticides (except organic mercury, lead, cadmium,

and arsenic compounds) should be disposed of by:

0 Incineration in a pesticide incinerator. If incineration facilities are not available, pesticides can be buried in a specially designated landfill.

0 If adequate incineration or specially designated landfill facilities are not available, pesticides and containers should be stored temporarily until proper disposal can be achieved.

2. Metallo-organic pesticides (except organic mercury, lead, cadmium or arsenic):

0 Treat compounds by appropriate chemical or physical means to recover metals, then incinerate in a pesticide incinerator.


0 If appropriate treatment and incineration facilities are not available, bury in a specially designated landfill.

3. Organic mercury, lead, cadmium, arsenic, and all inorganic pesticides should be disposed of by:

Chemical deactivation to nonhazardous compounds and recovery of metals. If chemical deactivation facilities are not available, such pesticides should be encapsulated and buried in a specially designated landfill. Records should be kept to permit location for retrieval.

4. Residue and rinse liquids should be added to spray mixtures in the field. If not, they should be disposed of in the manner prescribed for each specific type of pesticide.

C. Storage of Pesticides and Containers

Pesticides, excess pesticides, and pesticide containers, whose uncontrolled release into the environment would cause unreasonable adverse effects on the environment, should be stored only in facilities where due regard has been given to the hazardous nature of the pesticide.

Special storage procedures and criteria should be observed at sites and facilities where pesticides (and containers) that are classed as highly or moderately toxic and required to bear the signal words DANGER, POISON, or WARNING, or the skull and crossbones symbol, are stored. Storage sites should be located where flooding is unlikely and where soil texture/structure, and geologic, hydrologic characteristics will prevent contamination of any water system by runoff or percolation. Where warranted, drainage from the site should be contained by dikes or barriers.

Pesticides should be stored in a dry, well-ventilated, separate area where fire protection is provided. Pesticides should be stored in original containers with labels in plain view. If original containers are damaged or in poor condition, contents should be transferred to a suitable, sound container and labeled clearly.


The facility should be secured by a climb-proof fence, and doors and gates should be kept locked to prevent unauthorized entry. Signs should be posted advising of the contents and warning of the hazardous nature of the pesticides. Equipment used in handling pesticides at the storage site should be labeled "contaminated with pesticides" and should not be removed from the site unless thoroughly decontaminated. Provisions should be made for decontaminating personnel and equipment.

In addition to precautions specified on pesticide labels, rules for personal safety, and accident prevention should be made available and followed at storage sites. Protective clothing should be provided workers. Procedures for fire control, fire hazard abatement and fire fighting precautions should be developed.

If a large quantity of pesticides is stored in an area, or if the situation otherwise warrants it, the owner of the stored materials should inform local fire departments, hospitals, public health officials, and police in writing of the hazards which would be present in case of a fire. He should also have the telephone numbers of the person responsible for the storage facility, the appropriate EPA Regional Administrator, United States Coast Guard, Pesticide Safety Team Network of the National Agricultural Chemicals Association, and the National Response Center. The National Agricultural Chemicals Association, (202) 296-1585, has an excellent free booklet entitled Pre-Fire Plan for Handling Agricultural Chemical Fires. The owner may decide to make arrangements with the fire department to let a fire burn without attempting to put it out, since higher temperatures adequately destroy many pesticides and by-products.

Where applicable, the outside of each storage area should be labeled with warning signs (DANGER, POISON, PESTICIDE STORAGE). An up-to-date list of the types of chemicals should also be posted outside each storage area.

A number of special precautions should be taken when fighting fires involving pesticides:

0 Air-supplied breathing apparatus and rubber clothing should be worn.


Avoid breathing or contacting toxic smoke or fumes. Wash completely and as quickly as possible after contacting smoke and fumes.

0 Contain water used in firefighting within the drainage systems of the storage site.

0 After fighting fire involving organophosphate or N-alkyl carbamate pesticides, choline esterase tests should be taken. Persons near pesticide fires should be evacuated.

It is advisable to monitor ground and surface water and plant and wildlife environment on a regular basis around pesticide storage facilities to assure minimal environmental damage.

12 MANAGING WORKER PERSONAL PROTECTIVE EQUIPMENT

INTRODUCTION

Anyone entering a hazardous waste site must be protected against potential hazards. The purpose of personal protective clothing and equipment (PPE) is to shield or isolate individuals from the chemical, physical, and biologic hazards that may be encountered at a hazardous waste site. Careful selection and use of adequate PPE should protect the respiratory system, skin, eyes, face, hands, feet, head, body, and hearing. This chapter describes the various types of PPE that are appropriate for use at hazardous waste sites, and provides guidance in their selection and use.

Use of PPE is required by Occupational Safety and Health Administration (OSHA) regulations in 29 CFR Part 1910 (see Table 1) and reinforced by U.S. Environmental Protection Agency (EPA) regulations in 40 CFR Part 300 which include requirements for all private contractors working on Superfund sites to conform to applicable OSHA provisions and any other federal or state safety requirements deemed necessary by the lead agency overseeing the activities.

No single combination of protective equipment and clothing is capable of protecting against all hazards. Thus PPE should be used in conjunction with other protective methods. The use of PPE can itself create significant worker hazards, such as heat stress, physical and psychological stress, and impaired vision, mobility, and communication. In general, the greater the level of PPE protection, the greater are the associated risks. For any given situation, equipment and clothing should be selected that provide an adequate level of protection. Over-protection as well as under-protection can be hazardous and should be avoided.

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TABLE 1

OSHA STANDARDS FOR USE OF PPE ~~

Type of Protection Regulation Source

General

Eye and Face

Noise Exposure

Respiratory

Head

Foot

Electrical Protective Devices

29 CFR Part 1910.132

29 CFR Part 1910.1000

29 CFR Part 1910.1001 -1045

29 CFR Part 1910.133(a)

29 CFR Part 1910.95

29 CFR Part 1910.134

29 CFR Part 1910.135

29 CFR Part 1910.136

29 CFR Part 1910.137

41 CFR Part 50-204.7 General Requirements for Personal Protective Equipment.

41 CFR Part 50-204.50, except for Table 2-2, the source of which is American National Standards Institute. 237 series'.

OSHA Rulemaking

ANSI 287.1-1968' Eye and Face Protection.

41 CFR Part 50-204.10 and OSHA Rulemaking.

ANSI 288.2-1969' Standard Practice for Respiratoly Protection.

ANSI Z89.1-1969' Safety Requirements for Industrial Head Protection.

ANSI 24 1.1 - 1967" Men's Safety Toe Footwear.

ANSI 29.4-1968. Ventilation and Safe Practices of Abrasive Blasting Operations.

"American National Standards Institute (ANSI), 1430 Broadway, New York, NY 10018. ANSI regularly updates its standards. The ANSI standards in this table are those that OSHA adopted in 1971. Since the ANSI standards which were then adopted had been set in 1967-1969, those standards, now required under OSHA, may be less stringent than the most recent ANSI standards.

DEVELOPING A PPE PROGRAM

A written PPE program should be established for work at all hazardous waste sites. (OSHA requires a written program for selection and use of

Managing Worker Personal Protective Equipment 399

respirators [29 CFR Part 1910.1241.) Some of the relevant regulations, listed in Table 1, are cited throughout this chapter. The word "shall" is used only when the procedure is mandated by law.

The two basic objectives of any PPE program should be to protect the wearer from safety and health hazards, and to prevent injury to the wearer from incorrect use and/or malfunction of the PPE. To accomplish these goals, a comprehensive PPE program should include hazard identification; medical monitoring; environmental surveillance; selection, use, maintenance, and decontamination of PPE; and training.

The written PPE program should include policy statements, procedures, and guidelines. Copies should be made available to all employees, and a reference copy should be available at each work site. Technical data on equipment, maintenance manuals, relevant regulations, and other essential information should also be made available.

Program Review and Evaluation

The PPE program should be reviewed at least annually. Elements which should be considered in the review include:

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A survey of each site to ensure compliance with regulations applicable to the specific site involved. The number of person-hours that workers wear various protective ensembles. Accident and illness experience. Levels of exposure. Adequacy of equipment selection. Adequacy of the operational guidelines. Adequacy of decontamination, cleaning, inspection, maintenance, and storage programs. Adequacy and effectiveness of training and fitting programs. Coordination with overall safety and health program elements. The degree of fulfillment of program objectives. The adequacy of program records. Recommendations for program improvement and modification. Program costs.


The results of the program evaluation should be made available to employees and presented to top management so that program adaptations may be implemented.

SELECTION OF RESPIRATORY EQUIPMENT

types:

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Respiratory protection is of primary importance since inhalation is one of the major routes of exposure to chemical toxicants. Respiratory protective devices (respirators) consist of a facepiece connected to either an air source or an air-purifying device. Respirators with an air source are called atmosphere-supplying respirators (Figure 1) and consist of two

Self-contained breathing apparatus (SCBAs) which supply air from a source located some distance away and connected to the user by an air-line hose. Supplied-air respirators are sometimes referred to as air-line respirators. Supplied-air respirators (SARs) which supply air from a source located some distance away and connected to the user by an air- line hose. Supplied-air respirators are sometimes referred to as air-line respirators.

Air-purifiing respirators (Figure 2) , on the other hand, do not have Instead, they utilize ambient air which is

SCBAs, SARs, and air-purifying respirators are further differentiated

a separate air source. "purified" through a filtering element prior to inhalation.

by the type of air flow supplied to the facepiece:

0 Positive-pressure respirators maintain a positive pressure in the facepiece during both inhalation and exhalation. The two main types of positive-pressure respirators are pressure-demand and continuous flow. In pressure-demand respirators, a pressure regulator and an exhalation valve on the mask maintain the mask's positive pressure except during high breathing rates. If a leak develops in a pressure-demand respirator, the regulator sends a continuous flow of clean air into the facepiece, preventing penetration by contaminated ambient air. Continuous-


flow respirators (including some SARs and all powered air- purifying respirators [PAPRs]) send a continuous stream of air into the facepiece at all times. With SARs, the continuous flow of air prevents infiltration by ambient air, but uses the air supply much more rapidly than with pressure-demand respirators. Powered air-purifying respirators (PAPRs) are operated in a positive-pressure continuous-flow mode utilizing filtered ambient air. (However, at maximal breathing rates, a negative pressure may be created in the facepiece of a PAPR.) Negative-pressure respirators draw air into the facepiece via the negative pressure created by user inhalation. The main disadvantage of negative-pressure respirators is that if any leaks develop in the system (Le., a crack in the hose or an ill-fitting mask or facepiece), the user draws contaminated air into the facepiece during inhalation.

When atmosphere-supplying respirators are used, only those operated in the positive-pressure mode are recommended for work at hazardous waste sites. Table 2 lists the relative advantages and disadvantages of SCBAs, SA&, and air-purifying respirators.

Different types of facepieces are available for use with the various types of respirators. The types generally used at hazardous waste sites are full facepieces and half masks.

0 Fullfacepiece masks cover the face from the hairline to below the chin. They provide eye protection.

0 Half masks cover the face from below the chin to over the nose and do not provide eye protection.

Federal regulations require the use of respirators that have been tested and approved by the Mine Safety and Health Administration (MSHA) and NIOSH. Testing procedures are described in 30 CFR Part 11 . Approval number are clearly written on all approved respiratory equipment; however, not all respiratory equipment that is marketed is approved. Periodically, NIOSH publishes a list, entitled NIOSH Certified Equipment List of all approved respirators and respiratory components.


Figure 1. Types of Atmosphere-Supplying Respirators

Figure 2. Types of Air-Purifying Respirators

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Protection Factor

The level of protection that can be provided by a respirator is indicated by the respirator’s protection factor. This number, which is determined experimentally by measuring facepiece seal and exhalation valve leakage, indicates the relative difference in concentrations of substances outside and inside the facepiece that can be maintained by the respirator. For example, the protection factor for full-facepiece air-purifying respirators is 50. This means, theoretically, that workers wearing these respirators should be protected in atmospheres containing chemicals at concentrations that are up to 50 times higher than the appropriate limits. One source of protection factors for various types of atmosphere- supplying (SCBA and SAR) and air-purifying respirators can be found in American National Standards Institute (ANSI) standard ANSI 288.2- 1980.

At sites where the identity and concentration of chemicals in air are known, a respirator should be selected with a protection factor that is sufficiently high to ensure that the wearer will not be exposed to the chemicals above the applicable limits. These limits include the American Conference of Governmental Industrial Hygienists’ Threshold Limit Values (TLVs), OSHA’s Permissible Exposure Limits (PELs), and the NIOSH Recommended Exposure Limits (RELs). These limits are designed to protect most workers who may be exposed to chemicals day after day throughout their working life. The OSH PELs are legally enforceable exposure limits, and are the minimum limits of protection that must be met.

It should be remembered that the protection provided by a respirator can be compromised in several situations, most notably, (1) if a worker has a high breathing rate, (2) if the ambient temperature is high or low, or (3) if the worker has a poor facepiece-to-face seal. At high breathing rates, positive-pressure SCBAs and SARs may not maintain positive pressure for brief periods during peak inhalation. Also, at high work rates, exhalation valves may leak. Consequently, positive-pressure respirators working at high flow rates may offer less protection than when working at normal rates.

A similar reduction in protection may result from high or low ambient temperatures. For example, at high temperatures excessive sweat may cause a break in the face-to-facepiece seal. At very low temperatures , the exhalation valve and regulator may become ice-clogged


due to moisture in the breath and air. Likewise, a poor facepiece seal-- due to such factors as facial hair, missing teeth, scars, lack of improper fit testing, etc.--can result in the penetration of air contaminants.

Self-contained Breathing Apparatus (SCBA)

A self-contained breathing apparatus (SCBA) usually consists of a facepiece connected by a hose and a regulator to an air source (compressed air, compressed oxygen, or an oxygen-generating chemical) carried by the wearer. Only positive-pressure SCBAs are recommended for entry into atmospheres that are immediately dangerous to life and health (IDLH). SCBAs offer protection against most types and levels of airborne contaminants. However, the duration of the air supply is an important planning factor in SCBA use. This is limited by the amount of air carried and its rate of consumption. Also, SCBAs are bulky and heavy, thus they increase the likelihood of heat stress and may impair movement in confined spaces. Generally, only workers handling hazardous materials or operating in contaminated zones require SCBAs. Under MSHA regulations in 30 CFR Part 11.70(a), SCBAs may be approved (1) for escape only, or (2) for both entry into and escape from a hazardous atmosphere. The types of SCBAs and their relative advantages and disadvantages are described in Table 3.

Escape-only SCBAs are frequently continuous-flow devices with hoods that can be donned to provide immediate emergency protection. Employers should provide and ensure that employees carry an escape SCBA where such emergency protection may be necessary.

Entry-and-escape SCBA respirators give workers untethered access to nearly all portions of the worksite, but decrease worker mobility, particularly in confined areas, due to both the bulk and weight of the units. Their use is particularly advisable when dealing with unidentified and unquantified airborne contaminants. There are two types of entry- and-escape SCBAs: (1) open-circuit and (2) closed-circuit. In an open- circuit SCBA, air is exhaled directly into the ambient atmosphere. In a closed-circuit SCBA, exhaled air is recycled by removing the carbon dioxide with an alkaline scrubber and by replenishing the consumed oxygen with oxygen from a solid, liquid, or gaseous source.

As required by MSHA/NIOSH 30 CFR Part 1 1.80, all compressed breathing gas cyclinders must meet minimum U.S. Department of

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Transportation requirements for interstate shipment. For further information, see 49 CFR Parts 173 and 178. All compressed air, compressed oxygen, liquid air, and liquid oxygen used for respiration shall be of high purity and must meet all requirements of OSHA 29 CFR Part 1910.134td). In addition, breathing air must meet or exceed the requirements of Grade D breathing air as specified in the Compressed Gas Association pamphlet G-7.1 and ANSI 286.1-1973.

Key questions to ask when considering whether an SCBA is appropriate are:

Is the atmosphere IDLH or is it likely to become IDLH? If yes, a positive-pressure SCBA should be used. A positive-pressure SAR with an escape SCBA can also be used. Is the duration of air supply sufficient for accomplishing the necessary tasks? If no, a larger cylinder should be used, a different respirator should be chosen, and/or the Work Plan should be modified. Will the bulk and weight of the SCBA interfere with task performance or cause unnecessary stress? If yes, use of an SAR may be more appropriate if conditions permit. Will temperature effects compromise respirator effectiveness or cause added stress in the worker? If yes, the work period should be shortened or the mission postponed until the temperature changes.

Supplied-Air Respirators (SARs)

Supplied-air respirators (also known as air-line respirators) supply air, never oxygen, to a facepiece via a supply line from a stationary source (see Figure 1). SARs are available in positive-pressure and negative- pressure modes. Pressure-demand SARs with escape provisions provide the highest level of protection (among SARs) and are the only SARs recommended for use at hazardous waste sites. SARs are not recommended for entry into IDLH atmospheres (MSHA/NIOSH 30 CFR Part 11) unless the apparatus is equipped with an escape SCBA.

The air source for supplied-air respirators may be compressed air cyclinders or a compressor that purifies and delivers ambient air to the facepiece. SARs suitable for use with compressed air are classified as "Type C" supplied-air respirators as defined in MSHA/NIOSH 30 CFR


Part 11. All SAR couplings must be incompatible with the outlets of other gas systems used on site to prevent a worker from connecting to an inappropriate compressed gas source (OSHA 29 CFR 1910.134[d]).

SARs enable longer work periods than do SCBAs and are less bulky, However, the air line impairs worker mobility and requires workers to retrace their steps when leaving the area. Also, the air line is vulnerable to puncture from rough or sharp surfaces, chemical permeation, damage from contact with heavy equipment, and obstruction from falling drums, etc. To the extent possible, all such hazards should be removed prior to use. When in use, air lines should be kept as short as possible (300 feet [91 meters] is the longest approved hose length for SARs), and other workers and vehicles should be kept away from the air line.

The use of air compressors as the air source for an SAR at a hazardous waste site is severely limited by the same concern that requires workers to wear respirators: that is, the questionable quality of the ambient air. Onsite compressor use is limited by OSHA standards (29 CFR Part 1910.134[d]).

Key questions to ask when considering SAR use are:

Is the atmosphere IDLH or likely to become IDLH? If yes, an SAWSCBA combination or SCBA should be used. Will the hose significantly impair worker mobility? If yes, the work task should be modified or other respiratory protection should be used. Is there a danger of the air line being damaged or obstructed (e.g., by heavy equipment, falling drums, rough terrain, or sharp objects) or permeated and/or degraded by chemicals (e.g., by pools of chemicals)? If yes, either the hazard should be removed or another form of respiratory protection should be used. If a compressor is the air source, is it possible for air-borne contaminants to enter the air system? If yes, have the contaminants been identified and are efficient filters and/or sorbents available that are capable of removing those contaminants? If no, either cyclinders should be used as the air source or another form of respiratory protection should be used. Can other workers and vehicles that might interfere with the air line be kept away from the area? If no, another form of respiratory protection should be used.

Managing Worker Personal Protective Equipment 41 1

Combination SCBA/SAR

Another type of respiratory protection is available that uses a regulator to combine the features of an SCBA with an SAR. The user can operate the respirator in the SCBA or SAR mode, through either the manual or automatic switching of air sources. This type of respirator allows entry into and exit from an area using the self-contained air supply, as well as extended work periods within a contaminated area while connected to the air line. It is particularly appropriate for sites where workers must travel an extended distance to a work area within a hot zone and remain within that area for relatively long work periods (e.g., drum sampling). In such situations, workers would enter the site using the SCBA mode, connect to the air line during the work period, and shift back to the SCBA mode to leave the site.

The combination SCBA/SAR should not be confused with an SAR with escape provisions. The primary difference is the length of air time provided by the SCBA; the combination system provides up to 60 minutes of self-contained air, whereas the escape SCBA contains much less air, generally enough for only 5 minutes. NIOSH certification of the combination unit allows up to 20 percent of the available air time to be used during entry, while the SAR with escape provision is certified for escape only.

Air-Purifying Respirators

Air-purifying respirators consist of a facepiece and an air-purifying device, which is either a removable component of the facepiece or an air- purifying apparatus worn on a body harness and attached to the facepiece by a corrugated breathing hose. Air-purifying respirators selectively remove specific airborne contaminants (particulates , gases, vapors, fumes) from ambient air by filtration, absorption, adsorption, or chemical reactions. They are approved for use in atmospheres containing specific chemicals up to designated concentrations, and not for ZDLH atmospheres. Air-purifying respirators have limited use at hazardous waste sites and can be used only when the ambient atmosphere contains sufficient oxygen (19.5 percent) (30 CFR Part 11.9O[a]). Table 4 lists conditions that may exclude the use of air-purifying respirators.

Air-purifying respirators usually operate only in the negative-pressure mode except for powered air-purifying respirators (PAPRs) which


TABLE 4

CONDITIONS THAT EXCLUDE OR MAY EXCLUDE USE OF AIR-PURIFYING RESPIRATORS

Oxygen deficiency. IDLH concentrations of specific substances. Entry into an unventilated or confined area where the exposure conditions have not been characterized. Presence or potential presence of unidentified contaminants. Contaminant concentrations are unknown or exceed designated maximum use concentration(s). Identified gases or vapors have inadequate warning properties and the sorbent service life is not known and the unit has no end-of-service-life (ESLI) indicator. High relative humidity (may reduce the protection offered by the sorbent).

maintain a positive facepiece pressure (except at maximal breathing rates). There are three types of air-purifying devices: (1) particulate filters; (2) cartridges and canisters, which contain sorbents for specific gases and vapors; and (3) combination devices. Their efficiencies vary considerably even for closely related materials.

Cartridges usually attach directly to the respirator facepiece. The larger-volume canisters attach to the chin of the facepiece or are carried with a harness and attached to the facepiece by a breathing tube. Combination canisters and cartridges contain layers of different sorbent materials and remove multiple chemicals or multiple classes of chemicals from the ambient air. Though approved against more than one substance, these canisters and cartridges are tested independently against single substances. Thus, the effectiveness of these canisters against two or more substances has not been demonstrated. Filters may also be combined with cartridges to provide additional protection against particulates. A number of standard cartridges and canisters are commercially available. They are color-coded to indicate the general chemicals or classes of chemicals against which they are effective (29 CFR Part 1910.134[g]).


MSHA and NIOSH have granted approvals for manufacturers' specific assemblies of air-purifying respirators for a limited number of specific chemicals. Respirators should be used only for those substances for which they have been approved. Use of a sorbent shall not be allowed when there is reason to suspect that it does not provide adequate sorption efficiency against a specific contaminant. In addition, it should be noted that approval testing is performed at a given temperature and over a narrow range of flow rates and relative humidities; thus protection may be compromised in nonstandard conditions. The assembly that has been approved by MSHA and NIOSH to protect against organic vapors is tested against only a single challenge substance, carbon tetrachloride; its effectiveness for protecting against other vapors has not been demonstrated.

Most chemical sorbent canisters are imprinted with an expiration date. They may be used up to that date as long as they were not opened previously, Once opened, they begin to absorb humidity and air contaminants whether or not they are in use. Their efficiency and service life decreases and therefore they should be used immediately. Cartridges should be discarded after use but should not be used for longer than one shift or when breakthrough occurs, whichever comes first.

Where a canister or cartridge is being used against gases or vapors, the appropriate device shall be used only if the chemical@) have "adequate warning properties" (30 CFR Part 11.150). NIOSH considers a substance to have adequate warning properties when its odor, taste, or irritant effects are detectable and persistent at concentrations below the recommended exposure limit (REL). A subtance is considered to have poor warning properties when its odor or irritation threshold is above the applicable exposure limit. Warning properties are essential to safe use of air-purifying respirators since they allow detection of contaminant breakthrough, should it occur. While warning properties are not fool- proof, because they rely on human senses which vary widely among individuals and in the same individual under varying conditions (e.g., olfactory fatigue), they do provide some indication of possible sorbent exhaustion, poor facepiece fit, or other malfunctions. OSHA permits the use of air-purifying respirators for protection against specific chemicals with poor warning properties provided that (1) the service life of the sorbent is known and a safety factor has been applied or (2) the respirator has an approved end-of-service-life indicator.


SELECTION OF PROTECTIVE CLOTHING

Personal protective clothing is considered to be any article offering skin and/or body protection. It includes:

Fully-encapsulating suits. Non-encapsulating suits. Aprons, leggings, and sleeve protectors. Gloves. Firefighters’ protective clothing. Proximity, or approach, garments. Blast and fragmentation suits. Cooling garments. Radiation-protective suits.

Each type of protective clothing has a specific purpose; many, but not all, are designed to protect against chemical exposure. Examples of protective clothing are shown in Figure 3. Table 5 describes various types of protective clothing available, details the type of protection they offer, and lists the factors to consider in their selection and use. This table also describes a number of accessories that might be used in conjunction with a PPE ensemble, namely:

Knife. 0 Flashlight or lantern.

Personal locator beacon. 0 Personal dosimeters. 0 Two-way radio. 0 Safety belts and lines.

Selection of Chemical-Protective Clothing (CPC)

Chemical-protective clothing (CPC) is available in a variety of materials that offer a range of protection against different chemicals. The most appropriate clothing material will depend on the chemicals present and the task to be accomplished. Ideally, the chosen material resists permeation, degradation, and penetration. Permeation is the process by which a chemical dissolves in and/or moves through a protective clothing material on a molecular level. Degradation is the loss of or change in


Figure 3. Examples of Protective Clothing

the fabric’s chemical resistance or physical properties due to exposure to chemicals, use, or ambient conditions (e.g., sunlight). Penetration is the movement of chemicals through zippers, stitched seams or imperfections (e.g., pinholes) in a protective clothing material.

Selection of chemical-protective clothing is a complex task and should be performed by personnel with training and experience. Under all conditions, clothing is selected by evaluating the performance characteristics of the clothing against the requirements and limitations of the site- and task-specific conditions. If possible, representative garments should be inspected before purchase and their use and performance discussed with someone who has experience with the clothing under consideration. In all cases, the employer is responsible for ensuring that the personal protective clothing (and all PPE) necessary to protect employees from injury or illness that may result from exposure to hazards at the work site is adequate and of safe design and construction for the work to be performed (see OSHA standard 29 CFR Part 1910.132-1910.137).

Permeation and Degradation

The selection of chemical-protective clothing depends greatly upon the type and physical state of the contaminants. This information is determined during site characterization information. Once the chemicals have been identified, available information sources should be consulted

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to identify materials that are resistant to permeation and degradation by the known chemicals. Charts indicating the resistance of various clothing materials to permeation and degradation are available from manufacturers. It is important to note, however, that no material protects against all chemicals and combinations of chemicals, and that no currently available material is an effective barrier to any prolonged chemical exposure.

In reviewing vendor literature, it is important to be aware that the data provided are of limited value. For example, the quality of vendor test methods is inconsistent; vendors often rely on the raw material manufacturers for data rather than conducting their own tests; and the data may not be updated. In addition, vendor data cannot address the wide variety of uses and challenges to which CPC (chemical protective clothing) may be subjected. Most vendors strongly emphasize this point in the descriptive text that accompanies their data.

Another factor to bear in mind when selecting CPC is that the rate of permeation is a function of several factors, including clothing material type and thickness, manufacturing method, the concentration(s) of the hazardous substance(s), temperature, pressure, humidity, the solubility of the chemical in the clothing material, and the diffusion coefficient of the permeating chemical in the clothing material. Thus permeation rates and breakthrough time (the time from initial exposure until hazardous material is detectable on the inside of the CPC) may vary depending on these conditions.

Most hazardous wastes are mixtures, for which specific data with which to make a good CPC selection are not available. Due to a lack of testing, only limited permeation data for multicomponent liquids are currently available.

Mixtures of chemicals can be significantly more aggressive towards CPC materials than can any single component alone. Even small amounts of a rapidly permeating chemical may provide a pathway that accelerates the permeation of other chemicals. Formal research is being conducted on these effects. NIOSH is currently developing methods for evaluating CPC materials against mixtures of chemicals and unknowns in the field. For hazardous waste site operations, CPC should be selected that offers the widest range of protection against the chemicals expected on site. Vendors are now providing CPC material--composed of two or even three different materials laminated together--that is capable of providing the best features of each material.


Heat Transfer Characteristics

The heat transfer characteristics of CPC may be an important factor in selection. Since most chemical-protective clothing is virtually impermeable to moisture, evaporative cooling is limited. The “clo” value (thermal insulation value) of chemical-protective clothing is a measure of the capacity of CPC to dissipate heat loss through means other than evaporation. The larger the clo value, the greater the insulating properties of the garment and, consequently, the lower the heat transfer. Given other equivalent protective properties, clothing with the lowest clo value should be selected in hot environments or for high work rates. Unfortunately, clo values for clothing are not available for all materials.

Other Considerations

In addition to permeation, degradation, penetration, and heat transfer, several other factors must be considered during clothing selection. These affect not only chemical resistance, but also the worker’s ability to perform the required task. The following checklist summarizes these considerations.

0 Durability: Does the material have sufficient strength to withstand the physical stress of the task@) at hand? Will the material resist tears, punctures, and abrasions? Will the material withstand repeated use after con- taminatioddecontaminat ion?

0 Flexibility: Will the CPC interfere with the workers’ ability to perform their assigned tasks (this is particularly important to consider for gloves)?

0 Temperature effects: Will the material maintain its protective integrity and flexibility under hot and cold extremes?


0 Ease of decontamination: Are decontamination procedures available on site? Will the material pose any decontamination problems? Should disposable clothing be used?

Compatibility with other equipment: Does the clothing preclude the use of another, necessary piece of protective equipment (e.g., suits that preclude hardhat use in hardhat area)?

0 Duration of use: Can the required task be accomplished before contaminant breakthrough occurs, or degradation of the CPC becomes significant?

Special Conditions

Fire, explosion, heat, and radiation are considered special conditions that require special-protective equipment. Unique problems are associated with radiation, and it is beyond the scope of this manual to discuss them properly. A qualified health physicist should be consulted if a radiation hazard exists. Special-protective equipment is described in Table 5 (see Full Body section of the table). When using special-protective equipment, it is important to also provide protection against chemicals, since the specialized equipment may provide little or no protection against chemicals which may also be present.

SELECTION OF ENSEMBLES

Level of Protection

The individual components of clothing and equipment must be assembled into a full protective ensemble that both protects the worker from the site-specific hazards and minimizes the hazards and drawbacks of the PPE ensemble itself.

Table 6 lists ensemble components based on the widely used EPA Levels of Protection: Levels A, B, C, and D. These lists can be used as a starting point for ensemble creation; however, each ensemble must

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be tailored to the specific situation in order to provide the most appropriate level of protection. For example, if work is being conducted at a highly contaminated site or if the potential for contamination is high, it may be advisable to wear a disposable covering, such as Tyvek coveralls or PVC splash suits, over the protective ensemble. It may be necessary to slit the back of these disposable suits to fit around the bulge of an encapsulating suit and SCBA.

The type of equipment used and the overall level of protection should be reevaluated periodically as the amount of information about the site increases, and as workers are required to perform different tasks. Personnel should be able to upgrade or downgrade their level of protection with concurrence of the Site Safety Officer and approval of the Field Team Leader.

Reasons to upgrade:

0 Known or suspected presence of dermal hazards. 0 Occurrence or likely occurrence of gas or vapor emission. 0 Change in work task that will increase contact or potential

contact with hazardous materials. 0 Request of the individual performing the task.

Reasons to downgrade:

New information indicating that the situation is less hazardous than was originally thought. Change in site conditions that decreases the hazard.

0 Change in work task that will reduce contact with hazardous materials.

PPE USE

PPE can offer a high degree of protection only if it is used properly. This section covers the following aspects of PPE use:

0 Training. Work mission duration. Personal use factors. Fit testing.


be tailored to the specific situation in order to provide the most appropriate level of protection. For example, if work is being conducted at a highly contaminated site or if the potential for contamination is high, it may be advisable to wear a disposable covering, such as Tyvek coveralls or PVC splash suits, over the protective ensemble. It may be necessary to slit the back of these disposable suits to fit around the bulge of an encapsulating suit and SCBA.

The type of equipment used and the overall level of protection should be reevaluated periodically as the amount of information about the site increases, and as workers are required to perform different tasks. Personnel should be able to upgrade or downgrade their level of protection with concurrence of the Site Safety Officer and approval of the Field Team Leader.

Reasons to upgrade:

0 Known or suspected presence of dermal hazards. 0 Occurrence or likely occurrence of gas or vapor emission. 0 Change in work task that will increase contact or potential

contact with hazardous materials. 0 Request of the individual performing the task.

Reasons to downgrade:

New information indicating that the situation is less hazardous than was originally thought. Change in site conditions that decreases the hazard.

0 Change in work task that will reduce contact with hazardous materials.

PPE USE

PPE can offer a high degree of protection only if it is used properly. This section covers the following aspects of PPE use:

0 Training. Work mission duration. Personal use factors. Fit testing.


0 Donning. 0 In-Use monitoring. 0 Doffing.

Inspection. 0 Storage. 0 Maintenance.

Inadequate attention to any of these areas could compromise the protection provided by the PPE.

Training

Training in PPE use is recommended and, for respirators, required by federal regulation in the OSHA standards in 29 CFR Part 1910 Subparts I and Z. This training:

0 Allows the user to become familiar with the equipment in a nonhazardous situation.

0 Instills confidence of the user in hidher equipment. 0 Makes the user aware of the limitations and capabilities of the

equipment. 0 Increases the efficiency of operations performed by workers

wearing PPE. 0 May increase the protective efficiency of PPE use. 0 Reduces the expense of PPE maintenance.

Training should be completed prior to actual PPE use in a hazardous environment and should be repeated at least annually. At a minimum, the training portion of the PPE program should delineate the user’s responsibilities and explain the following, utilizing both classroom and field training when necessary:

0 The proper use and maintenance of the selected PPE, including capabilities and limitations.

0 The nature of the hazards and the consequences of not using the PPE .

0 The human factors influencing PPE performance. 0 Instruction in inspecting, donning, checking, fitting, and using

PPE .

Managing Worker Personal Protective Quipment 433

Individualized respirator fit testing to ensure proper fit. Use of PPE in normal air for a long familiarity period and, finally, wearing PPE in a test atmosphere to evaluate its effectiveness. The user’s responsibility (if any) for decontamination, cleaning, maintenance, and repair of PPE. Emergency procedures and self-rescue in the event of PPE failure. The buddy system. The Site Safety Plan and the individual’s responsibilities and duties in an emergency.

The discomfort and inconvenience of wearing PPE can create a resistance to the conscientious use of PPE. One essential aspect of training is to make the user aware of the need for PPE and to instill motivation for the proper use and maintenance of PPE.

Work Mission Duration

Before the workers actually begin work in their PPE ensembles, the anticipated duration of the work mission should be established. Several factors limit mission length. These include:

0 Air supply consumption. 0 Suit/ensemble permeation and penetration by chemical

0 Ambient temperature. contaminants.

Coolant supply.

Air Supply Consumption

The duration of the air supply must be considered before planning any SCBA-assisted work activity. The anticipated operating time of an SCBA is clearly indicated on the breathing apparatus. This designated operating time is based on a moderate work rate, e.g., some lifting, carrying, and/or heavy equipment operation. In actual operation, however, several factors can reduce the rated operating time. When planning an SCBA-assisted work mission, the following variables should be considered and work actions and operating time adjusted accordingly:


0 Work rate. The actual in-use duration of SCBAs may be reduced by one-third to one-half during strenuous work, e.g., drum handling, major lifting, or any task requiring repetitive speed of motion. Fitness. Well-conditioned individuals generally utilize oxygen more efficiently and can extract more oxygen from a given volume of air (particularly when performing strenuous tasks) than unfit individuals, thereby slightly increasing the SCBA operating time.

0 Body size. Larger individuals generally consume air at a higher rate than smaller individuals, thereby decreasing the SCBA operating time.

0 Breathing patterns. Quick, shallow or irregular breaths use air more rapidly than deep, regularly spaced breaths. Heat-induced anxiety and lack of acclimatization may induce hyperventilation, resulting in decreased SCBA operating time.

Suit/Ensemble Permeation and Penetration

The possibility of chemical permeation or penetration of CPC ensembles during the work mission is always a matter of concern and may limit mission duration. Possible causes of ensemble penetration are:

Suit valve leakage, particularly under excessively hot or cold temperatures.

0 Suit fastener leakage if the suit is not properly maintained or if the fasteners become brittle at cold temperatures. Exhalation valve leakage at excessively hot or cold temperatures.

Also, when considering mission duration, it should be remembered that no single clothing material is an effective barrier to all chemicals or all combinations of chemicals, and no material is an effective barrier to prolonged chemical exposure.

Ambient Temperature

The ambient temperature has a major influence on work mission duration as it affects both the worker and the protective integrity of the ensemble. Heat stress, which can occur even in relatively moderate temperatures,


is the greatest immediate danger to an ensemble-encapsulated worker. Hot and cold ambient temperatures also affect:

0 Valve operation on suits and/or respirators. 0 The durability and flexibility of suit materials. 0 The integrity of suit fasteners.

The breakthrough time and permeation rates of chemicals. 0 The concentration of airborne contaminants.

All these factors may decrease the duration of protection provided by a given piece of clothing or respiratory equipment.

Coolant Supply

Under warm or strenuous work conditions, adequate coolant (ice or chilled air) should be provided to keep the wearer’s body at a comfortable temperature and to reduce the potential for heat stress. If coolant is necessary, the duration of the coolant supply will directly affect mission duration.

Personal Use Factors

As described below, certain personal features of workers may jeopardize safety during equipment use. Prohibitive or precautionary measures should be taken as necessary.

Facial hair and long hair interfere with respirator fit and wearer vision. Any facial hair that passes between the face and the sealing surface of the respirator should be prohibited. Even a few days’ growth of facial hair will allow excessive contaminant penetration. Long hair must be effectively contained within protective hair coverings.

Eyeglasses with conventional temple pieces (earpiece bars) will interfere with the respirator-to-face seal of a full facepiece. A spectacle kit should be installed in the face masks of workers requiring vision correction.

When a worker must wear corrective lenses as part of the facepiece, the lenses shall be fitted by qualified individuals to provide good vision, comfort, and a gastight seal. Contact lenses may trap contaminants and/or particulates between the lens and the eye, causing irritation, damage, absorption, and an urge to remove the respirator. Wearing


contact lenses with a respirator in a contaminated atmosphere is prohibited (29 CFR Part 1910.134[e][5][ii]).

Gum and tobacco chewing should be prohibited during respirator use since they may cause ingestion of contaminants and may compromise the respirator fit.

Donning an Ensemble

A routine should be established and practiced periodically for donning a fully-encapsulating suit/SCBA ensemble. Assistance should be provided for donning and doffing since these operations are difficult to perform alone, and solo efforts may increase the possibility of suit damage.

Table 7 lists sample procedures for donning a fully-encapsulating suit/SCBA ensemble. These procedures should be modified depending on the particular type of suit and/or when extra gloves and/or boots are used. These procedures assume that the wearer has previous training in SCBA use and decontamination procedures.

Once the equipment has been donned, its fit should be evaluated. If the clothing is too small, it will restrict movement, thereby increasing the likelihood of tearing the suit material and accelerating worker fatigue. If the clothing is too large, the possibility of snagging the material is increased, and the dexterity and coordination of the worker may be compromised. In either case, the worker should be recalled and better fitting clothing provided.

Respirator Fit Testing

The "fit" or integrity of the facepiece-to-face seal of a respirator affects its performance. A secure fit is important with positive-pressure equipment, and is essential to the safe functioning of negative-pressure equipment, such as most air-purifying respirators. Most facepieces fit only a certain percentage of the population; thus each facepiece must be tested on the potential wearer in order to ensure a tight seal. Facial features such as scars, hollow temples, very prominent cheekbones, deep skin creases, dentures or missing teeth, and the chewing of gum and tobacco may interfere with the respirator-to-face seal. A respirator shall not be worn when such conditions prevent a good seal. The workers' diligence in observing these factors shall be evaluated by periodic checks.

Managing Worker Personal Protective Quipment 437

TABLE 7

SAMPLE DONNING PROCEDURESP9b

1. Inspect the clothing and respiratory equipment before donning (see Inspection).

2 . Adjust hard hat or headpiece if worn, to fit user’s head. 3. Open back closure used to change air tank (if suit has one) before

donning suit. 4. Standing or sitting, step into the legs of the suit; ensure proper

placement of the feet within the suit; then gather the suit around the waist.

5 . Put on chemical-resistant safety boots over the feet of the suit. Tape the leg cuff over the tops of the boots. --

-- Some one-piece suits have heavy-soled protective feet. With

If additional chemical-resistant boots are required, put these on now.

these suits, wear short, chemical-resistant safety boots inside the suit.

6. Put on air tanks and harness assembly of the SCBA. Don the facepiece and adjust it to be secure, but comfortable. Do not connect the breathing hose. Open valve on air tank.

7. Perform negative and positive respirator facepiece seal test procedures. -- To conduct a negative-pressure test, close the inlet part with the

palm of the hand or squeeze the breathing tube so it does not pass air, and gently inhale for about 10 seconds. Any inward rushing of air indicates a poor fit. Note that a leaking facepiece may be drawn tightly to the face to form a good seal, giving a false indication of adequate fit. To conduct a positive-pressure test, close the inlet part with the palm of the hand or squeeze the breathing tube so it does not pass air, and gently inhale for about 10 seconds. Any inward rushing of air indicates a poor fit. Note that a leaking facepiece may be drawn tightly to the face to form a good seal, giving a false indication of adequate fit.

--


~~~

TABLE 7 (continued)

SAMPLE DONNING PROCEDURESavb

8. Depending on type of suit: -- --

Put on long-sleeved inner gloves (similar to surgical gloves). Secure gloves to sleeves, for suits with detachable gloves (if not done prior to entering the suit).

-- Additional overgloves, worn over attached suit gloves, may be donned later.

9. Put sleeves of suit over arms as assistant pulls suit up and over the SCBA. Have assistant adjust suit around SCBA and shoulders to ensure unrestricted motion.

10. Put on hard hat, if needed. 11. Raise hood over head carefully so as not to disrupt face seal of

SCBA mask. Adjust hood to give satisfactory comfort. 12. Begin to secure the suit by closing all fasteners on opening until

there is only adequate room to connect the breathing hose. Secure all belts and/or adjustable leg, head, and waistbands.

13. Connect the breathing hose while opening the main valve. 14. Have assistant first ensure that wearer is breathing properly and then

make final closure of the suit. 15. Have assistant check all closures. 16. Have assistant observe the wearer for a period of time to ensure that

the wearer is comfortable, psychologically stable, and that the equipment is functioning properly.

'Perform the procedures in the order indicated. bWhen donning a suit, use a moderate amount of a powder to prevent chafing and to increase comfort. Powder will also reduce rubber binding.

For a qualitative respirator fit testing protocol, see Appendix D of the OSHA lead standard (29 CFR Part 1910.1025). For quantitative fit testing, see the NIOSH publication A Guide to Industrial Respiratory Protection. For specific quantitative testing protocols, literature supplied by manufacturers of quantitative fit test equipment should be consulted. Note that certain OSHA standards require quantitative fit testing under specific circumstances (e.g., 29 CFR Parts 1910.1018m][3][iii], 19 10.1025 [fl[3] [ii] , and 19 10.1045 D] [3] [iii] [B]) .


In-Use Monitoring

The wearer must understand all aspects of the clothing operation and its limitations; this is especially important for fully-encapsulating ensembles where misuse could potentially result in suffocation.

During equipment use, workers should be encouraged to report any perceived problems or difficulties to their supervisor@). These malfunctions include, but are not limited to:

0

0

0

0

0

0

0

0

0

0

Degradation of the protective ensemble. Perception of odors. Skin irritation. Unusual residues on PPE. Discomfort. Resistance to breathing. Fatigue due to respirator use. Interference with vision or communication. Restriction of movement. Personal responses such as rapid pulse, nausea, and chest pain.

If a supplied-air respirator is being used, all hazards that might endanger the integrity of the air line should be removed from the working area prior to use. During use, air lines should be kept as short as possible and other workers and vehicles should be excluded from the area.

Doffing an Ensemble

Exact procedures for removing fully-encapsulating suit/SCBA ensembles must be established and followed in order to prevent contaminant migration from the work area and transfer of contaminants to the wearer’s body, the doffing assistant, and others.

Sample doffing procedures are provided in Table 8. These procedures should be performed only after .decontamination of the suited worker. They require a suitably attired assistant. Throughout the procedures, both worker and assistant should avoid any direct contact with the outside surface of the suit.


I SAMPLE DOFFING PROCEDURES

TABLE 8

1 If sufficient air supply is available to allow appropriate decontamination before removal: 1. Remove any extraneous or disposable clothing, boot covers, outer

gloves, and tape. 2. Have assistant loosen and remove the wearer’s safety shoes or boots. 3. Have assistant open the suit completely and lift the hood over the

head of the wearer and rest it on top of the SCBA tank. 4. Remove arms, one at a time, from suit. Once arms are free, have

assistant lift the suit up and away from the SCBA backpack -- avoiding any contact between the outside surface of the suit and the wearer’s body -- and lay the suit out flat behind the wearer. Leave internal gloves on, if any.

5. Sitting, if possible, remove both legs from the suit. 6. Follow procedure for doffing SCBA. 7. After suit is removed, remove internal gloves by rolling them off the

hand, inside out. 8. Remove internal clothing and thoroughly cleanse the body.

If the low-pressure warning alarm has sounded, signifying that approximately 5 minutes of air remain: 1. Remove disposable clothing. 2. Quickly scrub and hose off, especially around the entrance/exit

zipper. 3. Open the zipper enough to allow access to the regulator and

breathing hose. 4. Immediately attach an appropriate canister to the breathing hose (the

type and fittings should be predetermined). Although this provides some protection against any contamination still present, it voids the certification of the unit.

5. Follow Steps 1 through 8 of the regular doffing procedure above. Take extra care to avoid contaminating the assistant and wearer.

Clothing Reuse

Chemicals that have begun to permeate clothing during use may not be removed during decontamination and may continue to diffuse through the


material towards the inside surface, presenting the hazard of direct skin contact to the next person who uses the clothing.

Where such potential hazards may develop, clothing should be checked inside and out for discoloration or other evidence of contamination. This is particularly important for fully-encapsulating suits, which are generally subject to reuse due to their cost. Note, however, that negative (Le., no chemical found) test results do not necessarily preclude the possibility that some absorbed chemical will reach the suit’s interior.

At present, little documentation exists regarding clothing reuse. Reuse decisions must consider the known factors of permeation rates as well as the toxicity of the contaminant(s). In fact, unless extreme care is taken to ensure that clothing is properly decontaminated and that the decontamination does not degrade the material, the reuse of chemical protective clothing that has been contaminated with toxic chemicals is not advisable.

Inspection

An effective PPE inspection program will probably feature five different inspections:

Inspection and operational testing of equipment received from the factory or distributor.

0 Inspection of equipment as it is issued to workers. 0 Inspection after use or training and prior to maintenance. 0 Periodic inspection of stored equipment.

Periodic inspection when a question arises concerning the appropriateness of the selected equipment, or when problems with similar equipment arise.

Each inspection will cover somewhat different areas in varying degrees of depth. Detailed inspection procedures, where appropriate, are usually available from the manufacturer. The inspection checklist provide in Table 9 may also be an aid.

Individual identification numbers should be assigned to all reusable pieces of equipment (respirators may already have ID numbers) and records should be maintained by that number. At a minimum, each inspection should

Records must be kept of all inspection procedures.


TABLE 9

SAMPLE PPE INSPECTION CHECKLISTS

CLOTHING

Before use: Determine that the clothing material is correct for the specified task

0 Visually inspect for: at hand.

-- imperfect seams -- non-uniform coatings -- tears -- malfunctioning closures Hold up to light and check for pinholes.

0 Flex product: -- observe for cracks -- observe for other signs of shelf deterioration

0 If the product has been used previously, inspect inside and out for signs of chemical attack: -- discoloration -- swelling -- stiffness

During the work task, periodically inspect for: 0 Evidence of chemical attack such as discoloration, swelling,

stiffening, and softening. Keep in mind, however, that chemical permeation can occur without any visible effects.

0 Closure failure. 0 Tears. 0 Punctures. 0 Seam discontinuities.

GLOVES

0 BEFORE USE, pressurize glove to check for pinholes. Either blow into glove, then roll gauntlet towards fingers or inflate glove and hold under water. In either case, no air should escape.


SCBA

-- before and after each use -- at least monthly when in storage -- every time they are cleaned

0 Check all connections for tightness. 0 Check material conditions for:

-- signs of pliability -- signs of deterioration -- signs of distortion

0 Check for proper setting and operation of regulators and valves (according to manufacturer’s recommendations).

0 Check operation of alarm@.). 0 Check faceshields and lenses for:

-- cracks -- crazing -- fogginess

0 Inspect SCBAs:

1

TABLE 9 (continued)


FULLY-ENCAPSULATING SUITS

Before use: 0 Check the operation of pressure relief valves.

Inspect the fitting of wrists, ankles, and neck. 0 Check faceshield, is so equipped, for:

-- cracks -- crazing -- fogginess

Supplied-Air Respirators

-- daily when in use -- at least monthly when in storage -- every time they are cleaned Inspect air lines prior to each use for cracks, kinks, cuts, frays, ant weak areas.

0 Inspect SARs:


TABLE 9 (continued)


Supplied-Air Respirators (continued) Check for proper setting and operation of regulators and valves (according to manufacturer's recommendations).

0 Check all connections for tightness. 0 Check material conditions for:


0 Check faceshields and lenses for: -- cracks -- crazing -- fogginess

Air-Purifying Respirators 0 Inspect air-purifying respirators:

-- before each use to be sure they have been adequately cleaned -- after each use -- during cleaning -- monthly if in storage for emergency use


0 Examine cartridges or canisters to ensure that: -- they are the proper type for the intended use -- the expiration date has not been passed -- they have not been opened or used previously

0 Check faceshields and lenses for: -- cracks -- crazing -- fogginess

Check material conditions for:

record the ID number, date, inspector, and any unusual conditions or findings. Periodic review of these records may indicate an item or type of item with excessive maintenance costs or a particularly high level of "down-time. I'


Storage

Clothing and respirators must be stored properly to prevent damage or malfunction due to exposure to dust, moisture, sunlight, damaging chemicals, extreme temperatures, and impact. Procedures must be specified for both pre-issuance warehousing and, more importantly, post- issuance (in-use) storage. Many equipment failures can be directly attributed to improper storage.

Clothing:

0 Potentially contaminated clothing should be stored in an area separate from street clothing.

0 Potentially contaminated clothing should be stored in a well- ventilated area, with good air flow around each item, if possible.

0 Different types and materials of clothing and gloves should be stored separately to prevent issuing the wrong material by mistake.

0 Protective clothing should be folded or hung in accordance with manufacturers' recommendat ions.

Respirators:

SCBAs, supplied-air respirators, and air-purifying respirators should be dismantled, washed, and disinfected after each use.

0 SCBAs should be stored in storage chests supplied by the manufacturer. Air-purifying respirators should be stored individually in their original cartons or carrying cases, or in heat-sealed or resealable plastic bags.

Maintenance

The technical depth of maintenance procedures vary. Manufacturers frequently restrict the sale of certain PPE parts to individuals or groups who are specially trained, equipped, and "authorized" by the manufacturer to purchase them. Explicit procedures should be adopted to ensure that the appropriate level of maintenance is performed only by individuals having this specialized training and equipment. The


following classification scheme is often used to divide maintenance into three levels:

0 Level 1 : User or wearer maintenance, requiring a few common tools or no tools at all. Level 2: Shop maintenance that can be performed by the employer’s maintenance shop.

0 Level 3: Specialized maintenance that can be performed only by the factory or an authorized repair person.

HEAT STRESS

Wearing PPE puts a hazardous waste worker at considerable risk of developing heat stress. This can result in health effects ranging from transient heat fatigue to serious illness or death. Heat stress is caused by a number of interacting factors, including environmental conditions, clothing, workload, and the individual characteristics of the worker. Because heat stress is probably one of the most common (and potentially serious) illnesses at hazardous waste sites, regular monitoring and other preventive precautions are vital.

Individuals vary in their susceptibility to heat stress. Factors that may predispose someone to heat stress include:

0

0

0

0

0

0

0

0

0

0

Lack of physical fitness. Lack of acclimatization. Age. Dehydration. Obesity. Alcohol and drug use. Infection. Sunburn. Diarrhea. Chronic disease.

Reduced work tolerance and the increased risk of excessive heat stress is directly influenced by the amount and type of PPE worn. PPE adds weight and bulk, severely reduces the body’s access to normal heat exchange mechanisms (evaporation, convection, and radiation), and


increases energy expenditure. Therefore, when selecting PPE, each item’s benefit should be carefully evaluated in relation to its potential for increasing the risk of heat stress. Once PPE is selected, the safe duration of workhest periods should be determined based on the:

0 Anticipated work rate. 0 Ambient temperature and other environmental factors. 0 Type of protective ensemble. 0 Individual worker characteristics and fitness.

Monitoring

Because the incidence of heat stress depends on a variety of factors, all workers, even those not wearing protective equipment, should be monitored:

0 For workers wearing permeable clothing (e.g., standard cotton or synthetic work clothes), follow recommendations for monitoring requirements and suggested workhest schedules in the current American Conference of Governmental Industrial Hygienists’ (ACGIH) Threshold Limit Values for Heat Stress. If the actual clothing worn differs from the ACGIH standard ensemble in insulation value and/or win and vapor permeability, change the monitoring requirements and workhest schedules accordingly.

0 For workers wearing semipermeable or impermeable encapsulating ensembles, the ACGIH standard cannot be used. For these situations, workers should be monitored when the temperature in the work area is above 70°F (21°C).

To monitor the worker, measure:

Heart rate. Count the radial pulse during a 30-second period as early as possible in the rest period.

If the heart rate exceeds 110 beats per minute at the beginning of the rest period, shorten the next work cycle by one-third and keep the rest period the same.


If the heart rate still exceeds 110 beats per minute at the next rest period, shorten the following work cycle by one-third.

Oral temperature. Use a clinical thermometer (3 minutes under the tongue) or similar device to measure the oral temperature at the end of the work period (before drinking).

If oral temperature exceeds 99.6"F (37.6"C), shorten the next work cycle by one-third without changing the rest period. If oral temperature still exceeds 99.6"F (37.6"C) at the beginning of the next rest period, shorten the following work cycle by one-third. Do not permit a worker to wear a semipermeable or impermeable garment when hidher oral temperature exceeds 100.6"F (38. l°C).

Body water loss, if possible. Measure weight on a scale accurate to i-0.25 lb at the beginning and end of each work day to see if enough fluids are being taken to prevent dehydration. Weights should be taken while the employee wears similar clothing or, ideally, is nude. The body water loss should not exceed 1.5 percent total body weight loss in a work day.

Initially, the frequency of physiological monitoring depends on the air temperature adjusted for solar radiation and the level of physical work (see Table 10). The length of the work cycle will be governed by the frequency of the required physiological monitoring.

Prevention

Proper training and preventive measures will help avert serious illness and loss of work productivity. Preventing heat stress is particularly important because once someone suffers from heat stroke or heat exhaustion, that person may be predisposed to additional heat injuries.


TABLE 10

SUGGESTED FREQUENCY OF PHYSIOLOGICAL MONITORING FOR FIT AND ACCLIMATIZED WORKERS'

~

Adjusted Normal Work Impermeable Temperatureb Ensemble' Ensemble

After each 45 minutes 90°F (32.2"C) or above of work of work

After each 15 minutes

87.5" - 90°F (30.8" - 32.2"C) of work of work

After each 60 minutes After each 30 minutes

82.5" - 87.5"F (28.1" - 30.8%) of work of work

After each 90 minutes After each 60 minutes

77.5" - 82.5"F After each 120 After each 90 minutes (25.3" - 28. 1°C) minutes of work of work

72.5" - 77.5"F After each 150 After each 120 (22 .5" - 25.3"C) minutes of work minutes of work

"For work levels of 250 kdocalorieshour. bCalculate the adjusted air temperature (ta adj) by using this equation: ta adj "F + (13 x % sunshine). Measure air temperature (GI) with a standard mercury- in-glass thermometer, with the bulb shielded from radiant heat. Estimate percent sunshine by judging what percent time the sun is not covered by clouds that are thick enough to produce a shadow. (100 percent sunshine = no cloud cover and a sharp, distinct shadow; 0 percent sunshine = no shadows). 'A normal work ensemble consists of cotton coveralls or other clothing with long sleeves and pants.

To avoid heat stress, management should take the following steps:

Adjust work schedules: -- Modify workhest schedules according to monitoring

requirements. -- Mandate work slowdowns as needed. -- Rotate personnel: alternate job functions to minimize

overstress or overexertion at one task. -- Add additional personnel to work teams.


-- Perform work during cooler hours of the day if possible or at night if adequate lighting can be provided.

Provide shelter (air-conditioned, if possible) or shaded areas to protect personnel during rest periods. Maintain workers' body fluids at normal levels. This is necessary to ensure that the cardiovascular system functions adequately. Daily fluid intake must approximately equal the amount of water lost in sweat, Le., 8 fluid ounces (0.23 liters) of water must be ingested for approximately every 8 ounces (0.23 kg) of weight lost. The normal thirst mechanism is not sensitive enough to ensure that enough water will be drunk to replace lost sweat. When heavy sweating occurs, encourage the worker to drink more. The following strategies may be useful: -- Maintain water temperature at 50" to 60°F (lo" to 15.6"C). -- Provide small disposable cups that hold about 4 ounces

(0.1 liter). -- Have workers drink 16 ounces (0.5 liters) of fluid

(preferably water or dilute drinks) before beginning work. -- Urge workers to drink a cup or two every 15 to 20 minutes,

or at each monitoring break. A total of 1 to 1.6 gallons (4 to 6 liters) of fluid per day are recommended, but more may be necessary to maintain body weight.

-- Weigh workers before and after work to determine if fluid replacement is adequate.

0 Encourage workers to maintain an optimal level of physical fitness: -- Where indicated, acclimatize workers to site work

conditions: temperature, protective clothing, and workload. -- Urge workers to maintain normal weight levels.

0 Provide cooling devices to aid natural body heat exchange during prolonged work or severe heat exposure. Cooling devices include: -- Field showers or hose-down areas to reduce body

temperature and/or to cool off protective clothing. Cooling jackets, vests, or suits.

0 Train workers to recognize and treat heat stress. As part of training, identify the signs and symptoms of heat stress (see Table 11).

Managing Worker Personal Protective Equipment 45 1

TABLE 11

SIGNS AND SYMPTOMS OF HEAT STRESS

0

Heat rash may result from continuous exposure to heat or humid air. Heat cramps are caused by heavy sweating with inadequate electrolyte replacement. Signs and symptoms include: -- muscle spasms -- pain in the hands, feet, and abdomen Heat exhaustion occurs from increased stress on various body organs including inadequate blood circulation due to cardiovascular insufficiency or dehydration. Signs and symptoms include: -- pale, cool, moist skin -- heavy sweating -- dizziness -- nausea -- fainting Heat stroke is the most serious form of heat stress. Temperature regulation fails and the body temperature rises to critical levels. Immediate action must be taken to cool the body before serious injury and death occur. Competent medical help must be obtained. Signs and symptoms are: -- red, hot, usually dry skin -- lack of reduced perspiration -- nausea -- dizziness and confusion -- strong, rapid pulse -- coma

0

Other Factors

PPE decreases worker performance as compared to an unequipped individual. The magnitude of this effect varies considerably, depending on both the individual and the PPE ensemble used. This section discusses the demonstrated physiological responses to PPE, the individual human characteristics that play a factor in these responses, and some of the precautionary and training measures that need to be taken to avoid PPE-induced injury.


The physiological factors may affect worker ability to function using PPE include:

Physical condition. Level of acclimatization. Age.

0 Gender. Weight.

Physical Condition

Physical fitness is a major factor influencing a person’s ability to perform work under heat stress. The more fit someone is, the more work they can safely perform. At a given level of work, a fit person, relative to an unfit person, will have:

Less physiological strain. A lower heart rate.

0 A lower body temperature, which indicates less retained body heat (a rise in internal temperature precipitates heat injury).

0 A more efficient sweating mechanism. 0 Slightly lower oxygen consumption. 0 Slightly lower carbon dioxide production.

Level of Acclimatization

The degree to which a worker’s body has physiologically adjusted or acclimatized to working under hot conditions affects his or her ability to do work. Acclimatized individuals generally have lower heart rates and body temperatures than unacclimatized individuals , and sweat sooner and more profusely. This enables them to maintain lower skin and body temperatures at a given level of environmental heat and work loads than unacclimatized workers. Sweat composition also become more dilute with acclimatization, which reduces salt loss.

Acclimatization can occur after just a few days of exposure to a hot environment, NIOSH recommends a progressive 60-day acclimatization period for the unacclimatized worker before allowing him/her to do full work on a hot job. Under this regimen, the first day of work on site is begun using only 50 percent of the anticipated workload and exposure


time, and 10 percent is added each day through day 6. With fir or trained individuals, the acclimatization period may be shortened 2 or 3 days. However, workers can lose acclimatization in a matter of days, and work regimens should be adjusted to account for this.

When enclosed in an impermeable suit, fit acclimatized individuals sweat more profusely than unfit or unacclimatized individuals and may therefore actually face a greater danger of heat exhaustion due to rapid dehydration. This can be prevented by consuming adequate quantities of water. See previous section on Prevention for additional information.

Generally , maximum work capacity declines with increasing age, but this is not always the case. Active, well-conditioned seniors often have performance capabilities equal to or greater than young sedentary individuals. However, there is some evidence, indicated by lower sweat rates and higher body core temperatures, that older individuals are less effective in compensating for a given level of environmental heat and work loads. At moderate thermal loads, however, the physiological responses of "young" and "old" are similar and performance is not affected.

Age should not be the sole criterion for judging whether or not an individual should be subjected to moderate heat stress. Fitness level is a more important factor.

Gender

The literature indicates that females tolerate heat stress at least as well as their male counterparts. Generally, a female's work capacity averages 10 to 30 percent less than that of a male. The primary reasons for this are the greater oxygen-carrying capacity and the stronger heart in the male. However, a similar situation exists as with aging: not all males have greater work capacities than all females.

Weight

The ability of a body to dissipate heat depends on the ratio of its surface area to its mass (surface area/weight). Heat loss (dissipation) is a


function of surface area and heat production is dependent on mass. Therefore, heat balance is described by the ratio of the two.

Since overweight individuals (those with a low ratio) produce more heat per unit of surface area than thin individuals (those with a high ratio), overweight individuals should be given special consideration in heat stress situations. However, when wearing impermeable clothing, the weight of an individual is not a critical factor in determining the ability to dissipate excess heat.

CLOSURE

The Occupational Safety Professional must not only address issues concerning proper management of hazardous materials, but must address management issues concerning worker safety. This requires a knowledge of the available techniques, equipment and options available. Selection of PPE must be based on a thorough understanding of the hazards associated with the site and the operations workers are being asked to perform. The application of proper risk assessment techniques is therefore crucial.

GLOSSARY OF EH&S TERMS

This glossary contains terms, definitions, and acronyms that relate to transportation, storage, safety and health, environmental protection and regulatory references on hazardous materials and hazardous wastes. The terms included are commonly used by EH&S professionals responsible for the management of hazardous materials.

AA --Atomic absorption spectrophotometry. Refers to the analytical method or apparatus used for metals analysis.

AAPCO -- Association of American Pesticide Control Oficials, Inc. This association consists of officials charged by law with active execution of the laws regulating sale of economic poisons, and of deputies designated by these officials employed by state, territorial, dominion, or federal agencies. The group objective is to promote uniform and effective legislation, definitions, rulings, and enforcement of laws relating to control of sale and distribution of economic poisons.

AAR -- Association of American Railroads.

Absorption -- a. Penetration of a substance into the body of another; b. Transformation into other forms suffered by radiant energy passing through a material substance.

ACGM -- American Conference of Governmental Industrial Hygienists: an organization of professional personnel in governmental agencies or educational institutions engaged in occupational safety and health programs. ACGIH develops and publishes recommended occupational exposure limits (see TLV) for hundreds of chemical substances and physical agents.

Acid -- A hydrogen-containing compound that reacts with water to produce hydrogen. Acid chemicals are corrosive. (See also pH.)

455


Acute Effect -- An adverse effect on a human or animal, generally after a single significant exposure, with severe symptoms developing rapidly and coming quickly to a crisis. (Also see "chronic effect.")

Acute Toxicity -- The adverse (acute) effects resulting from a single dose of, or exposure to, a substance.

Aerosols -- Liquid droplets or solid particles dispersed in air, that are of fine enough particle size (0.01 to 100 microns) to remain so dispersed for a period of time.

AIHA -- American Industrial Hygiene Association.

Alkali -- Any substance that in water solution is bitter, more or less irritating, or caustic to the skin. Strong alkalies in solution are corrosive to the skin and mucous membranes. (See also pH.)

Anhydrous -- Free from water.

ANSI -- American National Standards Institute.

Anorexia -- Lack or loss of the appetite for food.

Asbestos -- Any material containing more than 1 percent asbestos in any form.

Asbestosis -- A disease of the lungs caused by the inhalation of fine airborne fibers of asbestos.

Asphyxiant -- A vapor or gas which can cause unconsciousness or death by suffocation (lack of oxygen). Most simple asphyxiants are harmful to the body only when they become so concentrated that they reduce oxygen in the air (normally about 2 1 percent) to dangerous levels (1 8 percent or lower). Asphyxiation is one of the principal potential hazards of working in confined spaces.

ASTM -- American Society for Testing and Materials.

Atrophy -- Arrested development or wasting away of cells and tissue.

Auto-Ignition Temperature -- The minimum temperature at which the material will ignite without a spark or flame being present. Along with the flashpoint, auto-ignition temperature gives an indication of relative flammability.

Glossary of EH&S Terms 457

BAT -- Best Available Technology or most stringent type of control for existing discharges and applies to toxic pollutants as well as conventional and some nonconventional pollutants.

BADCT -- Best Available Demonstrated Control Technology applies only to new industrial sources of pollution. Pollution control is built into the entire facility.

BCT -- Best Conventional Technology for discharges of conventional pollutants; more stringent than BPT.

BEJ -- Best Engineering Judgment or type of control for pollution sources for which EPA has not issued regulations.

Bioassay -- A term used to describe the technique by which a toxic agent, such as an insecticide, is detected and measured for potency. The technique involves testing of the toxicant at different dosage levels for ability to cause a physiological response (often death) in a test organism (e.g., insect, rat). In bioassay, chemicals are not identified individually. Bioassay may be used to determine the rate of loss after application of an insecticide to crop or soil, as confirmation of chemical assays of residues, for detection of insecticides as a cause of honeybee losses, etc.

Biocide -- A substance that, when absorbed by eating, drinking, or breathing, or otherwise consumed in relatively small quantities, causes illness or death, or even retardation of growth or shortening of life.

Biohazard -- A combination of the words biological hazard; infectious agents presenting a risk or potential risk to the well-being of man or other animals, either directly through infection or indirectly through disruption of the environment.

Biohazard Area -- Any area (a complete operating complex, a single facility, a room within a facility, etc.) in which work has been, or is being performed with biohazardous agents or materials.

Biological (half-life) -- The time required for a given species, organ, or tissue to eliminate half of a substance which it takes in.

Biological Magnification -- The concentration of certain substances up a food chain. A very important mechanism in concentrating pesticides and heavy metals in organisms such as fish.


Biological Treatment -- The process by which hazardous waste is rendered non-hazardous or is reduced in volume by relying on the action of microorganisms to degrade through organic waste.

Biological Hazardous Waste (Infectious) -- Any substances of human or animal origin, other than food wastes, which are to be disposed of and could harbor or transmit pathogenic organisms including, but not limited to, pathological specimens such as tissues, blood elements, excreta, secretions, and related substances. This category includes wastes from health care facilities and laboratories, and biological and chemical warfare agents. Wastes from hospitals would include malignant or benign tissues taken during autopsies, biopsies, or surgery; hypodermic needles; and bandaging materials. Although the production of biological warfare agents has been restricted and production of chemical agents discontinued,, some quantities still remain and must be disposed of. See Title 9 CFR Part 102 (licensed veterinary biological products), Title 21 CFR Part 601 (licensing) or Title 42 CFR Part 72.

Biological Wastewater Treatment -- A type of wastewater treatment in which bacterial or biochemical action is intensified to stabilize, oxidize, and nitrify the unstable organic matter present. Intermittent sand filters, contact beds, trickling filters, and activated sludge tanks are examples of the equipment used.

Blasting Agent -- A material designed for blasting that has been evaluated according to one of the tests described in Title 49 CFR 173.114a of the Department of Transportation and found to be so insensitive that there is very little probability of accidental initiation of explosion or of transition from deflagration to detonation.

BLEW -- Boiling Liquid Expanding Vapor Explosion. In addition to its technical meaning, this acronym has acquired a common usage definition that has come to stand for virtually any rupture of a tank of liquid or liquefied compressed gas and has been expanded to include all vapor explosions. The technical definition of BLEVE presents the hypothesis that rapid depressurization of a hot, saturated liquid may result in an explosion. The temperature of the hot liquid must be above the superheat limit temperature at 1 atmosphere, and the drop in tank pressure must be very rapid. This requires instantaneous homogeneous nucleation of the hot liquid. This phenomenon has NOT been observed as the cause of failure of a transportation container.

BMP -- Best Management Practices.

BOE -- Bureau of Explosives, Association of American Railroads.


Boiling Point (B.P.) -- The temperature at which a liquid changes to a vapor state at given pressure usually expressed in degrees Fahrenheit at sea level. Flammable materials with low boiling points generally present special fire hazards.

BIT --Best Practicable Technology - minimum acceptable level of treatment for existing plants.

Breathing Zone Sample -- An air sample, collected in the breathing area (around the nose) of a worker to assess his exposure to air-borne contaminants.

"C -- Degrees Centigrade (Celsius).

"C" or Ceiling -- The maximum allowable human exposure limit for an airborne substance, not to be exceeded even momentarily. (See also "PEV" and "TLV.")

CAA -- Clean Air Act.

Canister (air purifying) -- A container filled with sorbents and catalysts that remove gases and vapors from air drawn through the unit. The canister may also contain an aerosol (particulate) filter to remove solid or liquid particles.

Capacitor -- A device for accumulating and holding a charge of electricity and consisting of conducting surfaces separated by a dielectric.

Carcinogen -- A substance capable of causing cancer.

cc -- Cubic centimeter: A volume measurement in the metric system equal in capacity to one milliliter (ml). One quart is about 946 cubic centimeters.

CDC -- Center for Disease Control.

Centigrade (Celsius) -- The internationally used scale for measuring temperature, in which 100" is the boiling point of water at sea level (1 atmosphere), and 0" is the freezing point.

CEQ -- Council on Environmental Quality.

CERCLA -- Comprehensive Environmental Response, Compensation and Liability Act ( 1980) ("Superfund").


CFC -- Chlorofluorocarbons: A class of Halonchemical compounds containing both chlorine and fluorine used as refrigerants or cleaning solvents and commonly referred to as Freons@.

CFR -- Code of Federal Regulations.

CGA -- Compressed Gas Association.

CGNRC -- Coast Guard National Response Center

Chemical-Resistant Materials -- Materials that inhibit or protect against penetration of certain chemicals.

CHEMTREC -- Chemical Transportation Emergency Center, operated by the Chemical Manufacturers Association (CMA).

CHRIS -- Chemical Hazards Response informution System published by the United States Coast Guard.

Chronic Effect -- Adverse effects resulting from repeated doses of, or exposures to, a substance over a relatively prolonged period of time.

CMA -- Chemical Manufacturers Association.

Concentration -- The relative amount of a substance when combined or mixed with other substances. Examples: 2 hydrogen sulfide in air or a 50 percent caustic solution.

Combustible Liquid Class II (OSHA Usage) -- Class I1 liquids include those with flashpoints at or above 100°F (37.8"C), and below 140°F (60°C) except any mixture having components with flashpoints of 200°F (93.3"C) or higher, the volume of which make up 99 percent or more of the total volume of the mixture (Title 29 CFR 1920.106).

Combustible Liquid Class IIIA and JDB (OSHA Usage) -- C1, ss IIIA liquids include those with flashpoints at or above 140" (60" C) anc below 200°F (93.3"C), the total volume of which make up 99 percent or mc re of the total volume of the mixture. Class IIIB liquids include those with fl shpoints at or above 200°F (93.3"C) (Title 29 CFR 1910.106).

Combustible Liquid (DOT Usage) -- Flashpoint 100°F to 200°F.


Compressed Gas -- Material packages in a cylinder, tank, or aerosol under pressure exceeding 40 psi at 70°F or other pressure parameters identified by DOT.

Consignee -- The addressee to whom the item is shipped.

Container -- Any portable device in which a material is stored, transported, disposed of, or otherwise handled. (See Title 40 CFR 260.10(a)(9).)

Container, Internodal, IS0 -- An article of transport equipment that meets the standards of the International Organization for Standardization (ISO) designed to facilitate and optimize the carriage of goods by one or more modes of transportation without intermediate handling of the contents and equipped with features permitting ready handling and transfer from one mode to another. Containers may be fully enclosed with one or more doors, open top, tank, refrigerated, open rack, gondola, flatrack, and other designs. Included in this definition are modules or arrays that can be coupled to form an integral unit regardless of intention to move singly or in multiplex configuration.

Containerization -- The use of transport containers (container express [CONEX], military-owned demountable containers [MILVAN], commercially or government-owned [or leased] shipping containers [SEAVAN], and roll on/rolloff [RORO] trailers) to unitize cargo for transportation, supply, and storage. Containerization aids carriage of goods by one or more modes of transportation without the need for intermediate handling of the contents, and incorporates supply, security, packaging, storage, and transportation into the distribution system from source to user.

Corrosive Acid -- A liquid or solid, excluding Poisons, that causes visible destruction or irreversible alterations in human skin tissue at the site of contact, or has a severe corrosion rate on steel. Liquids show a pH of 6.0 or less. (See Title 49 CFR 173.240.)

Corrosive Alkaline -- A liquid or solid, excluding poisons, that causes visible destruction or irreversible alteration in human skin tissue at the site of contact; or has a severe corrosion rate on steel. Liquids show a pH of 8.0 or above. (See Title 49 CFR 173.240.)

CPR -- Cardiopulmonary resuscitation.

CPSA -- Consumer Products Safety Act, Title 16 CFR 1500 series.


CPSC -- Consumer Products Safety Commission.

CWA -- Clean Water Act, Title 40 CFR.

Cyanosis -- Blue appearance of the skin, especially on the face and extremities, indicating a lack of sufficient oxygen in the arterial blood.

Dangerous When Wet -- A label required for certain materials being shipped under US DOT, ICAO, and IMO regulations. Any of this labeled material that is in contact with water or moisture may produce flammable gases. In some cases, these gases are liable to spontaneous combustion.

DCM --Dangerous Cargo Manifest. (See Title 49 CFR 176.30.)

Dermal Toxicity -- Adverse effects resulting from skin exposure to a substance.

Dermatitis -- Inflammation of the skin from any cause. There are two general types of skin reaction: primary irritation dermatitis and sensitization dermatitis. (See irritant and sensitizer.)

Desiccant -- A substance such as silica gel that removes moisture (water vapor) from the air and is used to maintain a dry atmosphere in containers of food or chemical packagings.

Disposal Drum -- A nonprofessional reference to a drum used to overpack damaged or leaking containers of hazardous materials for shipment; the proper shipping name is Salvage Drum as cited in Title 49 CFR 173.3.

Distribution System (Supply) -- A complex of facilities, equipment, methods, patterns, and procedures designed to receive, store, maintain, distribute, and control the flow of items from one point to another.

DOC -- Department of Commerce.

DOD -- Department of Defense.

DOE -- Department of Energy.

DOJ -- Department of Justice.

DOL -- Department of Labor.

Glossary of EH&S T e r n 463

DOS -- Department of State.

Dose -- The amount of energy or substance absorbed in a unit volume or an organ or individual. Dose rate is the dose delivered per unit of time. (See also Roentgen, RAD, REM.)

DOT -- Department of Transportation.

dps --Disintegrations Per Second - a unit of measure relating to the breakdown of a radioactive material.

Dust -- Solid particles generated by handling, crushing, grinding, rapid impact, detonation, and decrepitation of organic or inorganic materials, such as rock, ore, metal, coal wood, and grain. Dusts do not tend to flocculate except under electrostatic forces; they do not diffuse in air but settle under the influence of gravity.

Dyspnea -- Shortness of breath, difficult or labored breathing.

Ecology -- A branch of science concerned with interrelationship of organisms and their environments; the totality or pattern of relations between organisms and their environment.

Economic Poison -- As defined in the Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA), an economic poison is "any substance or mixture of substances intended for preventing, destroying, repelling, or mitigating any insects, rodents, nematodes, fungi, or weeds, or any other forms of life declared to be pests . . . any substance intended for use as a plant regulator, defoliant, or desiccant." As so defined, economic poisons are known generally as pesticides.

Edema -- A swelling of body tissues as a result of fluid retention.

Effluent Guidelines -- (CWA) Minimum, technology-based levels of pollution reduction that point sources must attain.

Effluent Limitations -- (CWA) Specific control requirements directed at a specific discharge site.

Empty Packagings -- As related to Title 49 CFR: 1) The description on the shipping paper for a package containing the residue of a hazardous substance may include the words "RESIDUE: Last Contained Material" in association


with the basic description of the hazardous material last contained in the packaging; 2) For a tank car containing the residue (as defined in Title 49 CFR 171.8) of a hazardous material, the requirements of Title 49 CFR 172.203(e) and 174.25(c) apply; 3) If a packaging, including a tank car, contains a residue that is a hazardous substance, the description on the shipping appears must be with the phrase "RESIDUE: Last Contained" and the letters "RQ" must be entered on the shipping paper either before or after the description.

EPA -- United States Environmental Protection Agency.

Epidemiology -- The science that deals with the study of disease in a general population. Determination of the incidence (rate of occurrence) and distribution of a particular disease (as by age, sex or occupation) may provide information about the cause of the disease.

Etiological Agent -- A viable microorganism or its toxin, which causes or may cause human disease; limited to the agents identified in Title 42 CFR Part 72.

Etiology -- The study of the causes of disease.

Evaporation Rate -- The rate at which a particular material will vaporize (evaporate) when compared with the rate of vaporization of a known material. The evaporation rate can be useful in evaluating the health and fire hazards of a material. The known material is usually normal butyl acetate (NBUAC or n- BuAc), with a vaporization rate designated as 1 .O. Vaporization rates of other solvents or materials have three classifications:

1. FAST evaporating if greater than 3 .O. Examples: methyl ethyl ketone (MEK) = 3.8, acetone = 5.6, hexane = 8.3.

2. MEDIUM evaporating if 0.8 to 3.0. Examples: 190 proof (95 percent) ethyl alcohol = 1.4, VM&P naphtha = 1.4, MIBK = 1.6.

3. SLOW evaporating if less than 0.8. Examples: xylene = 0.6, isobutyl alcohol = 0.6, normal butyl alcohol = 0.4, water = 0.3, mineral spirits = 0.1.

Exotoxin -- A toxin produced and delivered by a microorganism into the surrounding medium.

Explosion-proof Equipment -- Apparatus enclosed in a case capable of withstanding an explosion of a specified gas or vapor that may occur and of


preventing the ignition of a specified gas or vapor surrounding the enclosure by sparks, flashes, or explosion of the gas or vapor within, and that operates at an external temperature such that a surrounding flammable atmosphere will not be ignited.

Explosive, Class A -- Any of nine types of explosives as defined in Title 49 CFR 173.53, and listed in Title 49 CFR 172.101. Any chemical compound, mixture, or device having the primary or common purpose to function by detonation (Le., with substantial instantaneous release of gas and heat, unless such compound, mixture, or device is otherwise classified for storage or transportation).

Explosive, Class B -- Explosives that, in general, function by rapid combustion rather than detonation and include some explosive devices such as special fireworks, flash powders, some pyrotechnic signal devices, and solid or liquid propellant explosives including some smokeless powders. These explosives are listed and defined in Title 49 CFR 172.101 and Title 49 CFR 173.88 of the Department of Transportation, respectively.

Explosive, Class C -- Certain types of manufactured articles that contain Class A or Class B explosives, or both, as components but in restricted quantities; and certain types of fireworks. These explosives are listed and defined in Title 49 CFR 172.101 and Title 49 CFR 173.100 of the Department of Transportation, respectively.

Explosive Limits -- Some items have a minimum and maximum concentration in air which can be detonated by spark, shock, fire, etc. The lowest concentration is known as the lower explosive limit (LEL). The highest concentration is known as the upper explosive limit (UEL).

Exposure -- Subjection of a person to a toxic substance or harmful physical agent in the course of employment through any route of entry (e.g., inhalation, ingestion, skin contact, or absorption); includes past exposure and potential (e.g., accidental or possible) exposure, but does not include situations where the employer can demonstrate that the toxic substance or harmful physical agent is not used, handled, stored, generated, or present in the workplace in any manner different from typical nonoccupational situations. An exposure to a substance or agent may or may not be an actual health hazard to the worker. An industrial hygienist evaluates exposures and determines if permissible exposure levels are exceeded.

O F -- Degrees Fahrenheit.


Fahrenheit -- The scale of temperature in which 212" is boiling water at 760 mm Hg and 32" is the freezing point.

FFDCA --Federal Food, Drug, and Cosmetic Act. (See Title 21 USC 301-392)

FHSLA (CPSC Usage) -- Federal Hazardous Substances Labeling Act. (See Title 15 USC 1261-1275.)

FIFRA -- Federal Insecticide, Fungicide, and Rodenticide Act. ( S e e Title 40 CFR.)

Fibrosis -- A condition marked by increase of interstitial fibrous tissue.

Flammable (DOT Usage) -- Flashpoint < 100°F.

Flammable Aerosols -- An aerosol which is required to be labeled "Flammable" under the United States Federal Hazardous Substances Labeling Act. For storage purposes, flammable aerosols are treated as Class IA liquids (NFPA 30, Flammable and Combustible Liquids Code).

Flammable Gas -- Any compressed or liquified gas, except an aerosol, is flammable if either a mixture of 13 percent or less (by volume) with air forms a flammable mixture or the flammable range with air is wider than 12 percent regardless of the lower limit (at normal temperature and pressure). (ICAO Technical Instructions)

Flammable Limits -- Flammable liquids produce (by evaporation) a minimum and maximum concentration of flammable gases in air that will support combustion. The lowest concentration is known as the lower flammable limit (LFL). The highest concentration is known as the upper flammable limit (UFL).

Flammable Liquid Class IA (OSHA Usage) -- Any liquid having a flashpoint below 73°F (223°C) and having a boiling point below 100°F (37.8"C) except any mixture having components with flashpoints of 100°F (37.8"C) or higher, the total of which make up 99 percent or more of the total volume of the mixture (Title 29 CFR 1910.106).

Flammable Liquid Class IB (OSHA Usage) -- Any liquid having a flashpoint below at or above 73°F (22.8"C) and having a boiling point at or above 100°F (37.8"C), except at or above 100°F (37.8"C) or higher, the total of which make


up 99 percent or more of the total volume of the mixture (Title 29 CFR 1910.106).

Flammable Liquid Class IC (OSHA Usage) -- Any liquid having a flashpoint below at or above 73°F (22.8"C) and below 100°F (37.8"C), except any mixture having components with flashpoints of 100°F (37.8"C), or higher, the total of which make up 99 percent or more of the total volume of the mixture (Title 29 CFR 1910.106).

Flammable Solid (DOT Usage) -- Any solid material, other than one classed as an explosive, that under conditions normally incident to storage is liable to cause fire through friction or retained heat from manufacturing or processing; or that can be ignited readily, and when ignited bums so vigorously and persistently as to create a serious storage hazard. Flammable solids, excluding Dangerous When Wet, are further defined in Title 49 CFR 173.150.

Flashpoint -- The lowest temperature at which a liquid gives off enough vapor to form an ignitable mixture with air and produce a flame when a source of ignition is present. Two tests are used--open cup and closed cup.

FP or fl. pt. -- Flashpoint.

Friable -- Capable of being pulverized with hand pressure as relates to asbestos (Title 29 CFR 1910).

ft3 -- Cubic feet. Calculated by multiplying length by width by depth of an item or space.

Full Protective Clothing -- Such units are typically recommended where high chemical gas, vapor, or fume concentrations in air may have a corrosive effect on exposed skin, and/or where the chemical in air may be readily absorbed through the skin to produce toxic effects. These suits are impervious to chemicals, offer full body protection, and include self-contained breathing apparatus (SCBA).

Fully Encapsulating Suits -- Full chemical protective suits that are impervious to chemicals, offer full body protection from chemicals and their vapors/fumes, and are to be used with self-contained breathing apparatus (SCBA).

Fume -- Gas-like emanation containing minute solid particles arising from the heating of a solid body such as lead. This physical change is often accompanied


by a chemical reaction, such as oxidation. Fumes flocculate and sometimes coalesce. Odorous gases and vapors should not be called fumes.

W C A -- Federal Water Pollution Control Act (1972).

Gas -- A state of matter in which the material has very low density and viscosity; can expand and contract greatly in response to changes in temperature and pressure; easily diffuses into other gases; readily and uniformly distributes itself throughout any container. A gas can be changed to the liquid or solid state by the combined effect of increased pressure and/or decreased temperature.

Gastr-, gastro -- (Prefix) Pertaining to the stomach.

GUMS -- Gas chromutography/ms spectrometry. Refers to both analytical method and apparatus used for organics analysis.

Genetic Effects -- Mutations or other changes which are produced by irradiation of the germ plasm.

g/kg -- Grams per kilogram, an expression of dose used in oral and dermal toxicity testing to indicate the grams of substance dosed per kilogram of animal body weight. (See also "kg".)

GSA -- General Services Administration.

HAP -- Hierarchical Analytical Protocol. A procedure identified by the EPA to demonstrate the presence or absence of RCRA (Title 40 CFR) classes or Appendix VI11 compounds in groundwater.

Hazardous Air Pollutant -- A pollutant to which no ambient air quality standard is applicable and that may cause or contribute to an increase in mortality or in serious illness. For example, asbestos, beryllium, and mercury have been declared hazardous air pollutants.

Hazard Assessment Risk Analysis -- A process used to qualitatively or quantitatively assess risk factors to determine mitigating actions.

Hazardous Chemicals -- Chemicals or materials used in the workplace that are regulated under the OSHA Hazard Communication Standard or the "right-to- know" regulations in Title 29 CFR 1910.1200.


Hazard Class -- A category of hazard associated with an HM/HW that has been determined capable of posing an unreasonable risk to health, safety, and property when transported (see Title 49 CFR 171.8). The hazard class used by the United States DOT and published in Title 49 CFR 172.101. The hazard classes used in the United States include Explosive Class A, B, or C; Flammable Liquid; Flammable Solid; Corrosive Material; Oxidizer; Poison A; Poison B; Radioactive Material; Nonflammable Gas; ORM-A, -C, -D, and -E; Etiologic Agent; Irritating Material; Organic Peroxide; Combustible Liquid; Flammable Gas; and Blasting Agent.

Hazardous Material -- In a broad sense, a hazardous material (HM) is any substance or mixture of substances having properties capable of producing adverse effects on the health and safety or the environment of a human being. Legal definitions are found in individual regulations.

Hazardous Waste Manifest, Uniform (EPA Usage) -- The shipping document, originated and signed by the waste generator or his authorized representative, that contains the information required by Title 40 CFR 262, Subpart B.

Hazardous Substances -- Chemicals, mixtures of chemicals, or materials subject to the regulations contained in Title 40 CFR. For transportation purposes, means a material, and its mixtures or solution, identified by the letter "E" in column 2 of the Hazardous Materials Table included in Title 49 CFR 172.101 when offered for transportation in one package, or in one transport vehicle if not packaged, and when the quantity of the material therein equals or exceeds the reportable quantity (RQ). For details, refer to Title 49 CFR 171.8 and Title 49 CFR 172.101.

Hazardous Waste 0 -- Any material listed as such in Title 40 CFR 261, Subpart D, that posesses any of the hazard characteristics of corrosivity, ignitability, reactivity, or toxicity as defined in Title 40 CFR 261, Subpart C, or that is contaminated by or mixed with any of the previously mentioned materials. (See Title 40 CFR 261.3.)

Hazardous Waste Generation -- The act or process of producing hazardous waste.

Hazardous Waste Landfill -- An excavated or engineered area on which hazardous waste is deposited and covered; proper protection of the environment from the materials to be deposited in such a landfill requires careful site selection, good design, proper operation, leachate collection and treatment, and thorough final closure.


Hazardous Waste Leachate -- The liquid that has percolated through or drained from hazardous waste emplaced in or on the ground.

Hazardous Waste Management -- Systematic control of the collection, source separation, storage, transportation, processing, treatment, recovery, and disposal of hazardous wastes.

Hazardous Waste Number -- The number assigned to each hazardous waste listed by EPA and to each hazardous waste characteristic.

Hazardous Waste Site -- A location where hazardous wastes are stored, treated, incinerated, or otherwise disposed of.

Hematology -- Study of the blood and the blood-forming organs.

Hepatitis -- Inflammation of the liver.

Herbicide -- A chemical intended for killing plants or interrupting their normal growth. A weed, grass, or brush killer. (Also see pesticides.)

HMTA -- Hazardous Materials Transportation Act (1975).

HPLC -- Also called LC. High performance liquid chromatography is used in organics analysis.

HSWA -- Hazardous and Solid Waste Amendments of 1984 (RCRA Jr.).

Hygroscopic -- Descriptive of a substance that has the property of adsorbing moisture from the air, such as: silica gel, calcium chloride or zinc chloride.

Hypothermia -- Condition of reduced body temperature.

IATA -- International Air Transport Association.

IC -- Ion chromatography.

ICAO -- International Civil Aviation Organization.

ICP -- Inductively coupled (argon) plasma. Used with reference to both the analytical method and the apparatus.


Identification Code for EPA -- The individual number assigned to each generator, transporter, and treatment, storage, or disposal facility by state or federal regulatory agencies.

IDLH -- Immediately dangerous to life and health. An environmental condition which would immediately place a worker in jeopardy. Usually used to describe a condition existing where self-contained breathing apparatus must be used.

ID Number -- Four-digit number preceded by UN or NA, assigned to hazardous materials and dangerous goods (See column 3a of the Hazardous Materials Table included in Title 49 CFR 172.101 and column 4 of Title 49 CFR 172.102. Note also the cross-reference list for number-to-name that follows the Hazardous Materials Table 102 as Appendix A).

Ignitible (EPA Usage) -- A liquid with a flashpoint less than 140°F

IMDG -- International Maritime Dangerous Goods.

IMDGC -- international Maritime Dangerous Goods Codes.

IMDG Designation -- A hazardous material identifier published by the International Maritime Organization in their Dangerous Goods Code.

IMO -- International Maritime Organization (formerly IMCO).

Impermeability -- As applied to soil or subsoil, the degree to which fluids, particularly water, cannot penetrate in measurable quantities.

Impoundment -- See Surface Impoundment.

Inactive Portion -- A portion of a hazardous waste management facility that has not operated since November 19, 1980, but is not yet a closed portion (no longer accepts waste to that area).

Incineration -- An engineered process using controlled flame combustion to thermally degrade waste materials. Devices normally used for incineration include rotary kilns, fluidized beds, and liquid injectors. Incineration is used particularly for the destruction of organic wastes with a high BTU value. The wastes are detoxified by oxidation, and if the heat produced is high enough, they can sustain their own combustion and will not require additional fuel. EPA's draft regulations specify a recommended temperature of lOOO"C, with a


residence time (the time the gases should stay in the combustion chamber) of 2 seconds.

Incompatible Waste -- Waste unsuitable for commingling with another waste or material, where the commingling might result in the following:

1. Extreme heat or pressure generation. 2. Fire. 3. Explosion or violent reaction. 4. Formation of substances that are shock sensitive, friction sensitive, or

otherwise have the potential to react violently. 5. Formation of toxic dusts, mists, fumes, gases, or other chemicals. 6. Volatization of ignitable or toxic chemicals due to heat generation, in

such a manner that the likelihood of contamination of groundwater or escape of the substances into the environment is increased.

Industrial Wastes -- Unwanted materials produced in or eliminated from an industrial operation. They may be categorized under a variety of headings, such as liquid wastes, sludge wastes, and solid wastes. Hazardous wastes contain substances that, in low concentration, are dangerous to life (especially human) for reasons of toxicity, corrosiveness, mutagenicity, and flammability.

Infectious Waste --Waste that contains pathogens or consists of tissues, organs, body parts, blood, and body fluids that are removed during surgery or other procedures. See Title 42 CFR Part 72. (Also, see Biologically Hazardous Waste.)

Infiltration -- The flow of fluid into a substance through pores or small openings. The word is commonly used to denote the flow of water into soil material.

Ingestion -- The process of taking substances into the body, as in food, drink, medicine, etc.

Inhalation - The breathing in of a substance in the form of gas, vapor, fume, mist, or dust.

Inhibitor -- A chemical added to another substance to prevent an unwanted occurrence of chemical change.

Injection -- The subsurface emplacement of a fluid or waste.


Injection Well -- A well into which fluids are injected.

Inner Liner -- A continuous layer or lining of material placed inside a tank or other container that protects the construction materials of the tank or container from the contents.

Inorganic Compounds -- Chemical compounds that do not contain the element carbon.

Inorganic Matter -- Chemical substances of mineral origin, not containing carbon to carbon bonding. Generally structured through ionic bonding.

Insecticide -- A chemical product used to kill and control nuisance insect species. (Also, see pesticide.)

Institutional Waste -- All solid waste emanating from institutions such as, but not limited to, hospitals, nursing homes, orphanages, schools, and universities.

Interim Authorization -- The conditional permission from EPA that enables a state to operate its own hazardous waste management program.

Interim Status -- A period of time, which began November 19, 1980, when hazardous waste storage and treatment facilities and hazardous waste transporters could continue to operate under a special set of regulations until the appropriate permit or license application is or was approved by EPA.

Intermunicipal Agency -- An agency established by two or more municipalities with responsibility for planning or administration of solid waste.

IPY -- Inches per year (as corrosion rate reference in Title 49 CFR 173.240(a)(2) and 173.500(b)(2)(i)).

Irritant -- Any material, liquid or solid substance, that upon contact with fire or when exposed to air gives off dangerous or intensely irritating fumes, such as tear gas, but not including Poison Class A or B material. (Materials named as irritants are presented in Title 49 CFR, 173.38).

I S 0 -- International Organization for Standardization.

kg -- Kilogram. A metric unit of weight, about 2.2 United States pounds.


LC, -- Lethal concentration,, . The concentration of a material which on the basis of laboratory tests is expected to kill 50 percent of a group of test animals when administered as a single exposure (usually 1 or 4 hours). Also, other LC values can be expressed (e.g., LC,, and LC,,).

LCLo -- Lethal Concentration Low. The lowest concentration of a substance in air, other than LC,,, which has been reported to have caused death in humans or animals. The reported concentrations may be entered for periods of exposure that are less than 24 hours (acute) or greater than 24 hours (subacute and chronic).

LD, -- Median Lethal Dose. The dose of a substance introduced by any route, other than inhalation, over any given period of time in one or more divided portions and reported to have caused death in humans or animals.

LDLo -- Lethal Dose Low. The lowest dose of a substance introduced by any route, other than inhalation, over any given period of time in one or more divided portions and reported to have caused death in humans or animals.

Label (DOT) -- Diamond, square, or rectangular-shaped attachment to a package that identifies the hazardous nature of a material. (See Title 49 CFR Part 172, Subpart E.)

Land Treatment Facility -- A facility or part of a facility where hazardous waste is applied or incorporated into the soil surface; such facilities are disposal facilities if the waste will remain after closure.

Latent Period -- The time which elapses between exposure and the first manifestation of damage.

Leak or Leaking -- Any instance in which a article, container, or equipment has any hazardous material (e.g., PCB) on any part of its external surface or has released this substance to the surrounding environment.

LEL -- Lower Explosive Limit. The lowest concentration of the material in air that can be detonated by spark, shock, fire, etc.

LFL -- Lower Flammable Limit. The lowest concentration of the material in air that will support combustion from a spark or flame.

LUST -- Leaking Underground Storage Tanks. (Now being called UST, but it is still lust in our hearts.)


m3 -- Cubic Meter or Stere. A metric measure or volume, about 35.3 cubic feet or 1.3 cubic yards.

Macroencapsulation -- The isolation of a waste by embedding it in, or surrounding it with, a material that acts as a barrier to water or air (e.g., clay and plastic liners).

Magnetized Material -- Any material which, when packed for air transport, has magnetic field strength of 0.159 A/M or more at a distance 2.1 m from any point on the surface of the assembled package. (See ICAO Technical Instructions .)

Malaise -- Vague feeling of bodily discomfort.

Manifest, Uniform Hazardous Waste -- When properly prepared and distributed, provides a tracking system that consists of forms originating with the generator or shipper and following from the generator to disposal in a permitted TSDF.

Manometer -- An instrument for measuring pressure that usually consists of a U-shaped tube containing a liquid, the surface of which in one end of the tube moves proportionally with pressure changes on the liquid in the other end. Also, a tube type of differential pressure gauge.

Marking -- Applying the required descriptive name, instructions, cautions, weight, or specifications or combination thereof on containers of HM/HW. (See Title 49 CFR 171.8.)

Material Safety Data Sheet (OSHA Usage) -- See MSDS.

Melting Point -- The temperature at which a material changes from a solid to a liquid.

mg -- Milligram. A metric unit of weight. There are 1000 milligrams in one gram (8) of a substance.

mg/m3 -- Milligrams Per Cubic Meter. A unit for measuring concentrations of dusts, gases or mists in air.

MHE -- Material Handling Equipment.


Microorganism -- A living organism not discretely visible to the unaided eye. These organisms obtain nutrients from and discharge waste products (largely CO, or 0,) into the fluid in which they exist, thus serving to lower the nutrient level.

ml -- Milliliter. A metric unit of capacity, equal in volume to one cubic centimeter (cc), or about 1/16 of a cubic inch. There are loo0 milliliters in one liter (1).

mm -- Millimeters.

Monolithic -- Describing a structure that is without cracks or seams, self- supporting, and essentially homogeneous.

MSDS -- Material Safety Data Sheet. An MSDS must be in English and include information regarding the specific identity of hazardous chemicals. Also includes information on health effects, first aid, chemical and physical properties, and emergency phone numbers.

MSHA -- Mine Safety and Health Administration of the United States Department of Interior.

MTB -- Materials Transportation Bureau (formerly of DOT); now the Research and Special Programs Administration (RSPA) of DOT.

Mutagen -- A substance capable of causing genetic damage.

NA Number -- North American identification number. When NA precedes a four-digit number, it indicates that this identification number is used in the United States and Canada to identify a hazardous material (HM) or a group of HMS in transportation.

NAAQS -- National Ambient Air Quality Standards, CAA Section 109.

Narcosis -- Stupor or unconsciousness produced by chemical substances.

Necrosis -- Destruction of body tissue.

NEPA -- National Environmental Policy Act ( 1969).

NESHAPs -- National Emission Standards for Hazardous Air Pollutants. CAA Section 112 also refers to chemicals regulated under this program.


Neutralization -- The process by which acid or alkaline properties of a solution are altered by addition of certain reagents to bring the hydrogen and hydroxide concentrations to an equal value; sometimes referred to as pH7, the value of pure water.

Neutralization Surface -- Surface impoundments that (1) are used to neutralize wastes considered hazardous solely because they exhibit the characteristic of corrosivity; (2) contain no other wastes; or (3) neutralize the corrosive wastes sufficiently rapidly so that no potential exists for migration of hazardous waste from the impoundment.

Neutralize -- To make harmless anything contaminated with a chemical agent. More generally, to destroy the effectiveness.

NFPA -- National Fire Protection Association. An international voluntary membership organization to promote improved fire protection and prevention and establish safeguards against loss of life and property by fire. Best known on the industrial scene for the maintenance of National Fire Codes, (Le., 16 volumes of codes, standards, recommended practices, and manuals) and periodically updated by NFPA technical committees.

NIOSH -- National Institute for Occupational Safety and Health of the Public Health Service, United States Department of Health and Human Services (DHHS). Federal agency which, among other activities, tests and certifies respiratory protective devices and air sampling detector tubes, recommends occupational exposure limits for various substances and assists OSHA and MSHA in occupational safety and health investigations and research.

Nonflammable Gas -- Any material or mixture, in a cylinder or tank, other than poison gas, or flammable gas having in the container an absolute pressure exceeding 40 psi at 70°F, or having an absolute pressure exceeding 104 psi at 130°F (Title 49 CFR and CGA).

Nonpoint Sources (CWA Usage) -- 111-defined runoff that enters waterways. (More stringent future regulation is likely .)

NOS or n.0.s. -- Not otherwise specified (DOT Usage).

NPDES -- National Pollutant Discharge Elimination System (Water quality usage.)


NPTN -- National Pesticide Telecommunications Network. A national pesticide poison control center restricted to use by health professionals. The network assists the health professional in diagnosing and managing pesticide poisoning. Services include product active ingredient identification, symptomatic review, toxicologic review, specific treatment recommendations, physician consultation, and referrals for laboratory analyses. These services are provided 24 hours a day.

NQT -- Nonquenched and tempered.

NRC -- National Response Center (AC 800-424-8802). (Title 40 CFR usage)

NRC -- Nonreusable container. (See Title 49 CFR 173.28 and Title 49 CFR 178.8.)

NRC -- Nuclear Regulatory Commission (10 CFR usage).

Nuisance -- The class of wrongs that arise from the unreasonable, unwarranted or unlawful use by a person of his own property, either real or personal, or from his own lawful personal conduct working an obstruction or injury to the right of another, or of the public and producing material annoyance, inconvenience, discomfort or hurt.

OBA -- Oxygen Breathing Apparatus.

OHMR -- Ofice of Hazardous Materials Transportation of the Research and Special Programs Administration of DOT.

OHMT -- Ofice of Hazardous Materials Transportarion of the Research and Special Programs Administration of DOT.

Olfactory -- Relating to the sense of smell.

Onsite -- The same or geographically contiguous property that may be divided by public or private right-of-way, provided the entrance and exit between the properties is at a crossroads intersection, and that access is by crossing as opposed to going along the right-of-way. Noncontiguous properties owned by the same person but connected by a right-of-way that he controls and to which the public does not have access is also considered onsite property (Title 40 CFR 260.10(a)(48)).


Oral Toxicity -- Adverse effects resulting from taking a substance into the body through the mouth.

Organic Peroxide -- Any organic compound containing the bivalent -0-0 structure and that may be considered a derivative of hydrogen peroxide where one or more of the hydrogen atoms have been replaced by organic radicals.

ORM (A-E) (DOT Usage) -- Other Regulated Materials. Several classes of ORM materials are recognized (Le., ORM-A, ORM-B, ORM-C, ORM-D, and ORM-E) .

OSC -- Onscene Coordinator in emergency response actions.

OSHA -- Occupational Safety and Health Administration of the United States Department of Labor. Federal (or state) agency with safety and health regulatory and enforcement authorities for most United States industry and business.

Outside Packaging -- A packaging plus its contents. (See Title 49 CFR 171.8.)

Overpack -- Except when referenced to a packaging specified in Title 49 CFR Part 178, means an enclosure used by a single consignor to provide protection or convenience in handling of a package or to consolidate two or more packages. "Overpack" does not include a freight container.

Oxidizer -- A chemical other than a blasting agent or explosive as defined in Title 29 CFR 1910.109(a), that initiates or promotes combustion in other materials thereby causing fire either of itself or through the release of oxygen or other gases.

Package -- According to the United Nations definition, a complete product of the packaging operation, consisting of the packaging and its contents prepared for transport.

Packaging -- The assembly of one or more containers and any other components necessary to assure compliance with minimum packaging requirements; includes containers (other than freight containers or overpacks), and multi-unit tank car tanks (Title 49 CFR 171.8), also restates the methods and materials used to protect items from deterioration or damage; this includes cleaning, drying, preserving, packaging, marking, and unitization.


Packing -- Assembly of items into a unit, intermediate, or exterior pack with necessary blocking, bracing, cushioning, weather-proofing, reinforcement and marking.

Pallets -- A pallet is a low portable platform constructed of wood, metal, plastic, or fiberboard, built to specified dimensions, on which supplies are loaded, transported, or stored in units.

Part A -- Interim permit for TSDF of hazardous waste prior to 1981 (RCRA usage).

Part B -- Final permit for TSDF (RCRA usage).

Pathogen -- Any microorganism capable of causing disease.

PCB -- Polychlorinated biphenyl. (See Title 40 CFR 761.3.)

PCB Contaminated Electrical Equipment -- Any electrical equipment, including transformers that contains at least 50 ppm but less than 500 ppm PCB. (See Title 40 CFR 761.3.)

PCB Item -- An item containing PCBs at a concentration of 50 ppm or greater (Title 40 CFR 761.3). (The concentration requirement may vary by state).

PCB Transformer -- Any transformer that contains 500 ppm PCB or greater. (See Title 40 CFR 761.3.)

PCDF -- Polychlorinated dibenzofurans: A class of toxic chemical compounds occurring as a thermal degradation product of PCBs.

PCP -- (1) Abbreviation forpentachlorophenol (q.v.), a wood preservative used on military ammunition boxes and telephone poles; (2) 1-( l-Phenylcylohexyl) piperidine or angel dust or HOG, an analgesic and anesthetic that may produce serious psychologic disturbances.

PEL -- Permissible exposure limit. An exposure limit established by OSHA regulatory authority. May be a time weighted average (TWA) limit or a maximum concentration exposure limit. (See also "skin".)

PEP -- Preventive Engineering Practices.


Pesticide -- Any liquid, solid, or gaseous material that demonstrates an oral LD, of greater than 50 mg/kg but less than 5000 mgkg, or an inhalation LCso of greater than 0.2 mg/L, but less than 20 mg/L, or a dermal LD, of greater than 200 mg/kg but less than 20,000 mgkg (Title 40 CFR 162).

PF -- Protective Factor. Refers to the level of protection a respiratory protective device offers. The PF is the ratio of the contaminant concentration outside the respirator to that inside the respirator.

pH -- pH is the symbol of hydrogen ion concentration. A pH of 7.0 is neutrality; higher values indicate alkalinity and lower values indicate acidity.

Phase I (RCRA Usage) -- The regulations issued in May 1980 include the identification and listing of hazardous waste, standards for generators and transporters of hazardous waste, standards for owners and operators of facilities that treat, store, or dispose of hazardous waste; requirements for obtaining hazardous waste facility permits, and rules governing delegation of authority to the states.

Phase II (RCRA Usage) -- Technical requirements for permitting hazardous waste facilities. Sets specific standards for particular types of facilities to ensure the safe treatment, storage, and disposal of hazardous waste on a permanent basis by methods that will protect human health and the environment. Phase I1 standards enable facilities to move from "interim status" to final facility permits.

Pneumoconiosis -- Producing dust: Dust which, when inhaled, deposited, and retained in the lings, may produce signs, symptoms and findings of pulmonary disease.

Pneumonitis -- Inflammation of the lungs characterized by an out-pouring of fluid in the lungs. Pneumonia is the same condition, but involves greater quantities of fluid.

Pretreatment Standards (CWA Usage) -- Specific industrial operation or pollutant removal requirements in order to discharge to a municipal sewer.

Point Sources (CWA Usage) -- Well defined places at which pollutants enter waterways.

Poison Class A -- Poisonous gases or liquids of such a nature that a very small amount of the gas, or vapor of the liquid, mixed with air is dangerous to life (Title 49 CFR 173.326).


Poison Class B -- Demonstrates an oral LD, of up to and including 50 mg/kg, or in inhalation LC,, of up to and including 2 mg/L, or a general LD,, of up to and including 200 mg/kg; or is either classed as a Poison Class B per Title 49 CFR 173.343, or qualifies as a Category I Pesticide per Title 40 CFR Part 162 excluding the corrosivity criteria.

Poison Control Centers -- A nationwide network of poison control centers has been set up with the aid of the United States Food and Drug Administration and Department of Health and Human Services. The centers, usually established in local hospitals, are now widely distributed and available by phone from most parts of the country. Staff members are specially trained in the treatment of poisoning cases.

Poison Information Center (Pesticide) -- See NPTN.

Pollution -- Contamination of air, water, land, or other natural resources that will or is likely to create a public nuisance or render such air, water, land, or other natural resources harmful, detrimental, or injurious to public health, safety, or welfare, or to domestic, municipal, commercial, industrial, agricultural, recreational, or other legitimate beneficial uses, or to livestock, wild animals, birds, fish, or other life.

Polychlorinated Biphenyls (PCB) -- Any of 209 compounds or isomers of the biphenyl molecule that have been chlorinated to various degrees (includes monochlorinated compounds). (See PCB.)

Polymerization -- A chemical reaction, usually carried out with a catalyst, heat, or light, and often under high pressure. In this reaction a large number of relatively simple molecules combine to form a chain-like macromolecule. This reaction can occur with the release of heat. In a container, the heat associated with polymerization may cause the substance to expand and/or release gas and cause the container to rupture, sometimes violently. The polymerization reaction occurs spontaneously in nature; industrially it is performed by subjecting unsaturated or otherwise reactive substances to conditions that will bring about this combination.

POTW -- Publicly Owned Treatment Works.

ppb -- Parts Per Billion. A unit for measuring the concentration of a gas or vapor in air; parts (by volume) of the gas or vapor in a billion parts of air. Usually used to express measurements of extremely low concentrations of


unusually toxic gases or vapors. Also used to indicate the concentration of a particular substance in a liquid or solid.

PPE -- Personal Protective Equipment.

ppm -- Parts Per Million: A unit for measuring the concentration of a gas or vapor in air-parts (by volume) of the gas or vapor in a million parts of air. Usually used to express measurements of extremely low concentrations of unusually toxic gases or vapors. Also used to indicate the concentration of a particular substance in a liquid or solid.

PPP -- Preparedness and Prevention Plan (RCRA Usage).

Premanufacture Notification (PMN) -- A major control mechanism exercised under the toxic substances control act to allow EPA to assess the safety of new chemicals before manufacture.

Pretreatment Standards (C WA Usage) -- Specific industrial operation or pollutant removal requirements in order to discharge to a municipal sewer.

PSD (CAA Usage) -- Prevention of Significant Deterioration (of air quality).

psi -- Pounds Per Square Inch.

psia -- Pounds Per Square Inch Absolute.

psig -- Pounds Per Square Inch Gauge.

Proper Shipping Name -- The name of the hazardous material shown in Roman print (not italics) in Title 49 CFR 172.101 or 172.102 (when authorized).

Pulmonary -- Pertaining to the lungs.

Pyrophoric -- A chemical that will ignite spontaneously in air at a temperature of 130°F (54.4"C) or below.

RAD -- A unit for the measurement of radioactivity. One rad is the amount of radiation that results in the absorption of 100 ergs of energy by 1 g of material.

Radioactive Material -- A material that might or might not require the issuance of a license, according to 10 CFR, to persons who manufacture, produce, transfer, receive, acquire, own, possess, or use by-product materials.


RAM -- Radioactive Material.

RAM Licensed Exempt -- Any radioactive material, the radionuclide of which is not subject to the licensing requirement of Title 10 CFR.

RCRA -- Resource Conservation & Recovery Act (1976).

Recovery Drum -- A nonprofessional reference to a drum used to overpack damaged or leaking hazardous materials. (See disposal drum.)

Relative Biological Effectiveness (RBE) -- A measure of the relative effectiveness of absorbed doses of radiation.

Reportable Quantity (DOT and EPA Usage) -- The quantity specified in column 2 of the Hazardous Materials Table in Title 49 CFR 172.101, for any material identified by the letter "E" in column 1 (Title 49 CFR 171.8), or any material identified by EPA on Table 1 17.3, Reportable Quantities of Hazardous Substance in Title 40 CFR 173. The letter "E" in column 1 (Title 49 CFR 172.101) identifies this material as a potential hazardous substance.

Residue -- As related to Title 49 CFR 171.8, residue is the hazardous material remaining in a packaging after its contents have been emptied and before the packaging is refilled, or cleaned and purged of vapor to remove any potential hazard. Residue of a hazardous material, as applied to the contents of a tank car (other than DOT Specification 106 or 110 tank cars), is a quantity of material no greater than 3 percent of the car's marked volumetric capacity.

Respiratory System -- Consists of (in descending order)--the nose, mouth, nasal passages, nasal pharynx, pharynx, larynx, trachea, bronchi, bronchioles, air sacs (alveoli) of the lungs, and muscles of respiration.

Risk Assessment -- An investigation of the potential risk to human health or the environment posed by a specific action or substance. The assessment usually includes toxicity, concentration, form, mobility and potential for exposure of the substance.

Roentgen -- A measure of the charge produced as the rays pass through air.

Roentgen Equivalent Man or rem -- The product of the absorbed dose in rads multiplied by the RBE.

RQ -- See Reportable Quantity.


RSPA -- Research and Special Programs Administration (of DOT).

SADT -- Self-Accelerating Decomposition Temperature Test. A test which establishes the lowest temperature at which a peroxide, in its largest commercial package, will undergo self-accelerating decomposition.

Salvage Drum -- A drum with a removable metal head that is compatible with the lading used to transport damaged or leaking hazardous materials for repackaging or disposal. (See Title 49 CFR 173.3.) (Also referred to as disposal or recovery drum.)

Salivation -- An excessive discharge of saliva; ptyalism.

SCBA --Self- Contained Breathing Apparatus. (See Full Protective Clothing and Fully Encapsulating Suits).

SDWA -- Safe Drinking Water Act (1 974).

Secondary Materials -- Spent materials, sludges, by-products, scrap metal and commercial chemical products recycled in ways that differ from their normal use.

Sensitizer -- A substance which on first exposure causes little or no reaction in man or test animals, but which on repeated exposure may cause a marked response not necessarily limited to the contact site. Skin sensitization is the most common form of sensitization in the industrial setting although respiratory sensitization to a few chemicals is also known to occur.

Significant New Use Rule ( S N U R ) (TSCA Usage) -- Stipulation (usually applied as a criterion for manufacture of a specific chemical) that EPA must be notified of significant new use.

SIP -- State Implementation Plan, CAA Section 110.

"Skin" -- A notation, sometimes used with PEL or TLV exposure data; indicates that the stated substance may be absorbed by the skin, mucous membranes and eyes--either airborne or by direct contact--and that this additional exposure must be considered part of the total exposure to avoid exceeding the PEL or TLV for that substance.

Sludges -- High moisture content residues from treating air or waste water or other residues from pollution control operations.


Smoke -- An air suspension (aerosol) of particles, often originating from combustion or sublimation. Carbon or soot particles less than 0 . 1 ~ in size result from the incomplete combustion of carbonaceous materials such as coal or oil. Smoke generally contains droplets as well as dry particles.

SOP -- Standard Operating Procedures.

SPCC Plan (CWA Usage) -- Spill Prevention, Control and Countermeasure Plan.

SPM -- Spill Prevention Management.

Spontaneously Combustible (IMDG Code) -- Solids or liquids possessing the common property of being liable spontaneously to heat and to ignite.

SRP -- Spill Response Plan.

SRT -- Spill Response Team.

Storage -- When used in connection with hazardous waste, means the containment of hazardous waste, either on a temporary basis or for a period of years, in such a manner as not to constitute disposal of such hazardous waste.

Storage Facility -- Any facility used for the retention of HW prior to shipment or usage, except generator facilities (under Title 40 CFR) which is used to store wastes for less than 90 days, for subsequent transport.

Storage Tank -- Any manufactured, nonportable, covered device used for containing pumpable hazardous wastes.

Strict Liability -- The defendant may be liable even though he may have exercised reasonable care.

STEL -- Short term exposure limit; ACGIH terminology.

Surface Impoundment -- Any natural depression or excavated and/or diked area built into or upon the land, which is fixed, uncovered, and lined with soil or a synthetic material, and is used for treating, storing, or disposing wastes. Examples include holding ponds and aeration ponds.

Synergism -- Cooperative action of substances whose total effect is greater than the sum of their separate effects.


TCDD -- Tetrachlorodibenzodioxin. A TCDD associated with the manufacturer of 2,4,5-T (Silvex) and occurring as a thermal degradation product of chlorinated benzenes.

Teratogen -- A substance or agent which can result in malformations of a fetus.

Threshold (OSHA Usage) -- The level where the first effects occur; also the point at which a person just begins to notice a tone (sound) is becoming audible.

TI -- Transport Index. Applicable to radioactive materials. (See Title 49 CFR 173.403(bb).)

TLV -- 27zreshold Limit Value. An exposure level under which most people can work consistently for 8 hours a day, (day after day) with no harmful effects. A table of these values and accompanying precautions is published annually by the American Conference of Governmental Industrial Hygienists (ACGIH).

Totally Enclosed Manner -- Any manner that will ensure no exposure of human beings or the environment to any concentration of PCBs.

Toxicity -- A relative property of a chemical agent and refers to a harmful effect on some biological mechanism and the condition under which this effect occurs.

Trade Secret -- Any confidential formula, pattern, process, device, information or compilation of information (including chemical name or other unique chemical identifier) that issued in an employer's business, and that gives the employer an opportunity to obtain an advantage over competitors who do not know or use it.

TSCA -- Toxic Substances Control Act (1 976).

TSDF -- Treatment, Storage or Disposal Facility.

TWA -- Time Weighted Average Exposure. The airborne concentration of a material to which a person is exposed, averaged over the total exposure time-- generally the total workday. (See also "TLV".)

TWA-C -- Time Weighted Average--Ceiling Limit. The excursion limit placed on fast acting substances that limits all exposures below the applicable "C" limit. All time weighted average concentrations and 'peak' exposures must be less than this limit.


UEL -- Upper Explosive Limit. The highest concentration of the material in air that can be detonated.

Vn -- Upper Flammable Limit. The highest concentration of the material in air that will support combustion.

UL -- Underwriters Laboratories, Inc.

UN Number -- United Nations Identification Number. When U N precedes a four-digit number, it indicates this identification number is used internationally to identify a hazardous material.

Unitization -- Any combination of unit, intermediate or exterior packs of one or more line items of supply into a single load in such a manner that the load can be handled as a unit through the distribution system. Unitization (unitized loads-unit loads) encompasses consolidation in a container, placement on a pallet or load base or securely binding together.

Unit Pack -- The first tie, wrap, or container applied to a single item or a group of items which constitutes a complete or identifiable package. The unit pack should be overpacked for shipment unless the unit container is specifically designed to provide shipping protection.

UPS -- United Parcel Service.

UST -- Underground Storage Tanks. (See LUST.)

Vapor -- An air dispersion of molecules of a substance that is liquid or solid in its normal physical state, at standard temperature and pressure. Examples are water vapor and benzene vapor. Vapors of organic liquids are loosely called fumes; however, it is not technically appropriate to use the term "fume" for vapors of organic liquids.

Vapor Density -- The ratio of the vapor weight of the commodity compared to that of air. Vapors will diffuse and mix with air due to natural air currents. In general, if the ratio is generator than 1, the vapors are heavier and may settle to the ground; if lower than 1, the vapors will rise.

Vapor Pressure -- The pressure of the vapor in equilibrium with the liquid at the specified temperature. Higher values indicate higher volatility or evaporation rate.

ACGIH

ALARA

ALR

ANSI

API

AQTX

ASTM

atm

BAL

Be

BE1

BLD

BP

BtU

C

c (deg)

ca

CAA

CAR

CAS

cc

ABBREVIATIONS COMMONLY USED BY EH&S MANAGERS

American Conference of Governmental Industrial Hygienists

As low as reasonably achievable

Allergenic effects

American National Standards Institute

American Petroleum Institute

Aquatic toxicity

American Society for Testing and Materials

Atmosphere

British-Anti-Lewisite

Baume

Biological exposure indexes

Blood effects

Boiling point

British thermal unit

Continuous exposure

Celcius

circa (about)

Clean Air Act

Carcinogenic effects

Chemical Abstract Service

Cubic centimeter

489


cc CERCLA

CFC

CFR

CHEMTREC

cm3

CNS

co CO, COC

conc

COR

CP

CPS

CPSC

cstk

CUM

cvs CWA

D

decomp

DOT

EC50 EP

EPA

EPCRA

F (de@

Closed cup

Comprehensive Environmental Response, Compensation, and Liability Act

Chlorofluorocarbon

Code of Federal Regulations

Chemical Transportation Emergency Center

Cubic centimeter

Central nervous system

Carbon Monoxide

Carbon Dioxide

Cleveland open cup

Concentration

Corrosive effects

Centipose

Centimeter per second

Consumer Product Safety Commission

Centistoke

Cumulative effects

Cardiovascular effects

Clean Water Act

Day Decomposition

Department of Transportation

Effective concentration

Extreme pressure

Environmental Protection Agency

Emergency Planning and Community Right-to-Know Act

Fahrenheit

Abbreviations Commonly Used by EH&S Managers 491

F/cc

FP

FR

FY

GI

gm GRAS

H

HEPA

HMIS

hr6)

HW

I

IARC

IDLH

IMDG

IMO

inhl

insol

IRDS

J

Kg

LC50 LCL,

LD50

L

LDL,

LEL

Fibers per cubic centimeter of air

Flash point

Federal Register

Fiscal year

Gastrointestinal

Gram

Generally recognized as safe

Hour

High-efficiency particulate air purifying respirator equipment

Hazardous materials identification system

Hour@)

Hazardous waste under RCRA

Intermittent

International Agency for Research on Cancer

Immediately dangerous to life and health

International maritime dangerous goods

International Maritime Organization

Inhalation

Insoluble

Primary irritation dose

Joule

Kilogram

Liter

Lethal concentration to 50% of those tested

Lowest published lethal concentration by inhalation

Lethal dose to 50% of those tested by ingestion

Lowest published lethal dose

Lower explosive limit


LFL

LFM

M

m3

MESA

mg

m g m MLD

ml - Hg

mppcf MSDS

MSHA

MSK

MUT

MW

n-

NA

NCI

ND

N E 0

NFPA

ng NIOSH

NOC

NOEL

NOS

NO,

Lower flammable limit

Linear feet per minute

Minute

Cubic meter

Mining Enforcement & Safety Administration

Milligram

Milligrams per kilogram

Mild irritation effects

Millileter

Millimeters of Mercury

Millions of particulates per cubic foot of air (mg/m3)

Material safety data sheet

Mine Safety & Health Administration

Muscular-skeletal effects

Mutagen

Molecular weight

normal

Not applicable; not available

National Cancer Institute

Not determined

Neoplastic effects

National Fire Protection Association

Nanogram

National Institute of Occupational Safety and Health

Not otherwise classified

No effect level

Not otherwise specified

Oxides of Nitrogen

Abbreviations Commonly Used by EH&S Managers 493

NPCA

NTIS

NTP

OEL

ORM

OSHA

PAH

PCB

PEL

PH PIN

PMCC

PNS

pox

PPb PPE

PPm

PPt psia

PSY

PUL

RBC

RCRA

REL

RQ

RTECS

SARA

SCBA

National Paint and Coatings Association

National Technical Information Service

National Toxicology Program

Occupational Exposure Limit

Other regulated material

Occupational Safety and Health Administration

Polycyclic aromatic hydrocarbons

Polychlorinated biphenyl

Permissible exposure limit

Negative logarithm of the hydrogen ion concentration

Product identification number

Pensky-Martens closed cup

Peripheral nervous system effects

Oxides of phosphorus

Parts per billion, by volume

Personal protective equipment

Parts per million, by volume

Parts per trillion, by volume

Pounds per square inch

Psychotropic, acting on the mind

Pulmonary systems effect

Red blood cell effects

Resource Conservation and Recovery Act

Recommended exposure limit

Reportable quantity

Registry of Toxic Effects of Chemical Substances

Superfund Amendments and Reauthorization Act

Self-contained breathing apparatus


SCBAF

SCC

SETA

SKN

s o h

sox STEL

STEV

sus SYS

TCC

TCL, TDL

TER

TFX

TLm

TLV

TOC

Torr

TSCA

TWA

TXDS

UEL

UFL

ug uv voc VP

Self-contained breathing apparatus with full facepiece

SETAFLASH closed cup

SETAFLASH closed tester

Skin effects

Solution

Oxides of Sulfur

Short-term exposure limit

Short-term exposure value

Saybolt universal seconds

Systemic effects

Tagged closed cup

Toxic concentration low

Toxic dose level

Teratogen

Toxic effects

Median tolerance limit

Threshold limit value

Tag open-cup

mm Hg pressure

Toxic Substances Control Act

Time weighted average

Qualifying toxic dose

Upper explosive limit

Upper flammable limit

Microgram

Ultraviolet

Volatile organic compounds

Vapor pressure

INDEX

A

accidental discharges 5 1 acclimatization 452 acetone 166 ACGIH 178, 284, 447 acids 152, 154 activity 280 acts and omissions 132 administering agency 7 administrative measures 278 adsorption 151

air purifying respirators 400,

air supply consumption 433 alcohols 161 aldehydes 162 aliphatics 157 alkaline solutions 171 alkanes 160 alkenes 161 American Petroleum Institute 6 ammunition 248 analysis teams 302 analytical methods 268 ARARs 41 aromatics 160 arsenic 71, 174 asbestos containing material

removal 88 asbestos containing materials 87

AFL-CIO 6

41 1

asbestos regulations 82 ASME 287 ASTM Phase I11 protocol 104 ASTM protocol 96 audit buget form 110 audit costs 106 audit program 108 audit report preparations 127 auditing reports 121 auto-ignition temperature 148

B

bases 152, 154 Best Available Technology

Economically Achievable 8 bioaccumalators 175 biochemical oxygen demand 149 biohazards 184 biological agents 206 block flow diagram 289 bodily injury 137 boiling point 146 breach of contract 13 1

C

cancer 11 carbon monoxide 94 carbonic acid 154 cause-consequence analysis 33 1 Ceiling value TLV 259

495


cement kiln dust 71 CERCLA 2, 4, 14,

29, 35, 37, 96, 382 chain of custody 144 Chamber of Commerce 112 checklist analysis 316, 322 chemical characteristics 145 chemical compatibility 175, 200 chemical hazards 176 chemical inventory 196 chemical manufacture 5 chemical manufacturing 5, 10 chemical properties 145 chemical protective clothing 414 chemical purchasing 192 chemical stability data 287 chemical storage practices 204 CHRIS 213 claims made policies 141 Class IV wells 9 Clean Air Act 2, 93, 11 1 Clean Water Act 2, 4,

8, 42, 76, 111 cleanup actions 5 cleanup operations 39 combustible liquids 186 complex hydrides 173 compressed gases 205 concentration 150 consultant issues 105 consultant liabilities 124 containers 247 contingency plans 212 contract issues 114, 126 contract negotiations 133 contract terminology 128 contractural cures to property

control of exposure 272 corrective action 104, 383 corrosion protection 380 corrosive chemicals 152

transfers 97

corrosivity 185 cost control 109 cradle to grave 10 crude oil 166, 168 cutaneous hazards 180 cyanides 174 cylinder gases 198

D

defences against liabilities 50 degradation 415 density 147 Department of Environmental

Department of Health 54 Department of Justice 29 Department of Transpor-

tation 13, 89, 337 design codes 293 diesel oil 167 dilution airflow 278 dilution ventilation 274, 275, 277 dioxin 99 direct point source discharges 77 disclosures 98, 99 disposal of pesticides 393 doffing an ensemble 439 domestic waste 71 donning procedures 438 dose 280 due diligence 31, 95 dust clouds 255 duty to defend 142

Protection 5 1

E

East Asiatic Co suit 46 ECRA 32, 59 effects analysis 326 effluent guidelines 79 effluent standards 1

Index 497

energy balances 294 environmental agreements 10 1 environmental impact

statements 113 environmental impairment

liability 138 environmental site

assessments 33 EP toxicity 10 EPA 7, 29 EPA identification number 227 esters 161 ethers 161, 166 event tree analysis 330 expected and intended

experimental use permits 389 exposure 281 exposure evaluation 266 exposure trigger 139 eye hazards 181

damages 138

F

failure modes 326, 327, 328 fault tree analysis 291, 329 FFDCA 4, 11 FIFRA 4, 11, 387 FIFRA labels 250 fire extinguishers 210 fire point temperature 148 Fire Protection Handbook 286 fires and flammability 163 flammability 184, 189 flammability limits 148 flammable liquids 169, 185 flammable solvents 191 flammables 162 flashpoint temperature 148 Fleet Factors suit 46 fluorine 173 FMEA 328, 334

FMECA 334 friable asbestos materials 83 functional groups 157

G

gasoline 166

H

half life 280 halides 172 hazard analysis 283 hazard communication 239 hazard control 207 hazard evaluation 257 hazard evaluation techniques 308 Hazard Materials Transportation

hazard warning labels 208 Hazardous Discharge Site

Remediation Fund 61 Hazardous Materials

Transportation Act 2 Hazardous Substance Fact

Sheets 251 hazardous substances,

definitions 37 hazardous wastes 1, 9 hazards evaluation

techniques 3 10 HAZOP 291, 311, 334, 335 HAZOP studies 323 heat content 148, 165 heat exchangers 327 heat stress 446 hematopoietic agents 180 hepatotoxins 179 human reliability analysis 33 1 hydrazine 173 hydrides 170 hydrocarbons 157

Act 337


hydrochloric acid 154 hydrogen sulfide 175

I

IDLH 259, 406 ignitability 221 indemnity provisions 129 indirect point source

discharges 77 industrial categories of wastes 79 ingestion of chemicals 260 inorganic chlorides 171 insurance 130 insurance coverage issues 136 insurance coverage litigation 135 insurance policy limits 144 inventory control 364 inventory supplies 197 inverse square law 282 isolation 204 isomers 157 ISRA 31, 58 ISRA compliance 63

J

joint liability 31

K

kerosine 167 ketones 162

L

labels 239 labels and labeling 245 Labor Department 5 laboratories 183 lead 94

leak detection 371 lender liability 46 lender liability rule 47 LEPC 13, 67 lethal concentration 284 lethal dose 282 liabilities 44, 45 liability issues 134 liability theory 27 local exhaust ventilation 274 Love Canal 9, 34 lower explosion limit 287

M

manifest tracking 348 material balances 294 Material Safety Data Sheets 187 MCL 42 medical surveillance 270 medical records 272 medical waste 218 melting point 146 Merck Index 285 mercury 174 metal hydrides 173 metallic azides 173 metals 170 methanol 166 molecular weight 165 motor oils 167 MSHA 413 multiple occurence 143

N

NA shipping number designation 339

NAAQS 91 naptha 166

Index 499

National Ambient Air Quality Standards 7, 8

National Contingency Plan 15, 45

National Effluent Standards 80 National Treatment Standards for

natural ventilation 276 negative pressure respirators 401 nephrotoxins 180 NESHAPS 7, 87 neurotoxins 180 neutralization 153 New York Sate Toxic Cleanup

New Jersey Spill Act 55 New Jersey Spill Compensation

NFPA 166 NFPA identification system 190 NIOSH 286, 413 nitrogen dioxide 94 noise 255 non-point source management

programs 78 notice of lien 56 Notification Requirements 38 NPDES permits 78, 80 NRC 218 nuisances 24

POTWs 81

Law 53

and Control Act 34, 51

0

occupational hazards 254 occurence policies 141 On-Scene Coordinator 38 onsite treatment 353 operability studies 300 operational aspects 48 organic bases 161 organic chemicals 156 organic chlorides 172

organic peroxides 162 organic sufonic acids 161 OSHA 4, 6, 185, 285 OSHA 200 logs 253 Otherwise Regulated

Materials 339 oxidants 198 oxidation 153 oxidation-reduction reactions 172 oxidizing agents 172 ozone 94

P

particulates 94 pathways of exposure 41 PCB definition 90 PEOSHA 272 perchloric acid 154 permeation 415 Permissible Exposure Limits 269 permit applications 235 peroxides 170 personal protective

equipment 2 14 personal use factors 435 personal protective clothing 397 pesticide registration 388, 390 pesticides 12, 175 petroleum 383 Phase I audits 103 physical agents 240 physical properties 146 pilot plant operations 313 piping and instrumentation

placards 341 poisons 173 pollution exclusion 136 polychlorinated biphenyls 12 polymerization 176 positive pressure respirators 400

diagrams 295


post foreclosure activities 48 potentially responsible parties 32 POTWs 77, 81, 356 PPE programs 398 preliminary hazard analysis 320 Premanufacture Notice 12 pre-startup safety reviews 307 pretransfer statutes 57 pretransport requirements 339,

primary sources 94 process chemistry 289 process drawings 3 19 process equipment 292 process flow diagram 289 process hazard analysis 298,

process parameters 290, 325 process teclhology 289 process technology safety 282 property damage 137 property owner liabilities 60 property transactions 34 property transfer laws 34 property transfers 31 protective clothing 414 public health 40 pulmonary agents 180 purchasing systems 193 pyrophorics 198

347

303

Q

quality controls 359

R

RACs 42 radiation hazards 279 radioactive materials 206 radioactive waste 2 18 radioactivity 188

radionuclide emissions 2 18 radon 89 RCRA 2, 9, 39, 70, 112, 219 RCRA enforcement actions 75 RCRA solid waste definition 217 RCRA versus CERCLA 71 reactivity 188, 191 reactivity data 286 receptors 113 recordkeeping 297 recycling 1, 361 relative ranking method 3 18 relative toxicity 258 release detection 380 remedial action 40 Reportable Quantity 2, 37 reproductive toxins 180 request for proposal 115 respirator fit testing 436 respirator protection factors 405 respiratory protection 400 respiratory system 262 responsible parties 32, 44 restricted use pesticides 389 Right To Know Training

requirements 243 risk audits 113 routes of entry 178

S

safe handling practices 209 Safe Drinking Water Act 8, 9, 92 safety engineer 302 safety reviews 314 sampling devices 267 sampling schemes 103 SARA 2, 4, 6, 35, 50 SARA Tiltle 111 67 SCBAs 400, 406 secondary sources 94 secondary treatment 8 1

Index 501

selenium 174 several liability 31 sewage 71 shipping containers 242 short term exposure limit 259 SIC codes 62 site evaluation 41 skin absorption 160 skin notation 269 slopover 168 small quantity

generator 226, 228 solubility 148 solubility product 150 SOQ ranking system 116 source reduction 361 specific gravity 147 spent liquors 232 spent reagents 217 Spill Act 52 spill control 366 spill response 210, 214 staffing options for audits 105 staffing requirements 109 state superfund 36 state Superfund programs 51 statement of qualifications 115 storage of pesticides 393 storage tanks 234 storm water discharges 78, 80 strengths of acids 154 strict liability 25, 31 substitution 272 sudden and accidental

releases 137 sulfur dioxide 94 Super Lien Laws 55 Superfund 35, 43 Superfund process 35 Superfund sites 14 supplied air respirators 409

T

TCLP 222 technique selection 332 technology based limits 77 theoretical oxygen demand 149 third party use disclaimers 128 threshold limit value 149, 179 time weighted average 159 Tort law 23 toxicity 184 toxicity characteristics 224 toxicity guidelines 277 toxicology 258 toxics 198 trade secrets 246, 391 training workers 242 transportation of pesticides 393 transporter requirements 340 treatability studies 229 treatment tanks 234 trigger of coverage 139 triple trigger 140 TSCA 2, 4, 12, 39, 91 TSD facilities 234 TSD requirements 349

U

UN shipping number designation 339

uncontrolled liability 97 underground storage tanks 72,

upper explosion limit 287 UST closures 385 UST installation

UST operating requirements 372 UST postclosure

UST systems 379

369

requirements 377

requirements 373


V

vapor density 147 vapor pressure 147 ventilation 208, 272 volatalization 151 volatile organic compounds 9

W

warranties 100 waste accumulation 227 waste analysis plans 219, 235 waste characterization of

spent liquors 233 waste classifications 220 waste codes 223 waste determinations 231 waste exchange 366 waste generators 225 waste handling 216 waste minimization 353, 355,

waste minimization practices 360 waste numbers 222 waste reduction 362 waste regulations 345 waste segregation 365 waste storage practices 367 waste transportation 337 wastewater 229 water quality limited

requirements 77 water reactive chemicals 169 well classifications 91 what-if analysis 321 worker safety 4

362

Environmental and Health & Safety Management - A Guide to Compliance

Documents

octanolwater

historic preservation

central nervous

modified extraction

endangered

spill response

national response

annual aggregate